International and Comparative Librarianship: Concepts and Methods for Global Studies 9783110267990, 9783110267914, 9783110395846, 2019933227

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Peter Johan Lor International and Comparative Librarianship

Global Studies in Libraries and Information

Edited by Ian M. Johnson Editorial Board Johannes Britz (South Africa/U.S.A) Barbara Ford (U.S.A.) Peter Lor (South Africa) Kay Raseroka (Botswana) Abdus Sattar Chaudry (Pakistan/Kuwait) Kerry Smith (Australia) Anna Maria Tammaro (Italy)

Volume 4

Peter Johan Lor

International and Comparative Librarianship Concepts and Methods for Global Studies

ISBN 978-3-11-026791-4 e-ISBN (PDF) 978-3-11-026799-0 e-ISBN (EPUB) 978-3-11-039584-6 ISSN 2195-0199 Library of Congress Control Number: 2019933227 Bibliografische Information der Deutschen Nationalbibliothek The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data is available on the internet at http://dnb.dnb.de. © 2019 Walter de Gruyter GmbH, Berlin/Boston Typesetting: Integra Software services Pvt. Ltd. Printing and binding: CPI books GmbH, Leck www.degruyter.com

About IFLA www.ifla.org IFLA (The International Federation of Library Associations and Institutions) is the leading international body representing the interests of library and information services and their users. It is the global voice of the library and information profession. IFLA provides information specialists throughout the world with a forum for exchanging ideas and promoting international cooperation, research, and development in all fields of library activity and information service. IFLA is one of the means through which libraries, information centres, and information professionals worldwide can formulate their goals, exert their influence as a group, protect their interests, and find solutions to global problems. IFLA’s aims, objectives, and professional programme can only be fulfilled with the co-operation and active involvement of its members and affiliates. Currently, approximately 1400 associations, institutions and individuals, from widely divergent cultural backgrounds are working together to further the goals of the Federation and to promote librarianship on a global level. Through its formal membership, IFLA directly or indirectly represents some 500,000 library and information professionals worldwide. IFLA pursues its aims through a variety of channels, including the publication of a major journal, as well as guidelines, reports and monographs on a wide range of topics. IFLA organizes workshops and seminars around the world to enhance professional practice and increase awareness of the growing importance of libraries supporting their communities and society in the digital age. All this is done in collaboration with a number of other non-governmental organizations, funding bodies and international agencies such as UNESCO and WIPO. The Federation’s website is a prime source of information about IFLA, its policies and activities: www.ifla.org Library and information professionals gather annually at the IFLA World Library and Information Congress, held in August each year in cities around the world. IFLA was founded in Edinburgh, Scotland, in 1927 at an international conference of national library directors. IFLA was registered in the Netherlands in 1971. The Koninklijke Bibliotheek (Royal Library), the national library of the Netherlands, in The Hague, generously hosts IFLA’s headquarters. Regional offices are located in Buenos Aires, Argentina; Pretoria, South Africa; and Singapore.

https://doi.org/10.1515/9783110267990-201

Foreword International and comparative librarianship were in vogue when I had recently completed my professional studies, and both have continued to play a part throughout my career. An early interest in the development of library assistants and library technicians led me to secure several opportunities to examine their education and employment in other countries. These resulted in my first international comparative publication, a growing awareness of how the development of libraries and librarianship was affected by their context, and an increasing interest in how lessons that might be learned from observing and understanding the experience of others could be a foundation for progress. Indirectly, this led me to a wider international involvement in IFLA and EUCLID, and to the role of editor of this series and this book in particular. This peer-reviewed book forms part of a series that was an idea proposed by Peter Lor in 2010. The series is intended to publish a small number of authoritative scholarly texts on topics of professional interest at a global scale, develop conceptual frameworks and theories, and incidentally generate some small additional income for IFLA. The series fills a gap in the professional literature that has arisen from the pressure on academics to publish relatively short articles in reputable journals to enhance their personal prestige and the standing of their institution, and the demand from students and practitioners for books that critically summarise knowledge about current topics. International and Comparative Librarianship is a subject that received much attention in the 1970s but interest in it faded quite rapidly, partly perhaps because the growing understanding of the potential complexity of the key questions that it needed to address deterred even those most interested in it, but also perhaps because changing manifestations of international librarianship made it appear different from the environment with which they had engaged. The consequent neglect of this subject means that there has been no substantial publication on the subject that consolidated and critically examined the knowledge that has accumulated in LIS and similar fields. Courses in the subject have continued to be taught in some SLIS, mainly in the USA, but suffered from deficiencies in the relevant literature. Much of the international LIS literature has been little more than superficial descriptions of librarianship in particular countries. Many LIS publications purporting to be international and comparative have been neither. They rarely explained the context in which institutions operated in different countries, ignoring the complex factors that had affected the development of the libraries that they described. Authors writing about the situation of libraries in their own countries often assumed that the wider context would be familiar to readers in other countries or https://doi.org/10.1515/9783110267990-202

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that phenomena that they encountered locally were universal. Also, for a variety of reasons, too few public reports of international development projects in LIS have engaged in any analysis of the issues encountered when working in unfamiliar contexts and in discussing how those issues could be examined or addressed. This book stems from teaching that Peter Lor has undertaken in the classroom and online for the Information School of the University of Wisconsin-Milwaukee, where he has offered a class in International and Comparative Librarianship since 2010. Not finding a text that he felt adequately covered the subject, he began to write one and published early versions of it on the Web for his students. Exploring the literature revealed the range and depth of relevant knowledge that had not previously received significant attention within the LIS community, and has led to continual and considerable re-shaping of the book’s contents. This book sets out some of the tools that the LIS academics, students and practitioners could adopt and apply towards enhancing the range and depth of international and comparative studies. It identifies methodologies that have been developed, often in fields other than LIS, and outlines how they have been used in LIS research or how they could be a relevant approach to providing a more secure basis for development. There is evidence of increasing numbers of students writing Master’s or doctoral dissertations, and some of their efforts could usefully be diverted into applications of some of the approaches and methods outlined in this book. There is also evidence that new and different approaches to international collaboration are expected by funding agencies. The examples provided in this book lean heavily towards international librarianship, and also draw on the author’s personal interest in and experience of development in Africa. But this book has a greater relevance. No library exists in isolation. Libraries serve differing communities of users, operate as part of organisations with differing aims and capacities, and exist in differing economic, political and social environments. Librarians at all levels need to have a clear understanding of these phenomena if they are to be effective in promoting the use of libraries and information services and in securing the resources required for them to operate effectively. They require a professional outlook that continually asks what role their library performs; what role it should perform; what enhances or constrains its performance; what could and should be done to reinforce its strengths and alleviate any constraints; and how effective efforts towards the achievement of those goals might be initiated and carried through. Comparison does not have to be international. Even within a single country, or perhaps even within a single city, there exist library and information

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services that are notionally identical, but which have developed in different ways. A comparative study could shed light on why any differences have arisen and perhaps point towards ways in which one or other institution, or both, might make further progress. Proponents of comparative librarianship have also argued that the methodology could also be applied in a single case study, forcing the researcher to examine the object under investigation in depth. The contextual evidence required by a comparative study has rarely been fully explored in LIS research into a single institution. Studies examining the influences on a single institution could contribute to our understanding of the hurdles that libraries and librarians have to cross in pursuit of progress. The fact that studies such as these are not commonly found in the LIS literature perhaps explains why library and information services do not prosper as much as might be expected or might be wished for. Readers of this book will find that it stimulates the fresh thinking that is needed to achieve those ends. Ian M. Johnson Aberdeen

Preface Having trained as a librarian in the mid-1960s and having worked for a few years in a special library in South Africa, I went to France in 1970 to study French literature and linguistics. The university library in the provincial city where I was placed, was a big disappointment. I was not allowed into the stacks to find books for myself. Instead I had to search for each book in the catalogue (which looked quite different from catalogues I was used to), fill in an application form, hand it in at a service desk, and wait 30–60 minutes for the book to be fetched for me. Most of the books I needed were not in the central library but in various small institute libraries. Later I discovered the science library, which was much more like the libraries I was used to. It had open stacks arranged by the Universal Decimal Classification, not dissimilar to the Dewey Decimal Classification taught in South African library schools. The bibliothèque municipale (municipal library) in the provincial city where I studied turned out not to be at all a public library in the sense that I understood. It was a monumental sort of place housing treasures of French documentary heritage. There was a maison de culture (cultural centre), however, with a médiathèque which included books on the arts, films and theatre for use by the general public. During my stay in France I sometimes visited a friend living in a faubourg (outlying suburb) to the east of Paris. His wife, who had no library training, worked as a volunteer managing the only public library serving this community. This was Paris, and there was no tax-supported public library for the residents of this part of the city! My disappointment and disorientation in France arose from the fact that my library education and experience up to that point had been limited to South Africa, where American and British texts dominated library science syllabi. A visit to the Bibliothèque nationale in Paris later showed me another, more impressive, side of French librarianship. I returned to South Africa with a licence and pursued my career as a librarian. Exposure to libraries in Europe had stimulated my curiosity. Gradually my career took on an international dimension. In 1981 Greenwood Press published the International handbook of contemporary developments in librarianship, edited by Miles M. Jackson (1981), to which I had contributed a section on academic libraries in South Africa. This was my first “international” publication, and my first exposure to the literature of international librarianship (Lor 1981). Not long after, I joined the staff of the then State Library of South Africa, of which I later became the Director. It is one of the paradoxes of national librarianship that directors of national libraries have a greater degree of international involvement than most other library directors. My appointment https://doi.org/10.1515/9783110267990-203

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at the State Library led to my first attendance at a Conference of the International Federation of Library Associations and Institutions (IFLA), in Munich, 1983, and a long and rewarding association with that body and with its smaller sister organization, the Conference of Directors of National Libraries (CDNL). My work as a national librarian also led to much international travel and a growing international network of colleagues. My interest in international relations among libraries and the international dimension of librarianship grew steadily and upon my retirement from what had become the National Library of South Africa, I started thinking of a book on this theme. Not much came of this, for in 2005 I became the Secretary General of IFLA. This enabled me to collect a great deal of material but left little time for writing the book. Why yet another book about international librarianship? As my interest grew and I read more about the subject, I found that there was a significant gap in the literature of international and comparative librarianship (which is reviewed in Chapter 2) in that the field lacked a systematic and conceptual treatment. Most books on “international librarianship” have been compilations of chapters by various authors, describing library conditions in particular foreign countries or regions. In these volumes we may also find chapters on international library co-operation, the work of international agencies in the field of librarianship, and relations between countries in the field of librarianship, but what has generally been missing is attempts to systematise or develop a conceptual framework. In most cases the introduction or preface to the compilation is brief and provides only the most cursory attempt at defining what is meant by “international librarianship.” For example, Miles Jackson’s impressive volume of well over 600 pages offers no attempt to provide a systematic introduction or conceptual framework (M. M. Jackson 1981). In some cases, the term “international” occurs in the title only because authors from different countries contributed to it. The 1985 Festschrift for William J Welsh (J. W. Price and Price 1985) is an example of a book with the words “international librarianship” in its title, but which does not say anything about international librarianship as such. Presumably the title, International librarianship today and tomorrow, was chosen because Welsh, at that time Deputy Librarian of Congress, was well-known in international circles and participated actively in forums such as IFLA and the Conference of Directors of National Libraries. There were a few exceptions to the general trend. In his Comparative and international library science, John F. Harvey (1977) took a thematic rather than a geographic approach and assembled contributed chapters by acknowledged experts in the field. In their book World librarianship: a comparative study

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Richard Krzys and Gaston Litton (1983) combined geographic and thematic approaches in an attempt to create a “world librarianship,” but their work, which is discussed in this book, has not found followers. As I have set out in Chapter 2, themes and issues have been addressed in a number of other books which have appeared since then. However, what is still lacking is a more coherent and structured approach to the subject. Most of the reported research in the field has been atheoretical. Little use is made of theories or models from other disciplines, and after some inconclusive discussion in the 1970s and 1980s of the nature and scope of international and comparative librarianship, later researchers seldom refer to theoretical work in the field or seek to build theory. Rather than yet another book about library conditions in different countries or regions, there is a need for a book that deals thematically with international relations among libraries in a broad sense, including the systematic study of similarities and differences between libraries and library conditions in various countries, and their causes. Here I use “international” to refer to library and information relations among two or more countries; not to librarianship and information services in other countries (foreign librarianship). This book was intended for postgraduate students, instructors and researchers, as well as for project managers and practitioners involved in international library and information work. As my research and writing progressed, I realized that much of what I have covered, in particular the material in the conceptual and methodological chapters, is of wider interest, and not limited to colleagues in international librarianship and information work. Because the book is meant to be a resource, it is liberally provided with references, and since it is hoped that it will be of value internationally, I have been quite profligate with explanatory footnotes. In this book I aim firstly to provide that systematic overview of the field of international and comparative librarianship that has so far been lacking. I attempt to define and delimit the two related and overlapping areas of international and comparative librarianship, to clarify basic concepts, and to offer theoretical frameworks for study and research in the field. Secondly, I aim to raise awareness of theory in other disciplines that can be applied in international and comparative librarianship – and more widely – so that it is not necessary for every researcher to “reinvent the wheel.” In relation to the first and second aims my intention is to describe, clarify and systematize, and to provide a resource for research and evidence-based practice – but not to prescribe. For example, researchers looking into the not infrequent failure of LIS development projects can make good use of theory from development studies to which this book refers. Although I do not offer

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recipes for “how to do LIS development good,” I want to stress that managers and practitioners embarking on LIS projects can learn from theory and experience of other disciplines. The third aim of this book is to improve research in the field. Here there is an obvious normative or tutorial slant: I identify weaknesses and point to good practice to remedy them. I also offer guidelines for the evaluation and improvement of research method applied in the field. The fourth aim is more personal in nature. My interest in international and comparative librarianship has a moral dimension. I believe that libraries and information agencies have a role in promoting international understanding, tolerance, and peace. I hope that this book can contribute to that. Recent events have shown yet again that connections are not relations. Tolerance and peace are not automatically promoted by the provision of information. Global communication media disseminate misinformation and intolerance more rapidly and effectively than ever before; fake news outruns the efforts of fact checkers. There are no simple solutions to this problem, but LIS workers can help to combat the worldwide erosion of civility by providing islands of reflection and sanity for thoughtful people to inquire, evaluate, and construct shared understanding. Working together across borders we can contribute, however unspectacularly, to global justice and peace. This book has been long in the making. When I set out on this journey, I had in mind a fairly straightforward introductory text. As I became more aware of the methodological and theoretical weaknesses of the existing literature, the focus of my project shifted from a descriptive to a more theoretical approach, with more emphasis on conceptual frameworks and research method. I also found myself concentrating on themes I had not considered so important before: political economy and various aspects of international/ global influence which together now make up half of the book. This also entailed cutting back on the descriptive material I had initially planned to include on, for example, the role of international organizations, library cooperation, emergency aid, and professional opportunities in international librarianship.1 My exploration led me to cast my net ever wider and draw on insights from many other disciplines. At the time of completing the text I had amassed a bibliographic database containing approximately 7,200 references. Around 5,000 of these, not merely from librarianship and information science, but also from many different fields, were relevant to this project – which of course does not

1 Coincidentally, on the latter subject a new book appeared recently (Carlyle and Winn 2018).

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guarantee that nothing was missed. Just over 2,000 sources are listed in the bibliography; in addition, hundreds of more ephemeral web pages are referenced in footnotes. Even so, I am aware of gaps that remain. In spite of my attempts to collect material in the half-a-dozen languages I can read and a few more that I can decipher, the literature I consulted is overwhelmingly in English. Geographically speaking not all regions have received equal attention. My professional experience in South Africa and my travels on the African continent have been a strong influence; hence an emphasis on library and information development in developing countries, especially in Africa. In mitigation I can say that the phenomena of international influence, diffusion, and development aid in librarianship and information work in developing countries are amply illustrated in Africa, where the majority of the world’s least developed countries are located. Furthermore, library and information development in the developed regions has been relatively well covered by the existing historical and descriptive literature. This has been a continuing, time-consuming but also rewarding learning process. But conveying concepts and theories from other disciplines is risky. It is intimidating to sketch in a paragraph or two a theory on which bookshelves full of books have been written. I have had to paint with a broad brush; in a book of such wide scope it is not possible to note all the details, exceptions to the general situation, caveats, counterfactuals and anomalies reported in the literature. In some cases, these are signalled in footnotes, but this could only be done within limits. The result of the journey is a book in four parts. In Part I, Concepts, I sketch the origins and evolution of international librarianship as an area of professional practice (Chapter 1) before turning to international and comparative librarianship as a field of study and research (Chapter 2). Here the development of the literature of international and comparative librarianship is outlined, the terms ‘international librarianship’ and ‘comparative librarianship’ are analysed and defined, and the relationship between the two areas is examined. The impact of globalization on the field is explored. This is followed by a conceptual exploration (Chapter 3) in which the need for theory is emphasized. Key concepts and a number of conceptual frameworks are explored with a view to their potential relevance to research in the field. In Part II, Methods, the emphasis on theory is followed by three chapters dealing with metatheory (Chapter 4), methodology (Chapter 5), and methods (Chapter 6) in international and comparative librarianship. Methodology and methods are distinguished in Chapter 4, which also covers metatheory, a frequently neglected topic. When initiating a research project, researchers should examine and clarify their assumptions and paradigms, which have

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sociological, teleological, ontological, epistemological and ethical dimensions. The metatheoretical considerations discussed here are also relevant to the practice of international librarianship, for example in development aid projects, as well as to various areas of scholarly research. Chapter 5 deals with high-level decisions on research approaches, strategy and design, with an emphasis on those that are especially relevant to comparative research. In Chapter 6 attention is paid to the nuts-and-bolts of research: procedures, techniques and instruments. In international and comparative research, the full armamentarium of social science research is available, but here the emphasis is on the challenges peculiar to research in multiple or foreign countries. Since concepts from political economy frame most of the issues in international information relations, Part III, Political economy, serves as background to Part IV. Chapter 7 introduces the concepts of political economy and international political economy. The major categories of actors involved in the international political economy are discussed. The focus then falls on the political economy of information and intellectual property in the global context. Chapter 8 continues the discussion of intellectual property, considering the access to knowledge movement and five forms of resistance to what are seen as unjustified and extortionate intellectual property rights. The second half of the chapter deals with global information flows among the various regions of the world. Globalization looms large in both chapters. Part IV, Influence, covers the international flow of ideas and innovation in librarianship and information work, with an emphasis on development and development aid in LIS. Comparison, whether explicit or implicit, underlies all influence, diffusion of innovations, policy transfer, and development aid. Hence the processes discussed in Part IV can be seen as comparative librarianship in practice. In Chapter 9 the literature of various disciplines is explored in an attempt to identify concepts and theories that may be applied to gain greater understanding of the cross-national diffusion of innovations and policy transfer in LIS, and a framework is presented to systematize the questions that should be considered in research on international transfer. The chapter also includes the first of five exhibits in which aspects of LIS development in various parts of the world are examined. Chapter 10 provides a general introduction to colonialism and its aftermath, developing countries, development, and aid, including LIS-related aid. A general framework is presented for the discussion of development aid. Chapter 11 is the first of two chapters devoted to an examination of LIS development and aid in a number of regions in light of the theory presented in the preceding two chapters. General questions about LIS development are explored before generalized LIS

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development trajectories, illustrated by two further exhibits, are outlined. This pattern is continued in Chapter 12, which also contains the last two exhibits, a summary overview of LIS development and aid in terms of five general dimensions, and a discussion of systemic aid. Chapter 12 is followed by a Conclusion in which I try to draw together some threads running through the four parts and also consider the question to what extent the theoretical insights introduced in the preceding chapters have guided the interventions of the LIS profession as we seek to innovate and promote LIS development worldwide.

Acknowledgements During the long genesis of this book, I received help and encouragement from many people, not all of whom can be mentioned here. Dean (now Provost) Johannes Britz of the School of Information Studies (SOIS), University of Wisconsin-Milwaukee, played a key role by appointing me as a visiting professor there, giving me encouragement and lightening my teaching load to enable me to develop a new course in international and comparative librarianship (L&ISCI 891/INFOST 891) and launch this book project. I am grateful to several of my SOIS colleagues for useful discussions, and especially to my students for feedback that helped shape the course and the book. I am also particularly grateful to my graduate assistants during 2009–2011: Jess Vargas Robinson (who introduced me to Zotero and created my website), Suyu Lin, Chunsheng Huang, and Joel Desarmo, for their assistance. The Golda Meir Library at UWC provided me with a huge amount of literature and I want to acknowledge the excellent support I received from the Inter-Library Loans Section, for admirably prompt and efficient service. Professor Theo Bothma and later Professor Archie Dick, as head of the Department of Information Science at the University of Pretoria, provided continuing encouragement and support and substantially freed me to concentrate on my research. My appointment at the University of Pretoria also brought with it greatly appreciated opportunities to attend a number of IFLA Congresses, which I have always found invaluable for keeping up to date and networking in matters international. At the University of Pretoria’s Library Service, information specialists Refilwe Matatiele, Sonto Mabena and Bulelwa Mandubu, assisted me with information requests. Feedback from my students in the MIT 867 course also helped shape this project. During a two-year appointment (2015–2017) as a research fellow in the Graduate School of Library and Information Science (now i-School at Illinois) of the University of Illinois at Urbana-Champaign, hosted by Professor Terry Weech, I had the opportunity to spend several weeks utilizing the very impressive LIS holdings of the University of Illinois Library, and made grateful use of facilities provided for me in the International and Area Studies Library by Steve Witt. What a boon it is for a visiting scholar with limited time to have ready access to a rich collection, prompt delivery of wanted items, and a user-friendly scanner! As my work progressed, I found myself increasingly making use of open access resources. Based where I am now in a small town with a very basic public library, open access became a lifeline. Colleagues and academics in various parts of the world responded to my requests for information. At the risk of accidentally omitting others, I especially https://doi.org/10.1515/9783110267990-204

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acknowledge assistance from Ngian Lek Cho and reference staff of the National Library of Singapore, Professor Peter McNally, School of Information Studies, McGill University, Canada, and Dr. Donald J Kerr, University of Otago Library, New Zealand. The referees for this book who agreed to scrutinize draft chapters of this book were Alistair Black (University of Illinois at Urbana-Champaign), Giuseppe Vitiello (NATO Defense College, Rome), Christine Stilwell (professor emerita, University of KwaZulu-Natal), Denise Nicholson (University of the Witwatersrand), Steve O’Connor (editor, Library Management and consultant, Australia), and Paul Sturges (Loughborough University, UK). They provided me with valuable and often challenging feedback as well as many leads to useful material. A special acknowledgement is due to Professor Ian M. Johnson, Robert Gordon University. Aberdeen, Scotland, the founding editor of the series, Global Studies in Libraries and Information, who kindly agreed to see this book project to completion after he chose to retire as series editor. With his wide international experience, Ian was uniquely qualified for this role. I thank him for his continuing, careful scrutiny of every draft, frequent challenging questions, wise advice, many invaluable leads, and patience with this long-running project. Patience was also called for from my publisher, and I particularly thank Claudia Heyer, Editor, Library and Information Science, at De Gruyter. Of course, I did not always follow the advice of my referees and editors and accept sole responsibility for the resulting text. For the approximately ten years that I worked on the book, my family and friends put up with my frequent absences, both physical and mental. My wife, Monika, also read and commented on every draft chapter at least once. I thank her for that, for her unflagging patience and support, and for much more. Deo gratias

Statement of institutional affiliation Work on this book commenced in 2009 while the author was an Extraordinary Professor at the University of Pretoria and a Visiting Professor at the University of Wisconsin-Milwaukee (UWM). It was continued and completed during 2011–2019 while the author taught occasional online courses as an adjunct instructor at UWM, and was engaged as an Extraordinary Professor and subsequently Research Associate in the Department of Information Science at the University of Pretoria. The latter constitutes the author's primary institutional affiliation.

https://doi.org/10.1515/9783110267990-205

Contents About IFLA

V

Foreword Preface

VI IX

Acknowledgements

XVI

Statement of institutional affiliation List of Tables

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List of Figures

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List of Acronyms, Initialisms and Abbreviations used in the text

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Part I: Concepts 1 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.8.1 1.8.2 1.8.3 1.8.4 1.8.5 1.8.6 1.8.7 1.8.8

From local to global: the expanding horizons of libraries and related information organizations 3 Introduction 3 Periodization of library development 4 Libraries – from local to global horizons 8 Horizon 1: Local 9 Horizon 2: Imperial 9 Horizon 3: Universal 11 Horizon 4: National 12 Horizon 5: International 13 Internationalism 14 Responses of polity and community internationalists 16 Scholarly communication 17 International library conferences and cooperation 18 The ideal of universal bibliography 20 The inter-war period 23 Aftermath of the Second World War 25 UNESCO 26

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1.8.9 1.8.10 1.8.11 1.8.12 1.8.13 1.9 1.9.1 1.9.2 1.9.3 1.9.4 1.9.5 1.10 2 2.1 2.2 2.3 2.3.1 2.3.2 2.3.3 2.3.4 2.3.5 2.3.6

Contents

IFLA 28 Promoting library development in developing countries Wider involvement 30 Technological advances 31 Internationalism following the Second World War 32 Horizon 6: Global 35 Impact of globalization 36 Dematerialization 39 Commodification 41 Globalization and resource discovery 43 Other impacts of globalization on LIS 45 Conclusion 47

A field of study and research 49 Introduction 49 Emergence of a professional literature 50 Themes, genres, motives, and values 51 Travel and exoticism 52 Philanthropy and ameliorative motives 53 Extending national influence 54 Area studies 55 International understanding 55 Internationalism, internationalization and international cooperation 56 2.3.7 Policy and advocacy documents 59 2.3.8 Improving practice 60 2.3.9 Perspective 61 2.3.10 Advancing knowledge 62 2.4 The literature of international librarianship 66 2.4.1 Bibliographies and overviews 66 2.4.2 Edited collections 68 2.4.3 International and regional surveys 70 2.4.4 Single-country studies 70 2.4.5 Special topics 71 2.4.6 The current state of the literature of international librarianship 72 2.5 The literature of comparative librarianship 73 2.5.1 Conceptual and methodological literature 73 2.5.2 Comparative studies 76

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2.5.3 2.6 2.7 2.7.1 2.7.2 2.7.3 2.7.4 2.8 2.9 2.10 2.11 3 3.1 3.2 3.2.1 3.2.2 3.2.3 3.2.4 3.3 3.3.1 3.3.2 3.3.3 3.3.4 3.4 3.4.1 3.4.2 3.4.3 3.5 3.6 3.6.1 3.6.2 3.6.3 3.6.4 3.6.5

The current state of comparative librarianship 80 Definition and scope of international librarianship 81 Definition and scope of comparative librarianship 86 The definition of Danton (1973) 86 National, cultural or societal environments 88 Cross-, inter-, trans-. . .cultural, national, societal 90 Working definition 91 Distinction between international and comparative librarianship 91 The nation state, methodological nationalism and globalization 93 Towards global library and information studies 96 Conclusion 98 Conceptual exploration 100 Introduction 100 The need for theory 101 Naive empiricism 101 Theory 103 Grand and less grand theory 105 Theory in international and comparative librarianship The library concept 109 Documents 109 Information 111 Knowledge 113 Users 117 A universal concept? 118 Elements of a definition 119 The library as an agency 120 Universality? 121 The conduit metaphor: transmission as a conceptual framework 124 Systems frameworks 128 General systems theory 129 Systems analysis 130 Systemism 133 Complexity 135 Library systems 135

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3.6.6 3.6.7 3.7 3.7.1 3.7.2 3.7.3 3.7.4 3.8 3.8.1 3.8.2 3.9 3.10

Contents

The international dimension 139 Infrastructure 139 Ecosystems and the LIS environment 141 Ecosystems 142 Environmental factors 144 Variation within countries 147 The international and global environment 147 Culture 150 Dimensions of culture 150 Cultural relativism 154 Libraries and culture 156 Conclusion 159

Part II: Method 4 4.1 4.2 4.2.1 4.2.2 4.3 4.4 4.5 4.5.1 4.5.2 4.5.3 4.5.4 4.6 4.6.1 4.6.2 4.6.3 4.6.4 4.6.5 4.6.6 4.6.7 4.6.8 4.7

Preparing for research: metatheoretical considerations Introduction 163 Method, methodology and metatheory 164 Methods and methodology 164 Metatheory 165 Metatheory, methodology and methods: the Iceberg Model 166 Metatheoretical dimensions 168 Major research paradigms 169 Positivism 170 Postpositivism 173 Interpretivism 174 Other current paradigms 175 The sociological dimension 177 The work team 180 The formal organization 180 Disciplinary and paradigmatic influences 182 The political system 183 Culture 184 Ethnocentrism 186 Multinational research 188 Language 191 The teleological dimension 192

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4.7.1 4.7.2 4.7.3 4.7.4 4.7.5 4.7.6 4.8 4.8.1 4.8.2 4.8.3 4.8.4 4.9 4.9.1 4.9.2 4.9.3 4.9.4 4.9.5 4.9.6 4.10 4.10.1 4.10.2 4.10.3 4.10.4 4.10.5 4.10.6 4.11 4.11.1 4.11.2 4.11.3 4.11.4 4.11.5 4.11.6 4.12 5 5.1 5.2 5.3

Positivism and postpositivism 193 Interpretivism 193 Applied research 195 Ameliorative studies 196 Benchmarking studies 198 “League tables” 198 The ontological dimension 200 Ontological stances 201 Some ontological assumptions 204 Some implications 206 Ontology as classification or typology 207 The epistemological dimension 210 Knowledge as justified true belief 210 Positivism and postpositivism 211 Interpretivism 213 Non-Western epistemologies 214 Nomothetic and idiographic research 215 Importance of epistemology 217 The ethical dimension 217 The “biomedical” ethical model 218 Interpretivist critique of the “biomedical model” 219 Non-utilitarian approaches 220 Ethics in research involving indigenous people 221 Ethics in cross-national and cross-cultural research collaboration 223 Knowledge sharing 224 Evaluation of metatheoretical assumptions 225 Sociological dimension 225 Teleological dimension 226 Ontological dimension 226 Epistemological dimension 226 Ethical dimension 227 General metatheoretical/paradigmatic stance 227 Towards methodology 228 Methodological decisions 230 Introduction 230 Methodological decisions and metatheory Quantitative and qualitative methodologies

231 232

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Contents

5.4 5.5 5.5.1 5.5.2 5.5.3 5.6 5.7 5.7.1 5.7.2 5.7.3 5.8 5.8.1 5.8.2 5.9 5.9.1 5.9.2 5.9.3 5.10 5.10.1 5.10.2 5.10.3 5.11 5.12 5.13 5.14 5.14.1 5.14.2 5.14.3 5.14.4 5.14.5 5.14.6 5.14.7 5.14.8 5.15

Mixed methods 236 The comparative method 239 Historical development 239 Is there such a thing as “the comparative method”? 242 The significance of “large macrosocial units” 244 Theory and mechanics of comparison 245 Terminology 252 A data matrix 252 Levels of analysis 253 Cases and comparators 257 Comparative strategy 258 How many countries? 259 Variable-oriented vs. case-oriented strategies 260 Comparative research designs 261 Single-country studies (case studies) 261 Many-country comparisons 263 Few-country comparisons 267 Selection of countries 271 Single-country studies (case studies) 271 Many-country comparisons 272 Few-country comparisons 272 Typologies and country groupings 277 Selecting an appropriate level of analysis 280 The time dimension 282 Evaluation of methodology 285 Methodological sources 285 Quantitative vs. qualitative approach 285 Comparative research strategy 285 Comparative research design 286 Selection of countries 286 Units of analysis 286 Levels of analysis 286 Time dimension 287 Conclusion 287

6 6.1 6.2 6.3

Method: procedures, techniques, instruments Introduction 289 Data sources 290 Concepts 291

288

Contents

6.4 6.5 6.6 6.7 6.7.1 6.7.2 6.7.3 6.8 6.8.1 6.8.2 6.8.3 6.9 6.9.1 6.9.2 6.9.3 6.9.4 6.9.5 6.10 6.11 6.11.1 6.11.2 6.12 6.13 6.14 6.15 6.16 6.17 6.18 6.19 6.20 6.20.1 6.20.2 6.20.3 6.20.4 6.21 6.22 6.22.1 6.22.2 6.22.3 6.22.4

XXV

Defining concepts 293 Concepts and defining attributes: the qualitative approach 296 Variables and indicators: the quantitative approach 298 Concepts across boundaries 301 Concepts and language 301 Can concepts “travel”? 303 Equivalence 304 Framing questions across cultures 306 Varieties of English 307 Translating questions 308 Measurement equivalence 310 Survey design and execution 311 Sampling 312 Self-administered questionnaires 314 Interviewing 315 Observation 319 Coding and data processing 320 Documentary sources 321 Documents as primary sources 322 Analysis of official and organizational documents 322 Evaluating documents 323 Content analysis 325 Bibliometric and related analyses 326 Secondary sources 328 General country information 329 International comparative data – general 332 International comparative data – LIS 338 Information on LIS in specific countries 341 Information on international organizations 342 Challenges in using secondary sources 343 Origin and derivation 344 Reliability and comparability 345 Potential bias 346 A note on language and the use of secondary sources 348 Researching in other countries 348 Evaluation of methods 351 Language competence 352 Conceptualization and operationalization 352 Survey design and execution 352 Documentary sources 353

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Contents

6.22.5 6.23

Practical challenges Conclusion 353

353

Part III: Political economy 7 7.1 7.2 7.3 7.4 7.4.1 7.4.2 7.4.3 7.5 7.5.1 7.5.2 7.5.3 7.5.4 7.5.5 7.6 7.6.1

The political economy of LIS 357 Introduction 357 Political economy 358 International political economy 360 Civil society 361 Non-governmental organizations 363 NGOs and LIS 366 Foundations 367 The business sector 369 Growth and power of the business sector 370 Relations to government 371 Corporate social responsibility 372 Multinationals 373 Relations with civil society 374 The public sector 375 Three illustrative cases 376 CASE A: Big Government 377 CASE B: Small Government 378 CASE C: Transitional economy 379 7.6.2 Implications 381 7.7 Intergovernmental organizations 381 7.7.1 The United Nations and related organizations 383 7.7.2 The “Bretton Woods institutions” 385 7.7.3 Regional IGOs 386 7.7.4 IGOs in international political economy 387 7.8 The digital divide 388 7.9 Information/knowledge as an economic good 391 7.10 Information as a resource 393 7.11 Intellectual property 395 7.11.1 Definition and scope 395 7.11.2 Purpose 396 7.11.3 Stakeholders 397

Contents

7.11.4 7.12 7.12.1 7.12.2 7.12.3 7.12.4 7.12.5 7.12.6 7.13 7.13.1 7.13.2 7.13.3 7.14 8 8.1 8.2 8.3 8.4 8.4.1 8.4.2 8.4.3 8.4.4 8.4.5 8.5 8.5.1 8.5.2 8.5.3 8.5.4 8.6 8.6.1 8.6.2 8.7 8.8 8.9 8.9.1 8.9.2

Copyright owners and their critics 398 Intellectual property in international context 400 Globalization and concentration of control 400 Harmonization 402 Impact on developing and emerging countries 403 The drive to seek ever-stronger protection 405 Intellectual property treaties 406 Trade agreements 407 Contesting intellectual property 409 Information/knowledge as a public good 410 Information for the public good 411 The commons and its enclosure 412 Conclusion 414 Access to knowledge and global flows of information 415 Introduction 415 The access to knowledge movement 416 Mitigating intellectual property restrictions 419 Pushback: international advocacy 421 Advocacy for A2K 421 The WIPO Development Agenda 422 Continuing advocacy at WIPO 424 The 2030 agenda for sustainable development 425 Access to the cultural record: orphan works and related materials 426 Open access 429 Emergence of open access 429 Open access models 431 Objections, advocacy, and promotion 432 Predatory journals 434 Other legal strategies 435 Non-proprietary alternatives 435 Avoidance 436 Radical and extra-legal resistance 436 Globalization and information flows 438 Global information flows: North – South 440 ‘Old’ problems 440 ‘New’ problems 441

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XXVIII

8.9.3 8.10 8.10.1 8.10.2 8.11 8.12 8.13

Contents

North-South flow more broadly 444 Global information flows: South – North 446 Seven forms of South-North information flow 446 Scholarly information 449 Global information flows: South – South 454 Global information flows: North – North 457 Conclusion 459

Part IV: Influence 9 International influence and diffusion of ideas in LIS 463 9.1 Introduction 463 9.2 Influence 466 9.3 Diffusion 468 9.3.1 Processes of cultural change 469 9.3.2 Types of diffusion 470 9.3.3 Diffusionism 471 9.3.4 Diffusionism and diffusion of innovations 472 9.4 Diffusion of innovations: the Rogers model 473 9.4.1 Rogers’ four elements of diffusion 473 9.5 Limitations of the Rogers model 477 9.6 Other research traditions 478 9.6.1 The epidemic concept 478 9.6.2 Social cognition 480 9.6.3 Knowledge utilization 480 9.7 Diffusion in LIS 482 9.8 Diffusion in ICT and information systems 485 9.8.1 Micro level studies 485 9.8.2 Macro level studies 488 9.8.3 Alternative approaches 490 9.9 Diffusion of policy 490 9.9.1 Policy 491 9.9.2 Policy transfer and innovation 493 9.10 Policy transfer in applied social science disciplines 494 9.10.1 Political science 495 9.10.2 Sociology and social work 496 9.10.3 Public management 497 9.10.4 Business and management 498 9.10.5 Law 500

Contents

9.11 9.11.1 9.11.2 9.11.3 9.11.4 9.11.5 9.11.6 9.11.7 9.12 9.12.1 9.12.2 9.12.3 9.12.4 9.12.5 9.12.6 9.12.7 9.12.8 9.12.9 9.12.10 9.12.11 9.12.12 9.13 9.13.1 9.13.2 9.14

Policy transfer in education 501 Transfer: borrowing or learning? 501 The model of Thomas and Postlethwaite 502 The Phillips and Ochs model 503 Context, initiative, and outcomes 506 Other approaches 509 The significance of transnational networks 510 Globalization and convergence 512 Towards a framework for studying transfer in LIS 513 Context 516 Sources (“Who”) 517 Intermediaries 517 The innovation 517 The Agency/Channel/Process nexus 519 Agency: which agents make things happen (or not happen)? Channels (“through which channels?”) 520 Process (“with which process?”) 520 Recipients (“to Whom”) 522 Relations between sources, intermediaries and recipients Outcomes 523 Beneficiaries 523 Exhibit A: Le retard français 524 Early American influence 525 Awareness and responses to le retard français 527 Conclusion 531

10 Colonialism, development, and aid 532 10.1 Introduction 532 10.2 Colonization and colonialism 533 10.2.1 Carving up the modern world 534 10.2.2 Forms of colonialism 536 10.2.3 The ideological dimension 537 10.3 Political-economic consequences of colonialism 10.4 Decolonization 542 10.5 After colonialism 544 10.5.1 Postcolonial 545 10.5.2 Decolonization of the mind 546 10.5.3 Imperialism and globalization 547 10.5.4 Neocolonialism 548 10.6 Developing countries 549

539

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519

522

XXX

10.6.1 10.6.2 10.6.3 10.7 10.8 10.8.1 10.8.2 10.9 10.9.1 10.9.2 10.9.3 10.9.4 10.9.5 10.9.6 10.10 10.10.1 10.10.2 10.11 10.11.1 10.12 10.12.1 10.13 10.13.1 10.14 10.14.1 10.15 10.15.1 10.16 10.16.1 10.17 10.17.1 10.18

Contents

Terminology 549 Diversity 551 Diverse colonial and postcolonial trajectories 553 Poverty 554 Development 556 Definitions 556 Measures of development 557 Theories of development 560 Modernization theory 561 Theories of underdevelopment 563 Human development 565 MDGs and SDGs 566 Castells 568 Other theoretical approaches 569 Development aid 570 Definitions 571 Framework for discussing development aid 573 Donors 573 Donors in LIS projects 576 Donor motives 578 Donor motives in LIS aid 579 Forms of aid 580 Forms of LIS aid 583 Process: channels, intermediaries, agents 584 Process issues in LIS aid 586 Recipients 586 Recipients of LIS aid 588 Context 589 Contextual factors in LIS aid 590 Outcomes 591 Outcomes and evaluation of LIS aid 594 Conclusion 596

11 LIS development and aid (1) 597 11.1 Introduction 597 11.2 LIS development questions 598 11.2.1 What do we understand by LIS development? 11.2.2 Assessing LIS development 600

598

Contents

11.2.3 11.3 11.3.1 11.3.2 11.3.3 11.3.4 11.4 11.4.1 11.4.2 11.4.3 11.5 11.5.1 11.5.2 11.5.3 11.6 11.7 11.7.1 11.7.2 11.8 11.8.1 11.8.2 11.8.3 11.8.4 11.9 11.9.1 11.9.2 11.9.3 11.9.4 11.9.5 11.9.6 11.9.7 11.9.8 11.9.9 11.9.10 11.9.11 11.9.12 11.10

XXXI

How does LIS development relate to national development? 603 Factors influencing LIS development 604 Which factors favour LIS development? 604 Which factors inhibit LIS development? 607 Generic factors 609 Synchronic analysis of development factors 610 LIS development trajectories 613 General trends in library development 613 Historical and political-economic factors 614 Generalized LIS development trajectories 615 Historically literate realms 616 Early literacy 616 Western incursions and influence 617 Development following the Second World War 619 Exhibit B: China 621 Latin America 625 Colonial rule in Latin America 625 Post-colonial development in Latin America 627 Former colonies of large-scale European settlement 632 Early libraries in North America 632 The British dominions 633 Dominions with settler minorities 635 Algeria 637 Exhibit C: The Carnegie Corporation, Canada, and New Zealand 638 The Carnegie Corporation of New York 638 Canada: early library development 640 U.S. foundations in Canada: the Carnegie Corporation 641 U.S. foundations in Canada: the Rockefeller Foundation 643 Impact of U.S. philanthropy in Canada 643 The colonization of New Zealand 644 British influence in New Zealand 645 Stalled development of LIS in New Zealand 646 The Carnegie Corporation in New Zealand 646 Building a national library system in New Zealand 648 Assessing U.S. influence in New Zealand 649 Comparative comment 651 Conclusion 652

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Contents

12 LIS development and aid (2) 653 12.1 Introduction 653 12.2 Former colonies of limited European settlement 654 12.2.1 Pre-colonial conditions 654 12.2.2 Colonization 655 12.2.3 Initial impact of colonization on the cultural record 656 12.2.4 Library development under colonial regimes 657 12.2.5 Post-colonial library development 660 12.2.6 LIS development aid 662 12.2.7 Obstacles and deviations 664 12.2.8 Critical reception of Western LIS 665 12.2.9 Rethinking LIS in the South 667 12.2.10 Western LIS assistance: cynical or well-intended? 671 12.3 Exhibit D: Francophone Africa 672 12.3.1 Colonial library development 673 12.3.2 Public libraries and the dissemination of French culture 674 12.3.3 Pervasive French influence 677 12.3.4 Divergence of francophone and anglophone Africa 677 12.4 The former Russian Empire and Soviet sphere of control 678 12.4.1 Sovietization 679 12.4.2 Post-Soviet LIS development 681 12.4.3 Some conclusions 686 12.5 Exhibit E: The European Union and Central and Eastern Europe 12.5.1 Political background 687 12.5.2 EU LIS programmes 689 12.5.3 Political background to EU enlargement 690 12.5.4 LIS-related co-operation with the CEE countries 691 12.5.5 Beyond the European Union 694 12.5.6 The Council of Europe 695 12.5.7 Closing observations 695 12.6 Five dimensions of LIS development and aid 696 12.6.1 Personnel 697 12.6.2 Clients 701 12.6.3 Collections 704 12.6.4 Technology 707 12.6.5 Vision 713 12.7 Systemic aid 715 12.8 Conclusion 718

687

Contents

13 Conclusion 720 13.1 What have we learned? 720 13.2 Reflections on the generalized development trajectories 13.2.1 Explaining the diversity of LIS trajectories 722 13.2.2 Internal factors 722 13.2.3 External factors 727 13.3 Reflections on the use of theory 729 13.4 Has international and comparative librarianship failed? 13.5 Is there a future for international and comparative librarianship? 733 Bibliography Index

865

735

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721

731

List of Tables Table 4.1 Table 4.2 Table 5.1 Table 5.2 Table 5.3 Table 5.4 Table 5.5 Table 5.6 Table 5.7 Table 5.8 Table 10.1

Research hierarchy according to Dervin, Pickard and Mouton 166 Characteristics of major research paradigms 178 Characteristics of quantitative and qualitative methodology 234 Data matrix for six public libraries (hypothetical data) 252 Levels of analysis, units of analysis and variables in a study of information literacy (IL) education 254 Data matrix for six countries (hypothetical data) 256 Comparison of two countries 257 Contingency table for three independent variables 264 Lijphart’s 1968 typology of democratic political systems 278 Typology of developing countries by colonial background 279 Development indicators for selected countries 558

https://doi.org/10.1515/9783110267990-206

List of Figures Figure 1.1 Figure 1.2 Figure 2.1 Figure 3.1 Figure 3.2 Figure 3.3 Figure 3.4 Figure 3.5 Figure 3.6 Figure 3.7 Figure 3.8 Figure 3.9 Figure 3.10 Figure 3.11 Figure 3.12 Figure 3.13 Figure 3.14 Figure 4.1 Figure 5.1 Figure 5.2 Figure 5.3 Figure 5.4 Figure 5.5 Figure 5.6 Figure 5.7 Figure 6.1 Figure 6.2 Figure 6.3 Figure 6.4 Figure 7.1 Figure 8.1 Figure 9.1 Figure 9.2 Figure 9.3 Figure 9.4 Figure 9.5 Figure 9.6

Strands of internationalism 16 Simplified schematic time-line of the six horizons 47 Manifestations of international and comparative librarianship 99 The hierarchy of concepts, statements, conceptual frameworks, and paradigms 103 The DIKW model expanded 114 Concepts of the library centred on documents, information and knowledge 118 Symbolic representation of a communication system, after Shannon & Weaver (1949, 98) 124 The Lasswell Formula 125 Vickery’s formula for the transmission of scientific and technical information 126 Expansion of Lasswell formula to depict scholarly communication 127 A library as a system 132 The library system of a country 137 Interaction and overlap of LIS system with other national systems 138 Relations between systems in two countries 140 The “book chain” 142 A network of global factors 148 Categories of heritage 157 The “Iceberg Model” of research assumptions and decisions 167 Relationship of comparative methodological choices to metatheory 232 Bereday’s four-step method 247 Phillips’ Structure for comparative inquiry 250 Number of countries studied: level of detail and degree of abstraction 259 Public libraries and literacy: MSSD, most similar systems design 274 Public libraries and literacy: MDSD, most different systems design 275 Difference between synchronic and diachronic comparisons 284 Extension of concept and scope of study 295 Intension of concept and scope of study 295 Example of spurious lexical equivalence 307 Theoretical concepts and cross-contextual equivalence 310 Typology: relative power of government, business and civil society 377 Acceptance/rejection of the intellectual property system 419 The Rogers model 474 Typical bell curve and corresponding S-curve depicting frequency distribution of innovation adoption over time 479 Policy transfer in the spectrum of innovations 493 Forces for and against change 503 Simplified diagram of the four principal stages of educational policy borrowing 504 Continuum of educational transfer 507

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XXXVI

Figure 9.7 Figure 9.8 Figure 9.9 Figure 9.10 Figure 10.1 Figure 10.2 Figure 11.1 Figure 12.1 Figure 12.2 Figure 13.1

List of Figures

The “Space-Gate” moment 508 Basic scheme of the transfer process 514 Framework for questions about international transfer 515 Relationship between context dependence and resistance to an innovation 518 Countries of the North and South and Emerging Countries 552 Framework for development aid 574 Factors affecting LIS development 611 Why few books are published in African languages 716 Relationship of development, transfer and aid 719 Radar chart showing relative strengths of development factors for an imaginary country 726

List of Acronyms, Initialisms and Abbreviations used in the text A2K A2M AAP ACA2K ACCT ACDF ACP ACS ACTA ACURIL AD ADBPA AfDB AfLIA AGOA AGORA AID AIDBA AIDS AISI AJOL ALA ANABADS ANT ARDI ASA AU BCE BLDSC BOBCATSSS

BPI BPR BRICS CAMP CARD CBO CBS

Access to Knowledge Access to Medicines Association of American Publishers African Copyright and Access to Knowledge [Project] Agence de cooperation culturelle et technique American Committee for a Devastated France [better known as CARD] African, Caribbean and Pacific African Centre for Statistics Anti-Counterfeiting Trade Agreement Association of Caribbean Research, University and Institutional Libraries Anno domino, after Christ (generally replaced by CE, but occurs in quotations) Association pour le développement des bibliothèques publiques en Afrique African Development Bank African Library Associations and Institutions [U.S.] African Growth and Opportunity Act Access to Global Online Research in Agriculture [U.S.] Agency for International Development Association internationale pour le développement des bibliothèques en Afrique Acquired immune deficiency syndrome African Information Society Initiative African Journals Online American Library Association Association nationale des bibliothécaires, archivistes et documentalistes sénégalais Actor-Network Theory Access to Research for Development and Innovation Africa Studies Association African Union Before current era British Library Document Supply Centre [An annual LIS symposium held under the auspices of EUCLID. The name BOBCATSSS is derived from the names of the LIS schools that formed the initial partnership.] Bibliothèque publique d’information Business Process Reengineering Brazil, Russia, India, China & South Africa Cooperative Africana Microfilm Project Comité américain pour les regions dévastées [American Committee for a Devastated France] Community-based organization [Netherlands] Centraal Bureau voor de Statistiek (Central Bureau of Statistics)

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XXXVIII

CC CCAA CDNL CD-ROM CDS/ISIS CE CEE CENL CIA CILIP CISTI CIVETS CLAC CLM CLS CoNGO CONSAL COPE COSALC CREATe CRPD D&U DA2I DAC DDC DFID DG DG XIII DG CONNECT DG EAC DIKW DISA DOAJ DPI EASLIS EBAD EBLIDA EBSCO EC ECA ECLAC ECOSOC EEC EFTA EIBF EIFL

List of Acronyms, Initialisms and Abbreviations used in the text

Creative Commons Co-ordinating Council of Audiovisual Archives Associations Conference of Directors of National Libraries Compact disc read-only-memory Computerised Documentation Service / Integrated Set of Information Systems Current era Central and Eastern Europe Conference of European National Libraries [U.S.] Central Intelligence Agency Chartered Institute of Library and Information Professionals [UK] Canada Institute for Scientific and Technical Information Colombia, Indonesia, Vietnam, Egypt, Turkey and South Africa Centre de lecture et d’animation culturelle en milieu rurale [IFLA] Committee on Copyright and other Legal Matters [New Zealand] Country Library Service Conference of NGOs in consultative Relationship with the United Nations Congress of Southeast Asian Librarians Committee on Publication Ethics Coalition of South African Library Consortia RCUK Centre for Copyright and New Business Models in the Creative Economy Convention on the Rights of Persons with Disabilities Dissemination and utilization Development and Access to Information Development Assistance Committee (of OECD) Dewey Decimal Classification [UK] Department for International Development Directorate General (European Commission) see DG CONNECT Directorate General for Communications Networks, Content and Technology (formerly DG XIII) Directorate General for Education, Youth, Sport and Culture Data – information – knowledge – wisdom [model] Digital Innovation South Africa Directory of Open Access Journals [UN] Department of Public Information East African School of Library and Information Science (at Makerere University) École de bibliothécaires, archivistes et documentalistes, Dakar European Bureau of Library, Information and Documentation Associations [orphan initialism] originally: Elton B. Stephens Company European Commission [UN] Economic Commission for Africa [UN] Economic Commission for Latin America and the Caribbean [UN] Economic and Social Council European Economic Community European Free Trade Association European and International Booksellers Federation Electronic Information for Libraries [Since 2010. Originally known as eIFL.net]

List of Acronyms, Initialisms and Abbreviations used in the text

ELIS ENSIL ERIC ESCAP ESCWA ESS ESS EU EUCLID FAIFE FAO FDI FID

FINNIDA FOSS FP FRBR FTA G20 GATT GDP GDR GIP GISWatch GLAM GNI GNP GONGO GPL GST GUM HDI HINARI HIV IAD IAEA IAML IASL IBBY IBRD ICA ICBS

XXXIX

Encyclopedia of library and information science [3rd and 4th ed.: . . .sciences] European Network for School Libraries and Information Literacy [U.S.] Educational Resources Information Center [UN] Commission for Asia and the Pacific [UN] Economic and Social Commission for Western Asia European Social Survey European Statistical System European Union European Association for Library and Information Education and Research [Committee on] Free Access to Information and Freedom of Expression [a “core activity” of IFLA] Food and Agricultural Organization of the United Nations Foreign direct investment International Federation for Information and Documentation [Initially International Federation for Documentation; acronym derives from the French Fédération internationale de documentation] Finnish International Development Agency Free and open source software Framework programme [of the European Commission] Functional requirements for bibliographic records Free trade agreement Group of Twenty [20 major economies] General Agreement on Tariffs and Trade Gross domestic product German Democratic Republic General Information Programme [UNESCO] Global Information Society Watch Galleries, libraries, archives and museums (in the context of convergence of these institutions) Gross national income Gross national product Government-sponsored NGO General public licence General systems theory Government 2.0 Utilization Model Human development index [originally:] Health Internet Access to Research Initiative Human immunodeficiency virus Institutional Analysis and Development International Atomic Energy Agency International Association of Music Libraries International Association of School Librarianship International Board on Books for Young People International Bank for Reconstruction and Development, commonly known as the World Bank International Council on Archives International Committee of the Blue Shield

XL

ICLG ICOLC ICOM ICOMOS ICRC ICSU ICT4D ICTD ICT(s) IDI IDRC IFAN IFAP IFEX IFLA IFLA-L IFRRO IGF IGO IHDI IIA IIB IK IKS ILIC ILIG ILL ILO ILMS IMF INASP INCD INGO INIS IPA IPE IPR IRB IS ISBD ISI ISKO ISO

List of Acronyms, Initialisms and Abbreviations used in the text

International and Comparative Librarianship Group [of the Library Association], later renamed ILIG International Coalition of Library Consortia International Council of Museums International Council on Monuments and Sites International Committee of the Red Cross International Council for Science (formerly International Council of Scientific Unions) Information and Communications Technology for Development Information and Communications Technology for Development Information and communication technology(ies) ICT development index International Development Research Centre [Canada] Institut français de l’Afrique noire Information for All Programme (of UNESCO) [Formerly:] International Freedom of Expression Exchange International Federation of Library Associations and Institutions (initially International Federation of Library Associations) General mailing list (listserv) of IFLA International Federation of Reproduction Rights Organizations Internet Governance Forum Inter-governmental organization Inequality-adjusted human development index Institute of Internal Auditors International Institute for Bibliography (French: Institut international de bibliographie) Indigenous knowledge Indigenous knowledge system International Library Information Center International Library and Information Group [of CILIP], originally ICLG Inter-library lending International Labour Organization Integrated library management system International Monetary Fund International Network for the Availability of Scientific Information International Non-Commercial Document Supply [of BLDSC] International non-governmental organization International Nuclear Information System International Publishers Association International political economy Intellectual property rights Institutional review board Information systems International Standard Bibliographic Description Institute for Scientific Information International Society for Knowledge Organization International Organization for Standardization (not an acronym)

List of Acronyms, Initialisms and Abbreviations used in the text

ISSC ITU JEP JPPS JSTOR JTB K K-12 KIC KILM KIT LAMP LCA LD LDC LFA LIBECON LIBER LIS LISA LLDC MARC MDG MDSD MEDLARS MEMP MLS MMR MNC MOOC MPCC MSSD N NAFTA NAM NATIS NATO NCVO NGO NIC NIDL NLS NMPLIS

XLI

International Social Science Council International Telecommunications Union Joint European project Journal Publishing Practices and Standards [framework] A digital library; name derived from “journal storage” Justified true belief Symbol for the number of variables in a dataset Kindergarten through Grade 12 (primary and secondary education, in USA) Knowledge Information Centre Key indicators of the labour market Koninklijk Instituut voor de Tropen (Netherlands Royal Tropical Institute) Latin American Microform Project Library Copyright Alliance Legal deposit Least developed country Logical Framework (Logframe) Analysis European Library Economics for International Benchmarking (also LibEcon) Ligue des bibliothèques européennes de recherche (Association of European Research Libraries) Library and information services; Library and information science (depending on context) Library and information science abstracts Land-locked developing country Machine-readable cataloging Millennium development goal Most different systems design Medical Literature Analysis and Retrieval System [of the US National Library of Medicine] Middle East Microform Project Master’s [degree] in Library Science Mixed methods research Multinational corporation Massive open online course Multipurpose community centre Most similar systems design Symbol for number of cases or countries in a dataset North American Free Trade Agreement Non-aligned Movement National Information Systems (UNESCO program) North Atlantic Treaty Organization [UK] National Council for Voluntary Organisations Non-governmental organization Newly industrialized country New international division of labour National Library Service New Masters Programmes in Librarianship and Information Science (a TEMPUS programme)

XLII

NPAC NTIA NWICO NZLA OA OARE OAS OASPA OBE OCIAA OCLC ODA OECD OED OER OOC OPAC OpenDOAR ORBIT OSCE OSI PADIS PDF PEN PERI PERii PEST PESTLE PGI PISA PL-480 PLA PLR POMS PPBS PPP PSP QCA R&D R4L RCUK RFID RRO RSA RUDIS SABINET SAD

List of Acronyms, Initialisms and Abbreviations used in the text

[US] National Program for Acquisitions and Cataloging [US] National Telecommunications Infrastructure Administration New World Information and Communication Order New Zealand Library Association Open access Online Access to Research in Environment Organization of American States Open Access Scholarly Publishers Association Outcomes-based education [US State Department] Office of the Coordinator of Inter-American Affairs Online Computer Library System (originally: Ohio College Library System) Official development assistance Organisation for Economic Cooperation and Development Oxford English dictionary Open educational resources Out of commerce Online public access catalogue Directory of Open Access Repositories On-line retrieval of bibliographic text Organization for Security and Co-operation in Europe Open Society Institute Pan-African Development Information System Portable document file [Originally:] Poets, Essayists, Novelists Programme for the Enhancement of Research Information Programme for the Enhancement of Research Information, second phase Political, economic, social and technological [factors] Political, economic, social, technological, legal and environmental [factors] Programme générale d’information [see GIP] Programme for International Student Assessment [US] Public Law 480 Public Library Association Public lending right Production and Operations Management Society Planning, Programming Budgeting System Purchasing power parity Professional scholarly publishing [division of AAP] Qualitative comparative analysis Research and Development Research for Life (“Research4Life”) Research Councils UK Radio-frequency identification Reproduction rights organization Royal Society for the Encouragement of Arts, Manufactures & Commerce Rural Development Information Service Southern African Bibliographic Information Network Systems analysis and design

List of Acronyms, Initialisms and Abbreviations used in the text

SADC SADCC SAMARC SANLiC SAP SCCR SCECSAL SciELO SCOLMA SDC SDG SDLC SES Sida SIDS SIIA SIL SLEPT SNA SNO SOMAFCO SPELIT SRI SRKS STAGE STEPE STM SWOT TACIS TAM TC46 TDS TEEAL TEMPUS TNC TPB TPM TPP TRA TRIPS TTIP UAE UAP UBC

XLIII

Southern African Development Community (successor to SADCC; confusingly pronounced “sadek”) Southern African Development Coordination Conference (predecessor of SADC) South African MARC South African National Library and Information Consortium Structural adjustment programme [WIPO] Standing Committee on Copyright and Related Rights Standing Conference of East, Central and Southern African Library and Information Associations Scientific Electronic Library Online UK Libraries and Archives Group on Africa (formerly known as the Standing Committee on Library Materials on Africa) Systems Development Corporation Sustainable development goal Systems development life cycle Socio-economic status Swedish International Development Cooperation Agency Small island developing state Software and Information Industries Association Summer Institute of Linguistics Social, legal, economic, political and technological [factors] Social Network Analysis Supranational organization Solomon Mahlangu Freedom College Social, political, economic, legal, intercultural, and technological [factors] Socially responsible investment Strengthening Research and Knowledge Systems (programme of INASP) Support for Transition in the Arts and Culture in Greater Europe Social, technological, economic, political, and ecological [factors] Scientific, technical and medical Strengths, weaknesses, opportunities, and threats Technical Assistance to the Commonwealth of Independent States Technology acceptance model [ISO] Technical Committee 46 (Information and Documentation) Technology Delivery System The Essential Electronic Agricultural Library Trans-European Mobility Programme for University Studies Transnational corporation Theory of planned behaviour Technological copyright protection measures Trans-Pacific Partnership Theory of reasoned action Trade-Related Aspects of Intellectual Property Transatlantic Trade and Investment Partnership United Arab Emirates Universal Availability of Publications Universal Bibliographic Control

XLIV

UDC UIS UK UN UN-DESA UNDP UNECA UNECE UNEP UNESCO UNHCR UNICEF UNIMARC UNISIST UNOG UN-OHRLLS URL US USA USBE USD USIA USIS USMARC USSR UTAUT WCT WDI WHO WIPO WSIS WTO

List of Acronyms, Initialisms and Abbreviations used in the text

Universal Decimal Classification UNESCO Institute for Statistics United Kingdom of Great Britain and Northern Ireland United Nations United Nations Department of Economic and Social Affairs United Nations Development Programme United Nations Economic Commission for Africa United Nations Economic Commission for Europe United Nations Environment Programme United Nations Educational, Scientific and Cultural Organization [Office of the] United Nations High Commissioner for Refugees United Nations Children’s Fund (originally United Nations International Childrens’ Emergency Fund) Universal MARC World Science Information System (UNESCO program) United Nations Office at Geneva United Nations United Nations Office of the High Representative for the Least Developed Countries Universal resource locator United States [of America] (used as adjective) United States of America Universal Serials and Book Exchange (formerly United States Book Exchange US dollar United States Information Agency United States Information Service United States MARC Union of Soviet Socialist Republics Unified Theory of the Acceptance and Usage of Technology WIPO Copyright Treaty World Development Indicators (World Bank database) World Health Organization World Intellectual Property Organization World Summit on the Information Society World Trade Organization

Part I: Concepts

1 From local to global: the expanding horizons of libraries and related information organizations . . .I hold that library service, bibliographic organisation and library classification recognise no national or political boundaries. They are international. The library profession is international. Bibliographers and documentalists are international. As librarian and classificationist, I belong to the world and not merely to any particular country (S.R. Ranganathan 1951, 94). By its nature librarianship has always looked beyond the narrow group it was serving (Coblans 1974, 11). To librarians national boundaries are handicaps to be overcome. . . (Urquhart 1977, 133).

Outline 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10

Introduction 3 Periodization of library development 4 Libraries – from local to global horizons 8 Horizon 1: Local 9 Horizon 2: Imperial 9 Horizon 3: Universal 11 Horizon 4: National 12 Horizon 5: International 13 Horizon 6: Global 35 Conclusion 47

1.1 Introduction Libraries are a world-wide phenomenon. Indeed, like schools and banks we find them in every country. They are also border-crossing institutions. Their fundamental purpose is to acquire, and facilitate access to, recorded knowledge regardless of its origin, so that knowledge can be put to work in their communities. Libraries are the proverbial window on the world, opening up horizons beyond the communities which sustain them, and beyond the borders of the countries where they are located. In a much-cited book, Matt Ridley (2010) extolled the human capacity for innovation as the answer to the many threats to our survival on this planet. He argued that the exchange of ideas is critical to https://doi.org/10.1515/9783110267990-001

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human survival and development.1 Librarians can endorse this sentiment. Libraries have for millennia been instrumental in the exchange of ideas between nations and cultures. In the preceding paragraph I have deliberately avoided the word “international.” The reason for this will become clear later in this chapter, in which I attempt to sketch the evolution of the spatial and intellectual horizons of librarianship, documentation, and information activities – the wider field of librarianship, documentation and information services commonly denoted by LIS2 (library and information services) – from early times to the present. Here the focus is on the international dimension of LIS as a field of activity. International and comparative librarianship as a field of study is dealt with in Chapter 2. My emphasis is on internationalism and international LIS activities from the second half of the nineteenth century onwards, followed by the impact of globalization after the Second World War.

1.2 Periodization of library development The development of libraries is commonly delineated following the periodization of world history, which in most cases is focussed on the history of Europe and its antecedents. A tripartite division of history into ancient, medieval and modern, which had developed since the fifteenth century and was enshrined in the twentieth century in the three massive Cambridge histories of the modern, medieval and ancient periods,3 today remains the norm in Western conceptualization. This is reflected for example in American university departments, textbooks and journals, and even in textbooks purporting to reject the prevailing Eurocentric focus (W. A. Green 1992).4 In library science texts we commonly find chapters dealing with libraries in Antiquity, the Middle Ages, the Renaissance, the Enlightenment and the modern period (e.g. M. H. Harris 1999; Arns 2009). Sometimes Byzantine

1 A video of Ridley expounding this belief can be viewed at TED, http://www.ted.com/talks/ matt_ridley_when_ideas_have_sex.html, accessed 2018-04-20. 2 The ambivalence of the initialism LIS is discussed in Section 3.2. 3 These multi-volume works, published over many years under successive editors, are listed at “Cambridge Histories Online,” https://www.cambridge.org/core/what-we-publish/collections/ cambridge-histories, accessed 2018-08-28. The more recent Cambridge world history, in nine volumes, also listed there, employs a more nuanced and partly overlapping periodization. 4 Green himself does not subscribe to the tripartite division, preferring a view which identifies the tenth and eighteenth centuries as “times of major discontinuity in European society” and for world history, a sixteenth century division between premodern and modern epochs.

1.2 Periodization of library development

5

and Arab libraries are also covered, and in the modern period there may be some mention of libraries in the developing world. But the periodization is essentially Eurocentric and Americentric. An example of this is the approach followed by Glynn (2004) in his brief overview of the development of “global librarianship.”5 More recently, P.M. Richards, Wiegand and Dalbello (2015) have sought to extend and deepen the work of M.H. Harris (1999) by including chapters on European influence in Africa and Australasia. In covering the period between the eighteenth and early twenty-first centuries, they identified three “historical transitions. First, in the mid-nineteenth century librarianship in the USA and Britain evolved from “keepers of books” to a “pragmatic profession committed to serving the public at large.” In a second transition, the Anglo-American concept of librarianship spread to continental Europe. The third, postcolonial, transition is characterized by globalization and major technological changes (Richards, Wiegand, and Dalbello 2015, xvi). Here library history is related to political, social and cultural history, but Western library history dominates. This is necessarily the case in the Cambridge History of Libraries in Britain and Ireland (Hoare et al. 2006), which is divided into three longer periods anchored in British history: to 1640, 1640–1850, and 1850–2000. Library history can be seen as embedded in the history of information, but Aspray (2015) has argued that there are at least six fields of which information history can be considered a subset, including the histories of archives, books and publishing, communication, computing, information science, and libraries. It is evident that the history of libraries is related to the history of the technologies that have particularly shaped their contents and services, as in a history of the book by Dahl (1968). Elements of periodization in which stages and transitions are identified, can be found in works dealing with documentation (Coblans 1974), information science (Rayward 1996) information history (Weller 2008, 2011a; Black and Schiller 2014), and digital convergence (Dalbello 2015, 206–7). From the perspective of information technology, the advent of printing in the

5 In the frequently prescribed introductory LIS text by R. Rubin (2004) libraries cross the Atlantic during the seventeenth and eighteenth centuries and we hear no more of them elsewhere. Of this period Rubin writes: “As we move to the next period in the development of library missions, it is time to leave the European continent” (p.273). In fairness to Rubin, we need to take into account that his text is intended for American students and is of very general scope. Library history barely occupies half a chapter. But this Americentric worldview is widespread, being reflected for example in the entry by Arns (2009) on “Libraries” in the Encyclopedia of library and information science. Here the sections on “Nineteenth century libraries” and “Modern libraries” are entirely devoted to library development in the USA. The Encyclopedia’s entry on “History of libraries” is only marginally more international in scope (Tucker and Goedeken 2009).

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West provides an obvious point of demarcation. That of digital information and communication technology, specifically the internet, is another. Since the late twentieth century there has been a widespread belief that some sort of watershed has been reached, an information revolution is taking place, and that the world has entered a new era, variously referred to as the post-industrial society (Bell 1976), the information society, the knowledge society (Burch 2006), the knowledge economy, network society, etc. (UNESCO 2005; Weller 2008, 76–81). But this may be a blinkered view. Frank Webster (2014, 2–3, 11–13) has commented on the succession of ‘revolutions,’ ‘societies’ and ‘hot topics’ that have been announced since the advent of micro-electronics in the 1970s and has called into question “the implied causal chain: that technology impacts on society/politics to change the way we are” (xi). In any case, historians are pointing out that information is not new; humankind has depended on the transmission of information from the earliest times. What has changed is that we have become aware of it as an entity rather than as a process. This change coincided with the Enlightenment. According to Black (1998, 41), “the reification of information as a resource, which stands at the heart of the information society idea, is not . . .recent in origin, but parallels the development of modernity.” A long gestation period, from about 1750 (Weller 2011b, 3–5) or 1650 (Rayward 2012), with complex political, cultural, societal and intellectual dimensions, preceded the information revolution. The reflection of Rayward (2012) on the development of “information infrastructures” during the period spanning the mid-seventeenth century to the present, is particularly relevant here in that it places bibliographic control in its international context. Within this period he has focussed on the Belle Époque, approximately 1880–1914, as a key period in the development of international librarianship and documentation (Rayward 2014, 1–4). Black and Muddiman (2007, 237–38) located the emergence of an “early information society” between the years 1890 and 1960, when information came to be seen as “a resource, a commodity, an entity in its own right.” In a theoretically based attempt to devise a comprehensive periodization scheme for library history, Meijer (1991) explicitly took Western history (including its origins in the ancient Near East, and in other regions in which European culture has subsequently been adopted) as the basis for his work. After considering various “keys” he arrived at “knowledge development” as the “periodizing key” and divided the history of Western librarianship into three eras, the “Era of limited knowledge (3000 BC – AD 1520)”; “Era of broader knowledge (1520– 1789)”; and the “Era of specialized knowledge (1789 onwards),” based primarily on the extent to which the whole population was able to “participate in the development and refinement of fields of knowledge” (Meijer 1991, 73). For the purpose of this chapter, Meijer’s periodization is too broad. A less rigid approach

1.2 Periodization of library development

7

more grounded in intellectual history was followed by Krummel (1999) who based a scheme of “seven ages of librarianship” on “the changing and cumulative institutional functions of libraries in Western civilization.” For each “age” he gave a rough starting date, but no end date, and outlined the general character, institutional objectives (or guiding ideals), sponsors and contents of libraries. These can be summarized as follows: 1. From 3000 BCE: The Quotidian Age, the earliest libraries, serving as working archives in emerging civilizations 2. From 300 BCE: The Academic Age, libraries serving as centres of culture (with the ancient Library of Alexandria as the most famous example) 3. From 500 CE: The Religious Age, libraries, such those of monasteries, serving as archival shrines 4. From 1350 CE: The Humanistic Age, libraries, such as those of scholar-princes of the Renaissance, serving as testimony to virtue 5. From 1600 CE: The Age of Reason, scientific libraries, such as Oxford’s Bodleian, serving as a basis for knowledge and study 6. From 1700 CE: The Age of Democracy, libraries such as national libraries, university and (especially from 1850) public libraries, serving as instrument of social betterment 7. From 1910 CE (and more specifically 1945 or 1970): The Age of Technology, technocratic libraries, serving as instrument for social change. This does not do justice to Krummel’s thought-provoking periodization. Although very much based on Western history and paying scant attention to other major civilizations, it has the merit of taking a number of aspects into account. At the other extreme, a periodization specifically of international librarianship by Ludington (1954) covered only the field of U.S. involvement from 1876 to the early 1950s. Ludington identified three periods. The first period comprises 1876 to the outbreak of the First World War; the second period is that between the two world wars; the third period covers the Second World War and after. In an article marking the centenary of the American Library Association, Werdel and Adams (1976) proposed a different periodization more closely linked to library development in the USA, dividing their historical overview of U.S. participation in international scientific and technical communication since 1776, into four periods: (1) the Age of dependence, 1776–1826; (2) Age of national growth, 1826–1876; (3) Growth of specialization and international cooperation, 1876–1926; and (4) The modern era, 1926–1976. The year 1926 was chosen because it marked the establishment of the International Library and Bibliographic Committee, the direct forerunner of the International Federation of Library Associations (IFLA). Generally, all of these attempts at periodization are limited in that they are derived largely from Western

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political, social and technological developments. If nothing else, this affects the timeframe, which in developing countries is greatly compressed in comparison with that of library development in Europe (Asheim 1966, 82). Rayward (1996, 12–13) contributed a useful reflection on periodicity in relation to the history of information science, referring to the distinction made by the Annales school of French historiography, and formulated by Braudel (1958), between the different rhythms of history, the slow-moving, almost timeless durée longue (long term or time), the durée moyenne (medium term), in which the rate of change is measured rather in centuries and encompasses major social, economic and technological movements, and the durée courte (short term), in which change, punctuated by events, takes place at a tempo that contemporaries can perceive. In library history, it seems, we tend to focus on the durée courte, in the more recent and very recent past, but medium- and long-term rhythms continue below the surface of recent and contemporary blips. As I explored the topic, it became clear that I was not dealing simply with periods that succeeded one another in time, but with orientations and aspirations in librarianship. Like those of Krummel, these emerged over time, but they were not necessarily replaced by newer ones. I shall refer to these orientations and aspirations as ‘horizons.’

1.3 Libraries – from local to global horizons In the sections that follow I attempt to sketch the evolution of the spatial and intellectual horizons of librarianship from early times to the present. By ‘horizon’ I mean the geographic (e.g. local, national, international, global) and intellectual space within which librarians see their work (for example in terms of collections, bibliographic control and users) and the extent to which they interact with librarians and scholars in other cultural and political entities. One might also use the German word Umwelt, which has a greater resonance than the English ‘environment,’ to refer broadly to the spatial and cultural reach and intellectual scope of libraries. The term ‘horizons’ implies that different horizons can coexist in the same geographical space and at the same time. The evolution of libraries in terms of such horizons is not necessarily synchronized. Although I relate this evolution to certain historical periods and identify a number of phases occurring in a chronological sequence, the horizons overlap, and some recur in new manifestations. I must emphasize that this is an exploratory exercise and I paint with a broad brush. Unfortunately, this overview is limited largely to Western library and information history, and my emphasis is on the more recent periods. With these provisos, an outline of the horizons follows, roughly in order of appearance.

1.5 Horizon 2: Imperial

9

1.4 Horizon 1: Local The first libraries, which may have been primarily archives, are thought to have made their appearance in temples, which had governance as well as religious functions. Early libraries are known from China, Egypt and Mesopotamia (M. H. Harris 1999; Glynn 2004; Yu and Chiou-Peng 2011). The early city states were small, as were the collections. In the course of time polities grew and we find royal libraries of greater scope. But libraries of mainly local significance and with collections of limited scope have persisted to this day. City libraries in Ancient Greece and the collections of monasteries, cathedrals and the nobility during the Middle Ages were of limited scope. During the late Middle Ages and the Renaissance, especially after the advent of printing in Europe, the number and scope of private libraries assembled by the wealthy elite and royalty increased (E. D. Johnson 1970, 147–60). The advent of free public libraries during the nineteenth century was a significant development at the local level. These libraries were preceded in the eighteenth century by various forms of social and subscription libraries, which served the educated elites, and by agencies aimed at educating and uplifting the working classes, such as the mechanics’ institutes. True public libraries, funded by public authorities from tax revenues, were a phenomenon of the mid-nineteenth century in both Britain, where enabling legislation, the Public Libraries Act, was passed in 1850, and in the United States, where the public library of Boston was founded in 1854 (R. E. Rubin 2016, 58–62; Sturges 2003, 96–100). It should be noted, however, that the public libraries that emerged in large cities developed major scholarly collections and were by no means limited to a purely local horizon. Following explosive growth since the mid-nineteenth century, the vast majority of libraries in the world today are relatively small public and school libraries.6 Their horizon is mainly local or institutional, which is not to say that their collections do not encompass material from the wider world.

1.5 Horizon 2: Imperial It is in the larger, expanding polities that we first find royal libraries with an imperial horizon. Here the well-known ancient libraries of Ashurbanipal, Alexandria, and Pergamum can be mentioned (M. H. Harris 1999, 19–21, 42–48), while in

6 Black and Hoare (2006) mention a great variety of small and “hidden” libraries, such as libraries in army encampments, hotels, pubs, coffee houses, prisons etc.

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China royal archives or libraries were maintained as early as the Shang Dynasty (1600–1100 BCE) (Yu and Chiou-Peng 2011, 976). The horizon expanded to encompass the literary and scholarly products of the diverse peoples of an empire. According to J.W. Thompson ([1940] 1962, 11–12) Ashurbanipal (668 BCE – c. 627 BCE) gave instructions to ensure that clay books found in various provinces of his empire were systematically collected and delivered to his library, where they were transcribed and annotated. Whilst the Ptolemies of Egypt were therefore not the first rulers to collect and translate books in many languages “as tools of commercial and political intelligence and cultural information,” the Library of Alexandria, founded in the reign of Ptolemy I Soter in the 3rd Century BCE, was “unique in scope and scale. . . the first to underwrite a programme of cultural imperialism” (MacLeod 2000, 2–3). The Library aggressively collected books from beyond its country’s borders, and Galen recounted that the Pharaoh’s customs officials confiscated books from ships entering the harbour, copied them and returned the copies to the ships, whilst keeping the originals (MacLeod 2000). The Library at Alexandria was engaged in rivalry with the library of the King of Pergamon. If the story is to be believed, this led to an early example of book-related trade sanctions, when the Ptolemies forbade the export of papyrus to Pergamon, forcing the Pergamenes to start using the substance we now know as parchment (Staikos 2004, 254). Here one should also mention the libraries that flourished during the period of Arab dominance of the Mediterranean basin. The fine editions of the ancient Greek philosophers that were printed in the European Renaissance were made possible by the Byzantines and the Arabs, who had preserved, studied and copied the ancient Greek works in their libraries after the Western Roman Empire had disintegrated. Were it not for the Arabs, who established great centres of learning throughout the Arab world – as far afield as Timbuktu – much of our classical heritage would have been lost (Lerner 1998). The imperial horizon was to reappear later, notably in Western Europe in the nineteenth century, when national libraries, along with museums built up collections of books and artefacts collected from the colonial empires. An interesting example comes from nineteenth century South Africa and New Zealand. The same British colonial administrator, Sir George Grey, served as governor of New Zealand (1845–1853 and 1861–1868) and of the Cape Colony (1854–1861). He took a great interest in philology and amassed a considerable collection of early books and pamphlets dealing with the indigenous languages of sub-Saharan Africa and Oceania – vocabularies, grammars, translations of catechisms, hymns and gospels, mostly produced by missionaries. Through a combination of generosity and accident, these materials are now held in the National Library of South Africa, in Cape Town, and in the Auckland Public Library, in New Zealand.

1.6 Horizon 3: Universal

11

Although legislation was passed to permit the exchange of materials, South Africa’s national library still holds significant Maori and Polynesian materials. It is interesting to note that, in addition, these two outposts of the British Empire acquired some medieval manuscripts and some incunabula from Sir George Grey (Kerr 2006). Today, imperialism is a term of opprobrium. In this connection it is interesting to note that the reproach of “bibliographic imperialism” has more recently been levelled at the United States Library of Congress in connection with its acquisitions activities in Africa (Lor and Britz 2004a, 15–17). Imperialism in relation to colonialism, and contemporary cultural imperialism and imperialism in the political-economic sense are referred to in later chapters.

1.6 Horizon 3: Universal It is difficult to separate the imperial from the universal horizons. The imperial horizon of the ancient Library of Alexandria rapidly expanded to universal scope, as is reflected in its aggressive collection of books from beyond its ruler’s realm. During the Middle Ages the universe of libraries contracted. It was an intellectual rather than a spatial universe, limited essentially to a restricted Judaeo-Christian, Greco-Latin corpus. It is no coincidence that this period saw the advent of universities in Europe. Libraries served a society in which national boundaries were less significant than the church and the monastic orders, and where the national languages then developing took second place to Latin. For Europe at least, Latin was the universal language of the Church and scholarship. Astronomers from Poland, Denmark and Italy communicated their discoveries in Latin; Erasmus and Descartes wrote in Latin; in Sweden Linnaeus devised a universal scheme for naming all living organisms, using a mixture of Latin and Greek. The universal idea was widespread and from the late Middle Ages it found expression also in dreams of universal bibliography, best exemplified by Conrad Gesner’s Bibliotheca universalis of 1545 (Coblans 1974, 25–26) and by the proposals (not implemented) of a later polymath, Gottfried von Leibniz (1646–1716), for universal abstracting and indexing (Glynn 2004, 7). Control in the sense of enumeration and description of resources has been an abiding theme in librarianship and documentation. The growing use in European scholarship of languages other than Latin, and the advent of the scientific journal greatly impeded bibliographic control (Coblans 1974, 26), but the universal ideal surfaced again in the nineteenth century, being reflected for example in formal agreements for the exchange of publications between institutions in different countries, and in the late nineteenth and

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early twentieth century projects, taken up again after the Second World War, for universal bibliographic control. Here formal international collaboration was harnessed with varying degrees of success. International projects strictly speaking imply the existence of nation states, and it is therefore necessary to consider the national horizon before proceeding to the international horizon.

1.7 Horizon 4: National The Peace of Westphalia, a set of treaties negotiated in Münster and Osnabrück, which brought to an end the Thirty Years War (1618–1648), has traditionally been thought to have provided the formal basis for the sovereignty of states,7 consolidating a transition that had commenced three centuries earlier (Philpott 2014). This was followed somewhat later by the notion of the nation state, which emerged with the rise of nationalism and proliferated world-wide following the American and French revolutions of the late eighteenth century (A. Wimmer and Feinstein 2010). The recognition in 1648 of the sovereignty of the major European states was a milestone in a development process that had started considerably earlier, as is exemplified by the slow process by which the rulers of the Île de France gradually extended their control over the hexagonal territory that we today know as France (Kinder and Hilgemann 1982, 1:120–25, 190–93). Dialects spoken in centres of political and economic power such as the various royal capitals gained recognition as national languages. This period also saw the emergence of royal libraries in various royal capitals. From 1483 the royal library of the kings of France was passed on from father to son. It was moved to the royal palace of the Louvre in Paris in the 1560s. These royal collections later provided the basis for some of Europe’s national libraries. The French royal library was renamed the Bibliothèque nationale during the French Revolution (Poulain 1992, 1877). The sixteenth and seventeenth centuries were also marked by other book and bibliographic developments of national scope, for example, the first legal deposit legislation, which was promulgated in 1537 in France by King François I (Crews 1988, 553). Further development of national libraries took place in the nineteenth and twentieth centuries, sometimes as a symbol of national identity, as new states emerged (I. McGowan 2011, 3854–55). Augst (2001, 17) commented that “the creation of large national libraries throughout the early modern period was co-incident with the invention of traditions that helped to legitimize the modern nation state.”

7 The significance of the Westphalian treaties is a contested topic. See Erin Wilson (2012).

1.8 Horizon 5: International

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In developing countries, the national libraries were often built on an institution founded during the colonial period and sought to follow the model of the national library of the former colonial power. The national, imperial and universal horizons were intertwined. The great national libraries of major powers (such as the British Museum, the Bibliothèque nationale, and the Library of Congress) were national institutions but they were universal and imperial in scope. Specimens and artefacts of all kinds, including books and other documentary materials, collected or looted in the colonies, were added to the collections of national museums, libraries and archives. The British Museum Department of Printed Books has been regarded as one of the instruments of imperial rule (Black and Schiller 2014, 650). For example, in 1842 the British Copyright Act was made applicable to all the colonies and territories comprising the British Empire, so that in the case of South Africa publishers in the Cape Colony and the Colony of Natal were required to send a copy of each printed work to London, to be added to the collection of the British Museum’s Department of Printed Books. Unfortunately for the retrospective bibliography of South Africa (Willemse 1962) and other former British territories, this requirement was honoured more in the breach than in the observance. From the late 1800s to the mid-1900s the printed catalogues of the great national libraries were the closest approximation to universal bibliography to be found at that time. However, the cataloguing rules they handed down were national; there was as yet no impetus for international standardization (Coblans 1974, 11–12). The national horizon continues to this day in national libraries and national library services, national legislation, standards, library associations, etc.

1.8 Horizon 5: International The concept ‘international’ presupposes that of ‘national.’ Hence one cannot strictly speaking discuss international librarianship before the coming of the nation state. Indeed, according to the Oxford English dictionary (OED) the word ‘international’ is of relatively recent origin, having been coined by the English utilitarian philosopher – and prolific creator of new words – Jeremy Bentham. He introduced it in 1789 in his Introduction to Principles of Morals and Legislation to refer to the law of nations (Bentham 1789, para. XXV). International law was important to maintain relations – international relations in the true sense – between the autonomous nation states which formed the building blocks of the system of nation states that had emerged from the Peace of Westphalia in 1648. The nineteenth century saw the emergence of many new states. Following the Napoleonic wars, the Congress of Vienna (1814–1815) attempted to

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consolidate and bring into balance the major European powers, but the balance was disturbed by the decline of some empires, such as those of Spain and Turkey, and the expansion of others, such as those of Britain, France and Russia. Further turmoil accompanied the unification of Germany and Italy and the emergence or re-emergence of smaller nation states (e.g. Belgium and Serbia) in the interstices between the major powers (Schroeder 2001). At the same time colonial empires expanded to cover the blank spaces on the maps of all the continents but Antarctica. By the end of the nineteenth century the system of nation states had developed to the point where almost all of the Earth’s surface was controlled, at least nominally, by one nation state or another. The competition among the major powers, growing ethnic nationalisms, and the resistance of subordinate groups striving to establish their own nation states led to a growing threat of instability and armed conflict. It is against this background that we see the rise of internationalism.

1.8.1 Internationalism According to the OED the word ‘internationalism’ was first recorded in 1843. The OED lists four meanings, of which the second (first recorded in 1851) is relevant here: “The principle of cooperation and understanding between different nations; belief or advocacy of this principle.” Here I use the term ‘internationalism’ broadly to refer to attitudes, ideals and advocacy in favour of constructive relations among nations, and in favour of arrangements among them that promote peace, stability and human wellbeing. Internationalists then, are those who hold such attitudes and contribute to the pursuit of these ideals. The two broad categories of internationalists proposed by Herman (1969, 6–8) and further developed by Kuehl (1986) provide a useful perspective on internationalism.8 Writing about American internationalism in the nineteenth and early twentieth centuries, and building on the distinction between ‘community’ (Gemeinschaft) and ‘society’ (Gesellschaft) made by the German sociologist Ferdinand Tönnies (1887), Herman distinguished between “political” and “community” internationalists. The distinction was summarized by Kuehl (1986, 4), who preferred the term ‘polity’ to ‘political’: The community internationalists perceive society as something more than structured national states. They believe that people possess an autonomy of their own and that an

8 I have discussed this elsewhere with particular reference to internationalism and the role of libraries in promoting peace (Lor 2015a, 2016).

1.8 Horizon 5: International

15

interdependency of human beings does exist. The polity internationalists think primarily along juridical or governmental lines.

Here we see two main strands of internationalism. Both were concerned with ensuring lasting world peace. But while the polity internationalists worked within the framework of the nation-state system to create formal structures for peace such as, in the course of time, the League of Nations and later the United Nations (UN) and related intergovernmental organizations, the “community internationalists” took more idealistic approaches: They called for universal brotherhood, advanced the notion of an interdependent world, hoped to spread democracy, achieve disarmament, combat militarism, and abolish warfare (Kuehl 1986, 4).

Kuehl proposed two further categories of internationalists: Socialist internationalists adhered to Marxist doctrine, emphasizing the brotherhood of man and the necessity for the “minds of the masses. . .[to] be imbued with class consciousness before international cooperation in the form of universal brotherhood can be achieved” (Kuehl 1986, 5). This was sometimes referred to as “red internationalism” (Somsen 2014, 217). It was associated with socialism, communism and the socialist Internationals – the First Workingmen’s International (1848–1876), the Second International (1889–1916) of socialist and labour parties, and the Third or Communist International, also known as the Comintern (1919–1943) (P. Anderson 2002). It is interesting to note that the Second International’s permanent executive and information body was the International Socialist Bureau, based in Brussels,9 a city which features prominently in the history of our field during this period. The other category proposed by Kuehl was that of “liberal internationalism,” which had a middle class character, took a generally optimistic and positivist approach to the development of society, and sought practical means of achieving peace, for example, by arms control and arbitration (Kuehl 1986, 5). Within this category I would place what I shall call the scientific universalists, who held a positivist belief that the sciences offered the solutions to the problems of society, and who sought to create systems and even artificial languages for the universal dissemination of scientific literature. Is it far-fetched to see them as heirs to the earlier Latin-speaking universal scholars? This shows that there were many strands of internationalism. Within them there were many variations. Figure 1.1 depicts the broad classification used here.

9 Wikipedia, “Second International,” http://en.wikipedia.org/wiki/Second_International, accessed 2018-04-20

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Internationalism

Polity internationalism Community (e.g. Geneva Conventions, internationalism 1864-; ITU, 1865) Liberal internationalism (e.g. ICRC, 1863-)

Peace movements

Socialist (“red”) internationalism (1848-)

Scientific universalism

Figure 1.1: Strands of internationalism.

It should be noted that Figure 1.1 depicts inter alia a distinction between liberal and socialist internationalism. Liberal internationalism should not be confused with liberalism in international relations as studied in political science, where a distinction is made between political liberalism (or idealism) and political realism, theoretical perspectives which in various versions alternately dominated international relations from the First World War onwards (Korab-Karpowicz 2013). If all this seems rather far removed from librarianship, it should prove more relevant a little later as we consider the perspectives of librarians, documentalists and others concerned with information and knowledge.

1.8.2 Responses of polity and community internationalists The period which stretched approximately from the mid-nineteenth century to the 1930s was one of transition, characterized by increasing complexity and risk.10 Polity internationalists responded inter alia by the development of international law, including the first Geneva Conventions (1864, 1906, 1929) (Derosier 2006a) and Hague Conventions (1899, 1907) (Derosier 2006b) dealing with humanitarian relief and rules of war respectively. Various international agreements were reached relating to transport and communications. The Permanent Court of Arbitration was established in The Hague in 1899 (Manhire 2017, 200). In 1919, in the aftermath of the First World War the League of Nations was established,

10 Black and Hoare (2006, 7–8) see the period 1850 to 2000 as “coinciding with the maturation of modernity,” a period which saw a significant growth of libraries’ international scope.

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followed in 1922 by the Permanent Court of International Justice (Fitzmaurice and Tams 2013, 1). A new, global telecommunications order started taking shape in the mid-1800s (Hartmann 2014, 23–24). The International Telecommunications Union (ITU) was founded in 1865 as the International Telegraph Union; it was followed by the World Meteorological Organization, founded as the International Meteorological Organization in 1873, and the Universal Postal Union in 1874 (Manhire 2017, 335–40). In 1874 the Greenwich meridian was selected as the word’s prime meridian at the International Meridian Conference, although the French delegates objected and France continued to use the meridian of Paris to establish its national time for some decades after (Aslet 1999, 266), illustrating the obstacles presented by national pride. The responses of community internationalists took many forms. I have already referred to “Red internationalism” and the formation of international socialist and communist organizations. Various shades of liberal internationalists pursued ideals of universal peace, world government, and the harnessing of scientific progress for human well-being regardless of national borders (Somsen 2014). This is illustrated by the creation of non-governmental organizations and institutions for humanitarian work, such as the International Committee of the Red Cross (ICRC) in 1863,11 and can be seen as part of a larger phenomenon, the emergence of international non-governmental associations. In this era of scientific positivism many scientists – I have referred to these as scientific universalists – believed that scientific progress should be harnessed not only to combat social problems and promote healthier and more harmonious societies, but also to ensure world peace. During the nineteenth century there were at least 38 projects to create artificial languages such as Volapük. Esperanto and Ido. Some were intended as auxiliary languages to facilitate scientific communication, others for the more general purpose of bridging linguistic barriers between peoples (Kajewski 2014; Kloe 2014).

1.8.3 Scholarly communication It is in this context that we should mention various international schemes for the exchange of publications among universities and research institutions. Formal arrangements for the exchange of publications between universities in Germany and France developed in the first half of the nineteenth century. These mainly

11 The ICRC is a private humanitarian organization but enjoys special recognition under international humanitarian law. See Hvenmark and Wijkström (2012, 1442).

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concerned the exchange of dissertations. The Akademische Tauschverein (academic exchange association), established at the University of Marburg in 1817, soon gained member institutions outside Germany. An Agence centrale des échanges internationaux (centre for international exchanges) was set up by Alexandre Vattemare in Paris in or around 1832 but did not survive its founder’s death in 1864. On the other side of the Atlantic, the Smithsonian Institution (founded in 1846) embarked on a large-scale international program for the exchange of government publications (Krüss [1933] 1961; Gwinn 2010). Another manifestation of internationalism is the influence of American librarianship in Europe, mainly through exposure of European visitors to American libraries and library education (cf. Danton 1957; Chaplan 1971; Byberg 1993; Black 2016). The variously named international fairs and expositions that became prominent from the mid-nineteenth century can be seen as expressions of both polity and liberal internationalism. Although it was not the first such exposition, the “Great Exhibition of the Works of Industry of all Nations,” held in London in 1851, is conventionally considered to have been the first in a series of the major universal expositions.12 The national pavilions showcased the achievements and nationalist aspirations of the participating nation states. They served national commercial interests, but also provided opportunities for the diffusion of information and for communicating scientific progress, providing platforms for scientific universalists. Rayward (2014, 6) expresses the paradox: “They embodied a universalist aspiration that was harnessed to goals of nationalist prestige.”

1.8.4 International library conferences and cooperation The international expositions are of particular interest here because they played a significant role in the development of our field, stimulating both national and international contact and cooperation in librarianship. The first national meeting of librarians took place concurrently with the second World’s Fair, held in New York in 1853 in imitation of London’s Great Exhibition. This first ‘national convention of librarians’ in the United States attracted some international interest. Vattemare was in attendance to promote his scheme for international exchanges, and a number of foreign librarians presented papers (Rudomino 1977, 66). It was followed by a second meeting of librarians at the second World’s Fair held in the United States, the Centennial Exposition in Philadelphia in 1876. One British

12 Wikipedia, “World’s fair,” https://en.wikipedia.org/wiki/World%27s_fair, accessed 201804-20.

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librarian attended (Black 2016, 147) as well as some other foreign guests (Rudomino 1977, 67). On this occasion the American Library Association (ALA) was founded (Gambee 1968). The British followed the American example in the following year, when the (British) Library Association was founded at the First International Congress of Librarians, in which librarians from a number of countries participated (Hewitt 1976; Horrocks 1977). This was the first of eleven international conferences of librarians, bibliophiles and archivists which preceded the founding of IFLA.13 Paul Otlet used the Universal Exposition of Brussels, held in 1897, to promote his project (on which more below) of a universal scientific catalogue, a section on bibliography being included in the science exhibition (Rayward 2014, 8–9). The holding of international conferences of librarians and the creation of international associations of librarians and documentalists can be interpreted as manifestations of liberal internationalism. These meetings should also be seen against the background of the very significant development of librarianship that occurred in the second half of the nineteenth century. There was massive growth in the numbers of public, academic, and research libraries in the United States and Europe. Growing organizational complexity arising from rapidly expanding collections, coupled with a greater awareness of the needs of library users and a shift away from the traditional curatorial role of the librarian, was prompting innovation in library procedures, techniques, technology, buildings and administration. At the above-mentioned meeting of librarians during the Centennial Exposition of 1876, hugely influential innovations were launched, including Melvil Dewey’s “Decimal classification and subject index,” and Charles Ammi Cutter’s “Rules for a printed dictionary catalogue,” a major contribution to the theory of library cataloguing (Carpenter 1994, 114).14 International meetings provided opportunities for the exchange of ideas and experiences, and served as a channel for the diffusion of innovations in librarianship, documentation and bibliography (Lor 2017). The American and British library associations engaged in international activities at an early stage. In 1905 the ALA established a Committee on International

13 These international conferences have been described by Rudomino (1977) in her chapter on the “prehistory of IFLA,” which provides useful references to early proceedings and accounts. They are also referred to by Black (2016, 147–49) in the context of early US influence on British librarianship, 14 The annus mirabilis of 1876 was the year in which the USA became a net international exporter of library innovations. It was also the year in which Alexander Graham Bell invented the telephone and in which Johns Hopkins University was founded. This was the US’s first research-intensive university (Emard 1976); the first of new type of university there which would need a large, well-organized research library.

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Relations (Krüss [1933] 1961). For a brief period (1877–1882) the two associations shared a journal, that of the ALA (Olle 1977, 252). Initially international activities mainly took the form of representation at each other’s conferences and at those of other national associations, but in the first decade of the twentieth century cooperation between the USA and the United Kingdom was manifested more concretely in the adoption of the Anglo-American cataloguing rules of 1908 (Munford 1976; Blake 2002).

1.8.5 The ideal of universal bibliography Rayward (2012, 2014) has discussed the growth of the idea of a universal catalogue from roughly 1850 onwards, focussing especially on the European Belle Époque, from 1880 to 1914, as a turning point in the development of the world’s information infrastructure.15 Coblans (1974, 26–28) described the nineteenth century as a period of crisis in bibliographic control, which came to a head in the last decade of that century. I see this as a period during which the universal, imperial, national and international horizons coincided to a greater or lesser extent. During this period too, the contradictions internal to internationalism, as reflected in the various forms mentioned above, can be discerned in various international initiatives and projects in the fields of bibliography and librarianship. At the risk of over-simplification, it is necessary to distinguish here between the bibliographic control of books and that of journal literature. The bibliographic control of books and related publications was being addressed by the creation of national and trade bibliographies and by the publication of the catalogues of major national libraries, referred to earlier. This was being done, essentially, within the framework of the system of nation states. However, the enormously expanding scientific and scholarly literature appearing in scientific journals and other serials could not be dealt with in the same way. Scientists needed relevant publications regardless of language and country of origin. Growing specialization, the proliferation of journals throughout the West and the use of multiple languages, such as the Slavic languages spoken in the Austro-Hungarian, Russian and German empires (cf. Surman 2014), gave rise to a sense of crisis. Given the nationalist and imperialist context of the period, could this literature be dealt with in the same manner, that is, using national structures as building blocks for an international

15 Rayward has written extensively on bibliographic control initiatives of international scope in this pivotal period (e.g. 1975, 1981, 1991, 1997, 2003, 2012, 2014).

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system? Murra (1951) described in some detail seven attempts, starting in 1851, to “organize bibliography internationally.” The first of these was an attempt, launched under the auspices of the Royal Society of London, to create a “Catalogue of Scientific Papers” in which scientific journals of the nineteenth century would be indexed (Murra 1951, 27–32). The second, better known, was an attempt, led by the Royal Society and involving various foreign organizations, to compile a universal index, the “International Catalogue of Scientific Literature,” which ultimately covered the years 1901 to 1914. The project was plagued by problems and was finally written off. The failure of the project was in part due to its reliance on “national bureaux” and the recording of scientific input on a country-by-country basis (Coblans 1974, 27–28). During roughly the same period, American scientists were involved in setting up international indexes along broad disciplinary lines, such as chemistry and zoology, the latter initiative giving rise in 1896 to the Concilium Bibliographicum, a scheme for international bibliographic control of zoological literature, based in Zurich (Werdel and Adams 1976, 46). The most ambitious and fascinating initiatives during this period were those of two Belgian lawyers, Paul Otlet and Henri La Fontaine, who organized the First International Conference of Bibliography in 1895 and followed it up by founding the Institut international de bibliographie (International Institute of Bibliography, IIB). An international office to support it was set up in Brussels with a subvention from the Belgian government. The aim of the IIB was the construction of an index named the Répertoire bibliographique universel (universal bibliographic index). It would organize the scholarly literature of the entire world, using the Universal Decimal Classification (UDC), an adaptation and expansion by Otlet of Melvil Dewey’s Decimal Classification. The first conference was followed by four more, in 1897, 1900, 1908 and 1910. The Répertoire was a visionary scheme, well in advance of the technology it needed. It did not long survive the calamities of the First World War and the lack of interest on the part of successive Belgian governments. It was terminated in the 1930s, when it had grown to around 16 million entries (Rayward 2012). However, the IIB did survive under different names until 2001. The UDC is still being updated and used in many countries. It is worth noting that this ambitious bibliographic enterprise by no means exhausts the scope of Otlet’s endeavours, which included laying the theoretical foundations for scientific documentation and the creation of the Palais Mondial, later named the Mundaneum, an institution conceived not only to house the Répertoire’s index cards, but also to serve as a multifaceted expression of internationalism (Rayward 2003, 4–6). Together with La Fontaine he was also instrumental in founding the Union of International Associations (Laqua 2013,

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471, 2014), which still exists today as a research institute and documentation centre for research and information on international organizations.16 Both Otlet and La Fontaine (a Belgian senator who was awarded the Nobel Peace Prize in 1913) were strong advocates for world peace. In terms of the categories of internationalists, I would classify them as liberal internationalists, and within this category I would group Otlet with the scientific universalists. Rayward indicates that, although Otlet had a positivist worldview, there was also a mystical element in his writings and this is reflected in his conceptualization of the Mundaneum (Rayward 2003, 6–7). One can thus read the outcomes of initiatives such as those of Otlet and La Fontaine, and the failed attempts by leaders of the British Society for International Bibliography to work with the IIB and the International Committee on Intellectual Cooperation of the League of Nations, (Laqua 2013) as reflecting a clash between the universality of science (reminiscent of the earlier universal horizon) and the ideals of community internationalism on the one hand and on the other, the constrains imposed by the nation-state system. The increasing emphasis on nation states as the basis for international bibliographic work is reflected in the evolution of the IIB. In 1937 it became the Fédération internationale de documentation (FID, International Federation for Documentation), renamed in 1988 International Federation for Information and Documentation (Rayward 1994). The changes of name reflected organizational changes. As the work at its Brussels headquarters declined and effectively came to an end in the 1930s, leadership passed to a younger generation. Following a revision of its constitution in 1924, the IIB evolved into an international non-governmental organization with national organizations as the effective members (Rayward 1994). In 1934 the headquarters were moved to The Hague. In 1994 the FID took the initiative to create a “Strategic Alliance of International Non-Governmental Organizations in Information to serve better the World Community” (Horton 2009, 2897), a strategic shift to the high ground of the information society (Tocatlian 1994). In spite of this, the FID was dissolved in 2001, having played a major role as the international forum for documentalists and librarians in research libraries and special libraries for over 100 years. It seems ironical that the FID, which had positioned itself in the broader information society, failed while the International Federation of Library Associations and Institutions (IFLA) survived in spite of being more closely linked to libraries – institutions some regarded as obsolescent. One clue to FID’s demise may be found in Horton’s (2009,

16 “Union of International Associations,” http://www.uia.org/, accessed 2018-04-20.

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2897) account of the final years, which highlighted FID’s dependence on a dwindling number of national members.

1.8.6 The inter-war period A great deal of international library activity followed the First World War. This should be seen in the context of the idealist dominance of international relations in the aftermath of that War: The idealists of the 1920s and 1930s (also called liberal internationalists or utopians) had the goal of building peace in order to prevent another world conflict. They saw the solution to inter-state problems as being the creation of a respected system of international law, backed by international organizations (Korab-Karpowicz 2013, n.p.).

However, the idealism that led to the founding of the League of Nations was followed by a new realism. The USA failed to join the League, major powers such as Germany withdrew from it when it suited them to ignore criticism of their policies, and gradually the scene was set for the Second World War. This is reflected in the fortunes of the inter-war library initiatives. The horrific destruction wrought by the war stimulated humanitarian and library development activities in Europe by American organizations, for example the rebuilding of the University Library of Leuven in Belgium (Civallero 2007), the donation of children’s libraries named L’Heure joyeuse in Belgium and France (Maack 1993), and the creation of the American Library in Paris (Maack 2005, 2007). The shortlived but influential American-sponsored Paris Library School (1923–1928), has been analysed by Witt (2013, 2014a) as an example of cultural internationalism and the advent of globalization. Following Iriye (1997), Witt (2014a, 506) described cultural internationalism as a “new variety of internationalism,” which had many of its origins in the period between the two world wars, and placed it in the context of a growing sense of “global community,” the peace movement, the advent of international non-governmental organizations, and early manifestations of (a somewhat benevolent) globalization. He considered it to be “distinct from the political and economic internationalism seen in the formation of the League of Nations and international trade agreements” in that it sought to promote lasting peace through international exchanges, scholarly exchanges, education, and cultural understanding. The question arises whether it is such a radical departure, given the distinction which we have already seen above between polity internationalism and community internationalism. The latter, with its emphasis on promoting peace through scholarly communication and collaboration, dates back to the second quarter of the nineteenth century. However, it is certainly the

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case that, as Witt pointed out, the growth of cultural internationalism during the inter-war period was accompanied by a significant increase in the number of international non-governmental organizations (NGOs), which included the founding of IFLA (Witt 2014a, 506–7). The ALA was deeply involved in international work, with an emphasis on Europe, but also elsewhere, for example in China. Towards the end of the interwar period an increasing Axis presence in the Western Hemisphere prompted Franklin Roosevelt’s Good Neighbors policy and the creation of a Division of Cultural Relations in the United States State Department (Brewster 1976, 10–13).The ALA collaborated in the State Department‘s cultural diplomacy initiatives, which intensified during the Second World War. This included the establishment of “binational centers“ and libraries, such as the Biblioteca Benjamin Franklin in Mexico (Collett 1972). The 1920s and 1930s saw major library development programmes by the Carnegie Corporation of New York in British Commonwealth countries (Rochester 1990, 1993, 1996). Space constraints preclude a discussion of these varied activities, which reflect the full spectrum of polity and community internationalism, and some of which are dealt with in Part IV of this book. An outcome of the “new, more zealous spirit growing out of World War 1” (Kraske 1985, 6) was the founding of IFLA, in which American librarians played a significant role (Mohrhardt 1977). As noted by Witt, it was one of the many international NGOs that emerged after the First World War. Koops and Wieder (1977, 12) situated the origins of IFLA “in the light of the reviving supra-national tendencies towards union, characteristic of the post-war period of the twenties. These amalgamating trends were strongly affected by the consequences of . . . World War I” and by “the radiance of a youthful League of Nations.” Here they refer also to the League’s Commission (or International Committee) on Intellectual Cooperation and its Secretariat, the International Institute for Intellectual Cooperation. This Institute, founded in Paris in 1925 and funded primarily by France, undertook a number of projects in international bibliographic and library cooperation. It set up a Sub-Committee on Bibliography in which many library directors took part (Krüss [1933] 1961, 853), encouraged the exchange of publications among scholarly institutions, and initiated the compilation of a bibliography of bibliographies, the Index bibliographicus, as well as a bibliography of translations, the Index translationum (Coblans 1974, 32). It also encouraged international inter-library lending (ILL) and the adoption by IFLA in 1936 of international rules for ILL (Jefferson 1977, 147). It did not, however, provide a support base for the post-war continuation of Otlet’s International Institute of Bibliography and his ambitious international projects (Rayward 1981, 456–62). Although much of the work of the International Institute for Intellectual Cooperation in this field was unsuccessful (Rayward 1981, 461–62), it can be seen as

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a precursor of the work in librarianship and documentation of UNESCO, which continued a number of its projects. In terms of the categories of internationalism, IFLA appears to have been of mixed parentage, having roots in both community and polity internationalism. During the Inter-War period IFLA was closely associated with the League of Nations. IFLA’s long-serving first Secretary General, Dr Tietse Sevensma, was the head of the League’s Library in Geneva (Lor 2012b, 270). But it has been noted that in its early years IFLA resembled nothing so much as a “gentleman’s club” (Wilhite 2012, 23) – perhaps evidence of the more bourgeois manifestation of liberal internationalism. In the magisterial Handbuch der Bibliothekswissenschaft, founded by Fritz Milkau before the war, and revised subsequently under the direction of Georg Leyh, there are detailed and well-documented accounts of the history of the organizations involved in international librarianship up to the interwar years (Krüss [1933] 1961) and into the 1950s (Breycha-Vauthier 1961). Until 1976 IFLA’s membership was limited to national library associations, reflecting the primacy of the nation state in international professional cooperation, but in that year membership was opened to institutions. To reflect this its name was changed to International Federation of Library Associations and Institutions, while the acronym IFLA was left unchanged. It is tempting but speculative to interpret this change as a reduction of IFLA’s dependence on bodies delimited in terms of nation states, and hence as a clue to its survival in contrast with FID.

1.8.7 Aftermath of the Second World War The end of the Second World War, like the end of the First World War, was followed by a period in which relief that peace had returned was accompanied by shame and revulsion, and by a renewed determination that this should never be allowed to happen again. During this period the United Nations came into being, the Universal Declaration of Human Rights was adopted, and the United Nations Educational, Scientific and Cultural Organization (UNESCO) was founded as the successor to the International Committee on Intellectual Cooperation. UNESCO’s founding document embodies the ideals of community internationalism: its founding ideal as stated in the Preamble to its constitution being: “Since wars begin in the minds of men, it is in the minds of men that the defences of peace must be constructed” (UNESCO 1945). This statement echoes an idealistic community internationalism that goes back to the late nineteenth century. However, international political competition and especially the looming Cold War soon made their influence felt, stifling more idealistic approaches to international scientific cooperation. This is illustrated by the fate of a proposal by the left-leaning British scientist, J.D.

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Bernal, for a more socialist approach involving the nationalization of British scientific publication and the introduction of a comprehensive, centrally planned system of scientific communication. Amid increasing concerns about Soviet ambitions in Eastern Europe, Bernal was forced to withdraw his paper, “Provisional scheme for central distribution of scientific literature,” which he had prepared for presentation at the Royal Society Scientific Information Conference of 1948 (Muddiman 2007, 66–73). UNESCO is a member of the “United Nations family,” a panoply of subsidiary or related intergovernmental organizations (IGOs), some of which had been founded as early as the nineteenth century. These organizations came to play an increasingly significant role world-wide. I argue that, in effect, they tend to reinforce the nation-state system. While they generally pursue humanitarian aims, they are based on nation states as their building blocks, and hence they embody the assumptions and procedures of polity internationalism. This ambivalence of internationalism after the Second World War is illustrated by the World Intellectual Property Organization (WIPO). Here, on political grounds diplomatic representatives of governments (when not deadlocked) make decisions that affect access to knowledge by students, scholars, and the populations of poor developing countries, while lobbyists from international civil society and representatives of commercial organizations try to influence the decisions in the corridors and at fringe events.

1.8.8 UNESCO For our purposes, UNESCO is the most relevant of the IGOs. As in all IGOs the lofty ideals expressed in UNESCO’s constitution have to be pursued using resources provided by governments that may not share these ideals and are often unwilling to contribute the resources. In accordance with the nation-state system decisions are made by diplomats representing governments. In many cases the governments of wealthy countries, which contribute most of UNESCO’s funding, jealously guard their sovereignty and are the most reluctant to agree to any form of super-national structure or programme. This is illustrated by the fate of a proposal by Theodor Besterman, head of UNESCO’s Bibliographical Section, and author of the acclaimed World bibliography of bibliographies, for a “World Bibliographical and Library Centre” at UNESCO in Paris. This was rejected in 1948 by UNESCO’s General Conference as “over ambitious and authoritarian” (Coblans 1974, 33). Instead, UNESCO placed more emphasis on coordination and stimulation, working through international non-governmental organizations (INGOs) such as IFLA and FID and through

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national associations (Coblans 1974, 32–33). The fate of Besterman’s proposal prefigured by several decades the debacle of the proposal for a New World Information and Communication Order (NWICO), which was proposed following the report, Many voices, one world (1980), of the International Commission for the Study of Communication Problems, chaired by Sean MacBride. This study was undertaken in response to complaints by Third World Countries about the oneway flow of information from the First to the Third World. The Commission’s proposals to remedy this gave rise to a great controversy in UNESCO and it was one of the factors contributing to the withdrawal from the organization of the United States , the United Kingdom (Dick 2002a, 141–42), and Singapore. Nevertheless, UNESCO has played a long and significant role in international librarianship, documentation and related fields. In the first decades following the Second World War UNESCO exercised a strong influence on library development worldwide, initially emphasizing public libraries as vehicles for promoting literacy and education, the underlying assumption being that knowledge leads to understanding, tolerance and peace (Petersen 1953). UNESCO considered libraries important enough to justify setting up a separate Libraries Division. This was engaged in a wide range of programmes, including seminars, conferences and training activities to develop national and academic libraries as well as public libraries. Such areas as bibliographic control and bibliographic standards, education and training of library workers, library cooperation, and preservation, were addressed (M. B. Evans 1954; Parker 1985, 111–47; Lor 2012b, 271–73). UNESCO also promoted the international exchange of publications, which was a significant activity for countries lacking foreign exchange, and played an important role as a partner and sponsor of IFLA programs. While much of this work was done in collaboration with the two main international NGOs in the field of information and documentation, FID and IFLA, UNESCO also developed special relationships with other “peak” international bodies in related fields, such as the International Council on Archives (ICA) the International Council of Museums (ICOM), and the International Council on Monuments and Sites (ICOMOS). Over time UNESCO’s focus shifted away from libraries as such to issues of documentation and information management. This trend coincided with the four UN development decades. The first two, spanning 1961–1970 and 1971–1980, particularly emphasized economic growth targets (Osmańczyk and Mango 2003, 2445–48). The development decades involved not only the UN itself but the entire UN system. Hence in developing countries UNESCO promoted the adoption of national information policies: primarily through two competing programmes, the UNISIST (World Science Information System) and NATIS (National Information Systems) programs (Havard-Williams 1972b; Parker 1985, 219–322), which ultimately failed (Sturges and Neill 1998, 117–28).

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1.8.9 IFLA UNESCO played a major role in resuscitating IFLA after the Second World War. In 1947 IFLA met again in Oslo after a period of dormancy, in which, it is true, it had played a modest role in a Red Cross program to deliver books to prisoners of war (Breycha-Vauthier 1961). Under the leadership of its post-war Norwegian president, Wilhelm Munthe, IFLA reached out to the German colleagues, whose newly established library associations were readmitted in 1949. During most of the immediate post-war period the IFLA leadership engaged in careful diplomacy to bridge the Cold War divide by maintaining cordial relations with colleagues behind the ‘Iron Curtain,’ despite the icy relations between their governments (D. G. Davis and Feis 2001). Throughout the post-war period, and particularly from the late 1960s, when IFLA adopted deliberate policies of reaching out to a potential membership outside Europe and North America, IFLA played a leading role in international librarianship (Campbell 2001). In the early years, UNESCO’s involvement in IFLA was not limited to funding and formal partnership relationships, but also extended to providing advice on how to run IFLA in an efficient manner. The result was that IFLA became a more modern and effective international NGO. At the same time, IFLA (along with FID, ICA, ICOM and ICOMOS) adopted terminology and somewhat bureaucratic procedures similar to those of UNESCO, such as medium-term programmes (Lor 2012b, 271). Several of the international NGOs which had close relationships with UNESCO sometimes resembled a miniaturized version of UNESCO itself. By taking on the structures and procedures of an intergovernmental organization (IGO), these international NGOs also tended to adopt the discourse of polity internationalism. As UNESCO’s interest in libraries waned, so did its support for IFLA and with it, its influence there. But on balance UNESCO’s contributions made IFLA what it is. In particular, UNESCO provided significant support to a number of major joint initiatives such as the International Conference on Cataloguing Principles, held in Paris in 1961 (Wilhite 2012, 55–56). Other interesting examples of UNESCO’s contribution are its involvement in two of IFLA’s core programmes during the 1970s to 1990s, Universal Bibliographic Control (UBC) and Universal Availability of Publications (UAP) (Lor 2012b, 274). The emphasis was on national building blocks for international systems. The inclusion in their names of the word “universal” notwithstanding, these programmes were conceptualized within the framework of polity internationalism. They required the construction of infrastructure at the national level. International and regional reports, meetings and training workshops were employed to promote the development of national structures, activities and facilities (such as national

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bibliographies, national union catalogues and inter-library lending systems). These were to feed into “universal” (more correctly, international) systems through standardization and the sharing of data and resources. Much work was done, particularly in developing countries, to promote cooperation at the national level and to cajole national governments into releasing the necessary funding, but with limited success. The UBC and UAP programmes were terminated in 2003.17 Although brave statements were made about the concepts and principles having been successfully disseminated, and about the programmes’ legacy of standards, programmes and publications (Parent 2004), in fact national bibliographies and inter-library lending in many developing countries still leave much to be desired. It can be argued that such progress as has taken place, has been through the internet and OCLC18 – but these are considered in Section 1.9.

1.8.10 Promoting library development in developing countries The emergence of independent states in Asia and Africa after the Second World War aroused much interest among internationally-minded librarians (Asheim 1966) and gave rise to idealistic and ambitious plans for developing national library services. Both IFLA and UNESCO were involved in programmes that promoted library development in developing countries, as were the cultural and aid organs of major Western countries such as the United States (Stieg 1968), through the U.S. Information Service (USIS), and the United Kingdom, through the British Council. The work of these foreign agencies, for example the work of the British Council in developing national library services in former British colonies was applauded at the time but has since been re-evaluated more critically. In spite of the critical questions, a number of governmental aid agencies, particularly those of the USA, Canada, Great Britain and the Nordic countries, have continued to play a significant role in supporting library development in the developing countries, as have a number of foundations such as the Andrew W. Mellon Foundation, the Carnegie Corporation of New York and the Bill and Melinda Gates Foundation in the USA, and the Open Society Institute in Europe. These donors increasingly emphasize accountability and the sustainability of projects. This has stimulated programs aimed at capacity building by providing

17 The UBC programme survived in a slimmed down version as part of the UBCIM (UBC-International MARC) programme. 18 OCLC’s full name, Online Computer Library Center, is seldom used. See below.

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training opportunities for future leaders of the library profession in developing countries. Examples of such programs are those of the Mortenson Center for International Library Programs at the University of Illinois at Urbana-Champaign and the Goethe Institut (Germany). Another is the Jay Jordan IFLA/OCLC Early Career Fellowship program19 of OCLC in partnership with IFLA.

1.8.11 Wider involvement Over time, more players came forward in international library development and resource sharing. The British Library Lending Division, which had provided the headquarters for the UAP programme, itself became a major international supplier, while in various other countries national institutions such as the Technische Informationsbibliothek Hannover in Germany, and the Canada Institute for Scientific and Technical Information (CISTI) took on an international document supply role as well. National libraries adopted an increasingly international outlook, serving as national centres for international lending and for universal bibliographic control, and providing support for other IFLA programmes (S. Green 1977; Wedgeworth, Neven, and Voogt 1999, 307). The Conference of Directors of National Libraries (CDNL) was founded in 1974 (Scott 1995). Other international non-governmental organizations have also provided forums for international cooperation, discussion and reflection. Beginning in the 1950s, various specialized international associations such as the IAML (International Association of Music Libraries) and IBBY (the International Board on Books for Young People) were established, and they have been followed by ever more specialized bodies, such as the International Society for Knowledge Organization (ISKO). There has also been an increase in regional20 bodies such as ACURIL (Association of Caribbean Research, University and Institutional Libraries), CONSAL (Congress of Southeast Asian Librarians) and SCECSAL (Standing Conference of East, Central and Southern African Library and Information Associations). The growth of international associations has been attributed to greater international awareness following the Second World War, as well as to the advent of regular, affordable air transportation (K. C. Harrison 1989) – it was no

19 The fellowship is named after Jay Jordan, President of OCLC, 1998–2003. 20 Whereas in many countries the terms ‘region’ and ‘regional’ refer to regions within countries, in international usage (‘UN-speak’) these terms mostly refer to supranational regions such as continents or groups of neighbouring countries, e.g. South-East Asia, Latin America and the Caribbean.

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longer necessary for delegates to spend a week or more on board an ocean liner to attend an international conference.

1.8.12 Technological advances The use of information technology in information management operations dates back to the late nineteenth century, with the invention of the punchedcard machine or ‘Hollerith machine’ in 1880. Punched-card systems first appeared in libraries in 1934, being used in circulation systems, and various types of punched-cards were adopted in information retrieval systems by the early 1940s (Black 2007). After the War, interest in ‘mechanization‘ grew. In 1956 the journal Library trends published a special issue on “Mechanization in libraries.” The introduction of IBM’s 360 series in 1964 provided a new, more capable platform for data processing in libraries (McCallum 2003, 1). High hopes were pinned on the new technology, although it met some scepticism and resistance (Kosrow and Hinchliffe 2015). In libraries the initial emphasis was on circulation systems, while institutions such as U.S. National Library of Medicine started experimenting with the computerization of indexing and abstracting services during the 1950s (Dee 2007). As the mid-1960s approached, young people born during the post-war “baby boom” reached school-leaving age. This necessitated a huge expansion of higher education, particularly in the USA. New colleges and universities were set up and a massive expansion of library facilities, including the acquisition and cataloguing of new collections, occurred, generating a need for cooperative cataloguing and other forms of resource sharing. In the U.S. state of Ohio, university presidents responded to the challenge by creating a non-profit organization called the Ohio College Library Center, which was to evolve into the global library utility known today as OCLC, the Online Computer Library Center (Jordan 2009). National bibliographies and union catalogues were being computerized, generating a need for the sharing of bibliographic records. As information and communication technology developed in the 1970s and 1980s “library cooperation on an international scale” (Havard-Williams 1972b, 172) became increasingly feasible, and the early notions of cooperation were progressively extended to resource sharing and networking. The national and international exchange of bibliographic records requires standardization. The MARC (MAchine Readable Cataloguing) format, developed in the USA, soon became an international standard phenomenon, generating national variants and international cooperation in the development of library catalogues, union catalogues and national bibliographies. This also stimulated international cooperation in respect of cataloguing

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rules, standards such as the international standard bibliographic descriptions (ISBDs), and the fundamental principles of cataloguing, as expressed more recently in the Functional requirements for bibliographic records (FRBR) and related principles for authority records (Bianchini and Guerrini 2009). During the same period, advances in computerized information processing and telecommunications were being exploited to create computerized indexing and abstracting databases that could be interrogated at a distance. The databases were mounted on computers operated by hosts such as Lockheed DIALOG (Bourne and Hahn 2003), and dial-up access was slow and cumbersome, but this was a great improvement on printed indexes and abstract services. Such databases were generally discipline or application oriented and were being created by scientific societies such as the American Chemical Society (Chemical abstracts), commercial undertakings such as the Institute for Scientific Information (ISI), creator of the Science citation index and its siblings, government agencies such as the U.S. National Library of Medicine, which created the Medical Literature Analysis and Retrieval System (MEDLARS), and intergovernmental organizations, such as the International Atomic Energy Agency, which created the International Nuclear Information System (INIS). All these were international in the sense of being used by users in many countries, and some, such as INIS, were being compiled on an international basis by entering abstracts and bibliographic data contributed by national centres in multiple countries. Here was the answer to the insurmountable technical problems encountered by the Royal Society and Otlet at the end of the nineteenth century.

1.8.13 Internationalism following the Second World War Although the founding of the UN and UNESCO reflected liberal and utopian thinking, in the first generation of the post-war period, the theory of international relations was dominated by the realist school, of which Hans Morgenthau was the most influential theorist. Morgenthau emphasized the selfishness of humanity, and the universal craving for power, as the main causes of conflict (Korab-Karpowicz 2013). This is reflected in three further aspects of internationalism in the period following the war. This period was marked by the Cold War and decolonization, and by intense competition between the West and the East for the allegiance and resources of unaligned countries. In the Third World, a number of proxy wars were conducted between forces allied to the two blocs. The rivalry gave rise to a great deal of international activity involving libraries, documentation and information services. Here I highlight three areas: cultural diplomacy and development aid, area studies, and the internationalization of LIS education.

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Cultural diplomacy was part of Cold War rivalry. Agencies such as the United States Information Agency (USIA) (Dizard 2003; Simmons 2005) and the British Council (O’Connor and Roman 1994; Maack 2001) disseminated information materials generally intended to put the donor country in a favourable light, which is not to say that they were not found useful. Donations of such materials were also made to libraries and other institutions (Malcolm Johnson 1954; P. P. Price 1982; Robbins 2007). The cultural diplomacy agencies also showcased modern Western library techniques in developing countries and promoted library development there based on Western models, drawing funding from their governments’ development agencies to meet requests for sending expert consultants and expatriate librarians to set up libraries and provide technical assistance and training. Thus, LIS-related development aid was intertwined with cultural diplomacy. The British Council in particular played a significant role in library development in former British colonies (Rosenberg 1994; Olden 1995). Library associations in developed countries and a variety of NGOs and IGOs, especially UNESCO, contributed to these efforts. Some of the advice was misdirected, as was a great deal of the “book aid” (Priestley 1993; Sturges and Neill 1998, 95–99). But the education and training of library staff, both at universities in the donor country and in-country, had a significant, often long-lasting impact. Although library and information related aid has never been more than a minor component of aid programmes, it generated much professional discussion, including critical views on the materials disseminated to foreign libraries (e.g. Karetzky 1991; Robbins 2001), and the relevance of American and other Western LIS education for alumni returning to their countries. The latter issue is illustrated by the papers collected in the volume edited by Tallman and Ojiambo (1990). By the 1980s and 1990s it was clear that in a significant number of developing countries well-intentioned, Western-inspired library development programs had begun to falter. At the same time, shifts in international aid policy led to reduced funding for library development. Against a background of the radical critique of ‘cultural imperialism‘ which emerged in the 1960s (Sarmela 1977; Tomlinson 1991, 2), in the 1970s a critical reevaluation of these post-colonial library development efforts got under way. This is reflected in the writings of librarians from developing countries such as Briquet de Lemos (1981), a Brazilian librarian, by younger African librarians such as Adolphe Amadi (1981a) and Kingo Mchombu (1982), and in seminal works such as Gassol de Horowitz’s Librarianship: a third world perspective (1988) and The quiet struggle: information and libraries for the people of Africa, by Sturges and Neill (1990). More attention is paid to this in several later chapters. A second consequence of the rivalry between East and West was the rise of area studies, particularly in the United States but also in the USSR (SteinerKhamsi 2006). For effective diplomatic and military action, the competing

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powers needed information about their enemies, their allies, and countries in between. Area studies brought together in research centres scholars from different disciplines to focus in depth on a particular region of the world (Katzenstein 2001, 787). In the USA a number of Federal programmes provided significant funding for area studies.21 Public Law 480 of 1954 allowed countries receiving food aid to pay for this using their national currencies.22 These payments were placed in special accounts that were used in part for the acquisition of materials from those countries by Field Offices operated by the Library of Congress (Hazen 2012, 123–24). In 1966 the Library of Congress initiated the ambitious National Program for Acquisitions and Cataloging (NPAC), involving a number of “shared cataloging centers” overseas as well as cooperative arrangements with national libraries for the acquisition of data from national bibliographies (Lorenz 1972, 553–58). Using mechanisms such as these, large research collections on regions such as Africa, Latin America and Eastern Europe have been built up in the Library of Congress and in major U.S. universities. The scale of the programmes and the resulting collections, running into hundreds of thousands of volumes, are those of an imperial power and far exceed what the nineteenth century librarians of the British Museum could have imagined. However, funding for these programmes fluctuates depending on the state of international relations. Following the end of the Cold War, area studies have been in decline in the USA. This is partly the result of a perception that the level of threat of certain competing powers had declined. For example, in October 2013 the U.S. State Department eliminated a programme which had funded advanced language and cultural training relating to the former Soviet Union, ironically just months before Russia’s annexation of the Crimea and a precipitate downturn in U.S. relations with Russia (King 2015, 88). In the USA, a third consequence of post-war conditions was a movement for the ‘internationalization’ of library education (D. G. Davis 1987). At that time internationalization was defined as “the process by which a nationalistic library school topic, an entire curriculum, or an entire school is changed into one with a significant and varied international thrust, the process whereby it is permeated with international policies, viewpoints, ideas and facts” (F. L. Carroll 1987, x). The American use of the word ‘international’ to mean ‘foreign’ can cause confusion here, as ‘international education’ is sometimes used to refer to the education of foreign students. However, for Carroll and her contemporaries

21 The close relationship between US national security and area studies has been discussed by Boodrookias (2018). 22 The implementation of this programme in India is described in Section 12.2.

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“international education” meant exposing American students to an internationally orientated curriculum. Frances Laverne Carroll, an early scholar in this field, wrote a PhD dissertation on The development of an instrument for the evaluation of internationalism in education for librarianship (F. L. Carroll 1970a). In it she identified six possible goals of international content in U.S. library school curricula, which included “international understanding,” “advancement of knowledge” and “technical assistance” (F. L. Carroll 1970a, 43–55). Another aim was to advance the objectives of U.S. foreign policy (including the combating of communism and the strengthening of relations with the allies of the USA). Carroll’s analysis reveals some of the ambivalence inherent in international studies, particularly at the height of the Cold War. Some goals are clearly subordinated to national policy interests. Others too, may not be as altruistic or idealistic as they look. The promotion of positive attitudes, friendship and cooperativeness in the library sphere, and understanding the behaviour of librarians in other countries are laudable motives but can also be instruments for exerting national influence in addition to promoting international understanding. It would be uncharitable, however, to ascribe all this to selfish (national) motives. Regardless of the motives of the politicians and administrators who recruit them, many library professionals give unselfishly of their time and energy in the belief that they are contributing to international understanding – idealism sometimes harnessed in the pursuit of Realpolitik. I note in passing that more recently there has been renewed interest in the internationalization of LIS education in North America and Europe (Abdullahi, Kajberg, and Virkus 2007). In Europe it is receiving much attention as part of the project of European integration, which in higher education is manifested notably in the Bologna process (Tammaro 2006a). This is part of a much broader process of Europeanization, discussed in Section 12.5. It is no coincidence that, although international relations and international comparisons among libraries can be traced much further back, international and comparative librarianship made their appearance as distinct fields of study during the 1950s and 1960s, coinciding with the growing Cold War competition described above. The origins and development of scholarly interest in international and comparative librarianship are dealt with in Chapter 2.

1.9 Horizon 6: Global It has become standard practice for people writing about contemporary library matters to preface statements by phrases such as “in this era of globalization” or “in our globalized world.” Although globalization is often mentioned in this

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way, there is much less in-depth discussion of it. Globalization is a bit like neoliberalism: those in favour of it do not discuss it nearly as often as those who oppose it. The word ‘globalization’ was first recorded in 1930, but judging by the quotations cited in the OED the current meaning of the word did not emerge until ten or twenty years later: The action, process, or fact of making global; esp. (in later use) the process by which businesses or other organizations develop international influence or start operating on an international scale, widely considered to be at the expense of national identity.

In his book The Gutenberg galaxy: the making of typographic man, Marshall McLuhan (1962) coined the term “global village” and subsequently the word ‘globalization’ was popularized by Theodore Levitt (1983) in an influential article in the Harvard business review. In the meantime, it has become evident that globalization is a much more complex phenomenon than this definition suggests. Furthermore, it is a phenomenon of ancient origin. Rikowski (2005, 9–10) traced it back to the ancient Egyptian and Mesopotamian civilizations. Tilly (2004, 13) took it back much further, arguing that “since the movement of humans out of Africa some 40,000 years ago, humanity has globalized repeatedly.” He identified three phases of globalization since 1500. The third, now under way, followed the Second World War. It is characterized by a complex pattern of migration, the rise of multinational companies, the growth of international trade, and a multifaceted development of international relations and institutions which undermine the power of individual states (Tilly 2004, 13–21). Here one might also mention the impact of modern transportation systems such as containerization and intercontinental air travel, and that of information and communications technologies (ICTs), which are bringing about a profound transformation in the information and knowledge landscape, affecting the economy, politics, business, education, culture – in fact all spheres of human activity, for we cannot exist without communicating.

1.9.1 Impact of globalization Globalization is not an exclusively economic phenomenon. It has wide-ranging social and cultural ramifications. As far as the economic impact is concerned, supporters of globalization point to benefits such as more rapid economic growth, improvements in living standards and the peaceful resolution of international political and economic tension. But these benefits are not evident everywhere. They are said to accrue to countries that “engage well with the international

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economy.”23 Countries that do not “engage well,” whether for ideological reasons or because of economic or geographic handicaps that prevent them from taking advantage of globalization, tend to get left behind. This is emphasized by a broad antiglobalist or ‘mundialist’ movement that has come into prominence as a result of large and sometimes violent demonstrations at world economic summits (Engler 2007; Juris 2008). Antiglobalists cite a range of problems attributed to globalization, for example the heavy social and economic costs of economic restructuring required to be competitive in the world market, a growing gap in the standard of living between richest and poorest countries, environmental damage, and the erosion of national cultures and languages (Haynes 2008, 54–59). A useful overview of theories of globalization has been provided by W.I. Robinson (2007). Globalization is multidimensional, embracing not only the commercial and economic domain emphasized by the OED, but also political, social, cultural, technological and environmental domains (Tilly 2004; Rikowski 2005; L. T. Smith 2005; Beckfield and Brady 2008; Lukose 2008). The impact of globalization in these domains – positive or negative – is contested, particularly in developing countries (G. Rist 1997; Haynes 2008; Nederveen Pieterse 2010). In our field the impact of globalization on the flow of information and access to knowledge, amplified as it is by modern information and communications technologies, is particularly relevant. The perceived global dominance of mass media by multinational corporations – especially those based in the USA – is seen as threatening the world’s cultural and linguistic diversity, generating fears that the cultures of smaller countries and cultural groups will be diluted or swamped (Richer 1996; G. Wang 1997; Lukose 2008), and that languages spoken by smaller groups will become extinct. But language extinction, which is ongoing, is a complex phenomenon and cannot be blamed entirely on globalization (Mufwene 2002; Amano et al. 2014). The grave reservations of development theorists (e.g. G. Rist 1997, 211–37; Haynes 2008, 41–64; Nederveen Pieterse 2010, 36–53) and fears of economic and cultural hegemony and homogenization (westernization or Americanization) expressed by scholars from the Third World such as Abdul Razak (2011), are not universally shared. The widely discussed notion of ‘cultural imperialism’ has been critically examined (e.g. Tsvetkova 2013, 58–67) and fears of ‘cultural homogenization’ have been relativized; it has been suggested instead that globalization stimulates awareness of cultural identity (e.g. Yi Wang 2007).

23 Ecoglobe, “Globalisation background,” http://www.ecoglobe.org/economics/e/globa-bg. htm, accessed 2018-04-20.

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A useful way of looking at the interaction of globalization and culture is offered in the “Three H scenarios,” where three outcome trends are identified. The first scenario is heterogenization (or differentiation), in which cultural practices within a given locale become more diverse over time as a result of external influences, while differences among different locales become more pronounced, creating barriers to homogenizing factors. The second, homogenization, often referred to as McDonaldization, has been alluded to above. The third scenario is hybridization. Here local cultures resist or domesticate external cultural influences and a process of fusion and cultural mixing takes place. Barriers to external cultural influences are strong enough to prevent the local culture from being overwhelmed, so that a unique cultural hybrid is formed (Hassi and Storti 2012). In the study of the American-initiated Paris Library School, referred to earlier, Witt (2014a, 509–10), following Appadurai (1996), argued that globalization does not necessarily lead to Americanization or cultural homogenization. Instead, hybridization may occur, giving rise to new, unexpected outcomes.24 Whilst attention is paid to various aspects of globalization in later chapters, some aspects of the political-economic impact of globalization on the nation state are of particular relevance to international librarianship and are touched on here. In many areas of modern life, we are far more internationally connected than in the past. ‘Territoriality’ – where we are located geographically – counts for less too, and this has led to changes in thinking and behaviour (Haynes 2008, 55). There are many issues, such as the pollution of the environment, drug smuggling, flows of political and economic refugees, communicable diseases, terrorism, and cross-border information flows, which cannot be dealt with by individual governments. The reality is further that intergovernmental organizations – which are constituted by nation states – are also unable to deal with many of them. In response to domestic concerns nation states more readily block international solutions than craft them. The tardiness of the ‘international community’ to deal decisively with global warming is a case in point and illustrates the limitations of the nation-state system in a globalizing world. This does not mean, of course, that the nation state will soon disappear, but rather that its power is reduced relative to supranational and non-state actors. In (generally leftist) political-economic analyses, the erosion of the power and significance of the nation state (Rikowski 2005, 12–13) and the “hollowing out of the state” (L. T. Smith 2005, 93) are mostly attributed to the growing

24 One has to wonder, however, whether the relationship between the USA and inter-war France, then still a major world power, can serve as a valid precedent for the contemporary relationship between the USA and smaller countries such as El Salvador, Fiji or Namibia.

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power of multinational corporations and institutions such as the World Bank which enforce neoliberal economic policies. Rist, a development theorist, sees globalization rhetoric as a means of attacking the state in order to deregulate and privatize the economy along neoliberal lines, leading to “dismemberment of social policies” previously entrusted to the state, so that the market mechanisms, so it is thought, can be left to bring about prosperity (G. Rist 1997, 223–24). He points to the weakening of the state’s control of the economy, for example, reduction of the state’s ability to control the creation of money, interest rates and exchange rates, which are the “fundamental levers” of economic policy. Globalization has enabled big transnational corporations to “break loose from their nation state of origin” (G. Rist 1997, 224). They can invest capital where most profits can be made, often shifting to countries with weak labour legislation, where labour is cheap and easily exploited. The transformation wrought by modern ICTs in the world’s information infrastructure and information relations has contributed to the concerns outlined above. Today’s ICTs allow information to be carried swiftly and unobtrusively across national boundaries, but while information can flow faster and more freely, it is also recognized as the raw material for the new economy, as a key resource for competitiveness, and as a valuable asset for those who own and can control it. Thus, the information economy is characterized by a number of trends of particular relevance to our profession. Two of these, dematerialization and commodification, are intimately interwoven with globalization.

1.9.2 Dematerialization By allowing information to be unbundled from its original physical carriers, modern ICTs bring about a shift from the economics of things to the economics of information. When information is carried by things – by a salesperson or by a piece of direct mail, for example – it goes where the things go and no further. It is constrained to follow the linear flow of the physical value chain. But once anyone is connected electronically information can travel by itself. . .what is truly revolutionary about the explosion in connectivity is the possibility it offers to unbundle information from its physical carrier” (P. B. Evans and Wurster 1997, 73).

This has made possible what M. Clarke (2003, 1) has called a weightless and dematerialized economy. A somewhat frightening example of dematerialization is the world-wide economic crisis that originated in problems in the U.S. sub-prime mortgage market when U.S. house prices peaked in mid-2006. American banks

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had been giving large loans to home-buyers who had little or no chance of repaying them. Bonds were repackaged and sold on to other financial institutions and new financial instruments called ‘special investment vehicles’ were devised (M. Robinson 2007). These dematerialized assets were essentially information transmitted from computer to computer in worldwide networks, flowing around the world and ultimately affecting institutions and individuals who had no inkling that they were exposed to the risks of sub-prime mortgage loans in Stockton, California or Cleveland, Ohio. They also triggered the collapse of many other financial institutions whose stability relied on a combination of dematerialized assets and confidence. Dematerialization affects libraries more directly. Personal diaries and photo albums are being replaced by ephemeral virtual equivalents on the internet, for example using social media. A great deal of this content, which reflects currents and movements in society, is at risk. Web content can be moved from one server to another, and from one country to another, with a few clicks of a mouse. Hence international approaches are needed to ensure its preservation (UNESCO 2003a, 2012; UNESCO Information for All Programme 2011; Oury, Steinke, and Jones 2012). Turning our attention to more traditional content we note that, like investment bankers, librarians have been investing heavily in dematerialized assets. Increasingly libraries are replacing print-on-paper journal subscriptions and the acquisition of printed books by the signing of licensing deals. These deals involve dematerialized information, the right to access content in the form of streams of electrons, for display on computer screens. The management of digital resources, and especially digital preservation, are major challenges to our profession internationally. And the problem really is international, since the notion of a country of publication, a cornerstone of legal deposit, national bibliographic control, as well as universal bibliographic control and universal availability of publications, has become less clear-cut. Dematerialization of library collections is not restricted to scholarly, technical and reference material. The growth of e-book sales has led to concerns about the survival of bookstores and libraries themselves.25 Just like music and video clips, books are being sold virtually on the internet. People download them online, either for payment or as pirated copies. They may no longer come to libraries in large numbers to borrow books. Increasingly the question is voiced: will libraries still be needed now that “everything is available on the internet.” This has 25 More recently, there have been indications that the sales of e-books have peaked and declined. E.g. The Guardian, “Ebook sales continue to fall as younger generations drive appetite for print,” https://www.theguardian.com/books/2017/mar/14/ebook-sales-continueto-fall-nielsen-survey-uk-book-sales, accessed 2018-08-28.

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alarmed librarians and given rise to much discussion in professional blogs and magazines (e.g. Darnton 2016; Herring 2001; Lankes 2014). News media regularly cover stories of conventional school or college libraries being phased out or replaced by virtual libraries (e.g. Abel 2009), the physical books and journals being replaced by networked electronic resources. To embattled administrators in poor countries and communities this may look like a good idea. And indeed, some of these digitization projects are effectively making available to the developing countries material that was swept up into the ‘imperial’ collections of the colonial powers. However, digitization of collections from developing countries also involves some political and ideological complications (Lor and Britz 2012). Even in wealthy countries and communities, not everyone has internet access; by no means all materials on the internet can be accessed free of charge, and libraries do much more than dispensing access to information. Sole reliance on the internet holds the risk of increasing dependence on multinational media corporations, eroding cultural diversity, impoverishing communities intellectually and spiritually, isolating marginalized groups, and widening the gap between rich and poor.

1.9.3 Commodification It is generally accepted that information (or rather knowledge) is the dominant strategic resource of the information economy, comparable to land in the agricultural era and to capital in the industrial era. Already in 1976 Daniel Bell (1976) announced the coming of post-industrial society, and in 1983, Stonier (1983, 8) famously argued that “information has upstaged, land, labour and capital as the most important input into modern production systems.” This means that knowledge has commercial value and gives rise to competition (Britz, Lor, and Bothma 2006). It has become a commodity.26 This is reflected in changes taking place in scholarly communication, publishing, and librarianship (Shorley and Jubb 2013; V. Larivière, Haustein, and Mongeon 2015b; T. Gardner and Inger 2016). Modern ICTs enable publishers to exploit a “long tail” (C. Anderson 2002) of content that they produced over a long period of time. Very small sales volumes per unit can still be profitable if the content is stored and distributed digitally. This applies not only to born-digital content, but also to analogue content that is subsequently digitized. Thus, the internet makes it possible to continue

26 Both ‘commodification’ and ‘commoditization’ are found in current dictionaries. The latter appear to be gaining, but I prefer ‘commodification’ because the suffix, derived from Latin facere, to make, imparts the meaning ‘to make a commodity of something.’

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exploiting the content profitably for much longer. One effect of this is the unbundling of journals. In many cases the saleable unit is no longer the journal title, but the individual article. Another effect is a greater emphasis, often under the guise of combating piracy, on “locking up” information content – more kinds of information content, for longer periods than ever before – and dismantling the statutory limitations and exceptions that make certain forms of use possible free of charge for scholars, students and libraries (Gross 2006).27 Farley and Kubizewski (2015, 200) have placed this in the context of a tremendous global effort in recent decades to force information increasingly into the market economy, strengthening patent protection across international borders, lengthening patent and copyright duration, and extending intellectual property rights to ever more types of information.

There is also a counter-trend, a remarkable altruism (Ros-Galvez and Rosa-Garcia 2015) and a culture of sharing, which is exemplified by the open source model of software development, the Wikipedia (e.g. B. K. Johnson 2008), and last but not least, the open access movement, which has attracted much attention and wide support from many quarters, including governments, grant-making bodies, and professional organizations (UNESCO 2013b; Schafer 2015; Suber 2015). The principle of open access to scholarly literature and research documentation has been endorsed by professional organizations such as IFLA (Lor 2007a). It has achieved some success in developing regions, notably in Latin America (Babini and Machin-Mastromatteo 2015), but it will not of itself equalize access for developing regions such as Africa (W. E. Nwagwu 2016). At the international level the commodification of information has had a profound effect on intellectual property rights (IPR) regimes as well as on the ability of developing nations to gain access to and benefit from information. Since the mid-1990s the economic, political and ethical aspects of the international flow of information, particularly between developed countries and developing countries, have emerged as an important theme. The gap between rich and poor countries is often referred to as the digital divide. However, the divide is not merely digital, as it has significant political, legal and economic dimensions (UNESCO 2005, 29– 31). Librarians have become increasingly aware of the impact on their institutions and users of decisions on intellectual property and related matters that are taken at international forums such as the World Summit on the Information Society (WSIS), WIPO, and the World Trade Organization (WTO), and in multilateral or bilateral trade agreements between countries (Britz, Lor, and Bothma 2006; Lor

27 Political-economic aspects of intellectual property are dealt with in chapters 7 and 8.

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2008b, 2008c). Since the development of a global intellectual property regime through the regulatory actions of WIPO and the WTO has a major impact on the ability of librarians and information workers to serve their users, it is not surprising that international LIS organizations such as IFLA and EBLIDA (European Bureau of Library, Information and Documentation Associations) are actively involved as part of global civil society in advocacy at WIPO and elsewhere (Prentice 1997; Häggström 2004; Lor 2007b). IFLA’s advocacy in the Open Working Group on Sustainable Development Goals (SDGs)28 that were formulated to succeed the Millennium Development Goals (MDGs) is further evidence of such engagement in global processes, where global civil society engages with the formal structures of the nation-state system (Lor 2008c).

1.9.4 Globalization and resource discovery With the coming of the internet, major global players such Google, Amazon and Wikipedia have come to occupy dominant positions in the dissemination of information, displacing or overshadowing local and national systems. This is illustrated by what has happened to the centuries-old preoccupation of librarianship with universal bibliographic control and (more recently) with universal access to publications. As mentioned earlier, IFLA, with support from UNESCO, devoted much energy to these projects, which emphasized national building blocks such as national bibliographies, union catalogues, inter-library lending schemes and repositories. Today, however, OCLC’s WorldCat constitutes a de facto global bibliography and union catalogue. In 2018 OCLC reported holding over 415 million bibliographic entries and over 2,625 million holdings representing over 72,000 libraries in 170 countries. Every three seconds a request is filled through its resource sharing facility.29 Not surprisingly, elements of national information infrastructures are being absorbed into this global player. In the Netherlands, OCLC gradually acquired ownership of Pica, a Dutch bibliographic utility which also provided services in other West European countries. Pica was fully absorbed into OCLC in 2007.30

28 28IFLA, “Toolkit: libraries and the UN post-2015 development agenda,” https://www.ifla. org/publications/node/11145, accessed 2018-04-20. 29 OCLC, “Inside WorldCat,” https://www.oclc.org/en/worldcat/inside-worldcat.html, accessed 2018-04-21. OCLC frequently changes the location and manner in which its statistics are presented. The figure for the number of libraries is from Wikipedia, “WorldCat,” https://en.wi kipedia.org/wiki/WorldCat, accessed 2018-04-21. 30 Wikipedia, “OCLC PICA,” https://en.wikipedia.org/wiki/OCLC_PICA, accessed 2018-04-21.

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The case of South Africa, where OCLC has also taken over local functions, serves as a good example of the world-wide shift from national to global systems of bibliographic control and access. When it was founded in 1983, South Africa’s national bibliographic utility, SABINET, took over the existing national union catalogues (S A joint catalogue of monographs, and Periodicals in Southern African libraries) that had been maintained by the State Library, and incorporated them in the SACat bibliographic database. In 1995 SABINET became a partner of OCLC. Today, along with a number of other databases, the South African national bibliography is part of SABINET’s SACat Plus31 and is also available in WorldCat. It is no longer published in print. In 2000 the South African libraries that were members of SABINET started cataloguing on OCLC’s WorldCat.32 In effect South Africa’s national union catalogue and national bibliography still exist, but virtually, as subsets of a global database system. From a management perspective this makes good economic sense, but although OCLC has created a global governance structure which includes regional councils (Jordan 2012), I have some disquiet about the USA’s global bibliographic hegemony. The global dominance of U.S.-based systems has also had an effect on international bibliographic standardization. IFLA’s UNIMARC format, however welladapted it may be to international use, has not taken off universally. In South Africa and other countries national MARC variants were scrapped in favour of USMARC (now MARC21). Similarly, the Dewey Decimal Classification and Library of Congress Classification are the dominant classification systems worldwide, in spite of being arguably less elegant and flexible than UDC. To some extent changed approaches to resource discovery in networked digital environments have contributed to this, but there has been a shift to industry standards, which are not necessarily superior, but are chosen because of their large (global) user bases. Other examples of this trend are seen in Western Europe and the former Soviet sphere of control in Europe, dealt with in Section 12.5. The absorption of national systems of bibliographic control into the global system constituted by OCLC can be seen as fulfilling the ideal of universal bibliographic control – at least at the level of books and similar media. At the level of journal articles and other smaller bibliographical units, and down to content level, global behemoths of the internet such as Google and Amazon provide instant global access on a scale Otlet and his generation could hardly have dreamt of – not only to bibliographic descriptions but increasingly to the full 31 SABINET, “SACat Plus,” http://cdn.sabinet.co.za/documents/sacatplus.pdf, accessed 201804-21. 32 OCLC, “OCLC’s WorldCat Local to transform resource discovery and delivery in South African libraries,” http://www.oclc.org/news/releases/2011/201162.en.html, accessed 2018-04-21.

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text of the materials themselves. The websites of individual publishers also contribute to global access, although paywalls requiring amounts of $30 to $50 per article or chapter put these materials tantalizingly beyond the reach of less affluent scholars and students, especially in developing and emerging countries. This raises questions of a political-economic nature about equity in international information relations and about excessive dependence for information on a shrinking number of very large commercial undertakings, if, in accordance with neoliberal thinking, state-funded information services are terminated. This is illustrated by problems experienced in former Soviet republics after the fall of the Soviet Union (referred to in Section 12.5). Continuity of the scholarly and cultural record may be called into question. History shows that in the long run no corporation is “too large to fail.” According to The Economist (Economist 2004) “corporate longevity is highly unusual.” By 1983 one-third of the firms in the ‘Fortune 500ʹ annual list of the 500 largest U.S. companies by total revenue in 1970, were no longer in existence.

1.9.5 Other impacts of globalization on LIS In addition to IPR issues, issues of freedom of access to information and freedom of expression (Byrne 2007), and vexed questions of tolerance in multicultural environments have come to prominence at the international level as a consequence of increasing globalization (Sturges 2006). Much more evidence of the impact of globalization on LIS can be cited. The globalization of higher education has had various impacts on academic libraries. Increasingly, the literature reflects the challenges faced by these libraries in serving campuses located in more than one country or collaborating with partners in other countries (Hammond 2009; Sharif and Demers 2013). The education of librarians is also affected. While ‘internationalization‘ of LIS education is nothing new, we are seeing more far-reaching trans-border programmes, especially in Europe, which go well beyond the traditional ‘semester abroad’ or the earning of a few credits at a foreign university (Abdullahi, Kajberg, and Virkus 2007; I. M. Johnson 2013a; Tammaro 2014). The global movement of educated individuals is very evident in our profession, where it is no longer unusual for scholars to have worked in a number of regions and to hold concurrent positions in library schools in more than one country. The ‘brain drain’ from developing to developed countries is also turning out to be a more complex phenomenon than was initially thought, as the individuals concerned not only contribute to scholarship in the First World institutions they have joined but also contribute to development in their

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countries of origin as mentors, consultants and visiting professors, a phenomenon sometimes referred to as “brain gain” (Economist 2011; UNCTAD 2012). The period following the Second World War has also been characterized by the rise of IGOs, such as UNESCO, WIPO, and the WTO, to mention three that are of particular relevance to LIS. This phenomenon has been accompanied by a very significant growth in global (or transnational) civil society, consisting of both domestic and international NGOs and other non-governmental groups, which have gained increasing influence in world summits and other international deliberative meetings (Iriye 1997, chap. 6; E. J. Friedman, Hochstetler, and Clark 2005, 1–3). Most of the other globalization phenomena also affect libraries whether directly or indirectly. Three examples: Global economic trends cause currency fluctuations and affect the affordability in the developing world of scholarly literature produced in developed countries. The threat of global terrorism may lead to the adoption of legislation which restricts privacy and freedom of expression. Large-scale migration of refugees from poor countries creates new challenges in public and school libraries in destination countries. In concluding this section, mention should be made of a number of trends which are linked in one way or another to globalization but have not been explicitly referred to above. Five significant global trends were identified in the 2013 IFLA trend report33: 1. 2. 3. 4. 5.

New Technologies will both expand and limit who has access to information. Online Education will democratize and disrupt global learning. The boundaries of privacy and data protection will be redefined. Hyper-connected societies will listen to and empower new voices and groups. The global information environment will be transformed by new technologies.34

This list of trends predates growing global concern about the deliberate, largescale dissemination of misinformation (“fake news”) using social media on the internet. This poses a challenge to libraries along with other institutions and is being addressed locally, nationally and internationally, inter alia by IFLA (Andersdotter 2017).

33 IFLA trend report, http://trends.ifla.org/, accessed 2018-04-21. The Trend report is not a single document, but a web-based package of resources, which have been used internationally for regional discussions and country case studies, as reported in the 2016 update, available at https://trends.ifla.org/update-2016, accessed 2018-04-21. 34 The 2017 update (https://trends.ifla.org/files/trends/assets/documents/ifla_trend_report_ 2017.pdf, accessed 2018-04-21) added trends relating to preserving truth in the twenty-first century, and 3D printing and makerspaces in libraries.

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In the early manifestations of libraries, referred to earlier in this chapter, there was little if any differentiation between libraries, archives and museums. Modern information technology, among other factors, may be bringing us back full circle, in a growing global trend toward the convergence of libraries, archives, art galleries, and museums, sometimes referred to as GLAM (Given and McTavish 2010; Marcum 2014).

1.10 Conclusion The six “horizons” discussed in this chapter represent an attempt to develop a periodization of the activities to which we refer as “international.” Although there is a general chronological progression and certain horizons can be seen as dominant during given periods, they overlap and recur. This is particularly evident during the period since around 1850, where national, imperial and international horizons co-occur, creating considerable ambiguity. A rough visualization, which admittedly oversimplifies, is offered in Figure 1.2.

Global International National Universal Imperial Local

Medieval Antiquity Hellenic/ Renaissance 19th Roman Byzantine - Islamic Enlightenment Century

20th Century

Figure 1.2: Simplified schematic time-line of the six horizons.

Any analysis of the concept ‘international’ inevitably strikes, just below the surface, the concept ‘national.’ The very word ‘international‘ embodies a contradiction between national interests and those common to, shared with, or above the interests of individual nation states. The international horizon has dominated our profession for the best part of the 20th Century. Closer scrutiny shows that the period starting around

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1850 was characterized by an ambivalence about internationalism – an ambivalence also reflected in the emerging international librarianship and documentation. Here terms such as ‘world,’ ‘universal’ and ‘international’ were being used cheek by jowl and quasi interchangeably, for example in the names of the institutions and tools being created by Otlet: Coblans (1974, 30) quotes Donker Duyvis as referring to the Mundaneum as a “centre à la fois international, mondial et universel.”35 More specifically, the words ‘international’ and ‘internationalism’ embody a certain dualism: on the one hand, a realist polity internationalism, which accepts the status quo and tries to make the states system work; on the other an idealistic, humanistic community internationalism, which places a higher value on the bonds between human beings, bonds that transcend national borders. This internationalism can be seen as deriving from an older tradition of universalism. Throughout history, libraries have been creations of their times, shaped by the cultural, social and political conditions which also determined what I have called their horizons – their spatial and cultural reach and intellectual scope. Globalization is giving our profession a new horizon, with its own, fascinating contradictions and stresses. The question that arises is whether a corresponding development is taking place in the scholarly study of global library and information work. This is dealt with in Chapter 2.

35 “A centre at the same time international, world[-wide] and universal”

2 A field of study and research Why comparative librarianship? Because it can uncover, in our professional discipline, neglected and hidden approaches to important technical approaches to important technical library problems; but even more important, comparative librarianship suggests a new and critical role for librarianship. Patently, political and industrial leaders of the world have been unsuccessful in promoting world understanding. It is just possible that the quiet force of libraries can succeed where governments have failed! (Shores 1966b, 206). What is international engagement in the library field? It can be very broad, witness my own involvement. Or it can be narrow such as one visit to an international conference or one assignment to help to modernise a library in a developing country. Whatever the case, such activities lead to the benefit of individuals and communities through exchange of experience and ideas (Hopkinson 2014, 60).

Outline 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11

Introduction 49 Emergence of a professional literature 50 Themes, genres, motives, and values 51 The literature of international librarianship 66 The literature of comparative librarianship 73 Definition and scope of international librarianship 81 Definition and scope of comparative librarianship 86 Distinction between international and comparative librarianship The nation state, methodological nationalism and globalization Towards global library and information studies 96 Conclusion 98

91 93

2.1 Introduction In Chapter 1 some background was given on the development of international activities in librarianship. In the final paragraph, I suggested that a distinction be made between international librarianship as a field of professional activity and the scholarly study of such activity. In this chapter I outline the development of a scholarly field that came to be referred to as international and comparative librarianship, with reference to the themes, genres, motives, and values reflected in the literature. I then outline the structure and current state of the scholarly research and literature in the two areas within the field and attempt to define and delimit the scope of these interrelated areas. I conclude with some reflections on the possible impact on them of globalization. https://doi.org/10.1515/9783110267990-002

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2.2 Emergence of a professional literature A professional literature on international aspects of librarianship arose naturally from the international professional contacts that were established during the nineteenth century, as described in Chapter 1. This literature included papers delivered at international conferences, their proceedings and reports on these events in library journals. There were also proposals for various international projects and reports on these, such as the literature relating to the initiatives of Otlet and La Fontaine, the Royal Society and other groups, not to mention the proceedings of the FID and later IFLA. Mention should be made also of reports by individuals who visited other countries. In addition to the British visitors referred to in Chapter 1, German and Scandinavian scholars and librarians come to mind who visited the USA and returned to their countries imbued with new ideas on American library philosophy and practices. The work of the Carnegie Corporation of New York in various British colonies and dominions between the two world wars and immediately after, as touched on in Chapter 11, generated carefully researched reports intended to inform Carnegie interventions in these countries. In a broadminded initiative to “see ourselves as others see us,” the Carnegie Corporation also commissioned a report on librarianship in North America. The report, by Wilhelm Munthe (1939), a respected Norwegian librarian and then president of IFLA, has been widely hailed as a pioneering work of comparative librarianship. However, Munthe (1939, 3) himself wrote in the report, “It is quite likely that it will never be possible to build up such a thing as a comparative library science.” Immediately after the Second World War interventions by UNESCO to promote library development worldwide and particularly in developing countries, generated further growth of professional literature. However, it is no coincidence that, although international relations and international comparisons among libraries can be traced much further back, international and comparative librarianship made their appearance as identifiable albeit interwoven areas of study during the 1950s and 1960s. Following the rather deprecating comment by Munthe in 1939, the earliest mention of comparative librarianship occurred in the mid-1950s (Dane 1954a, 1954b), coinciding with the growing Cold War competition described in Chapter 1. The early literature (e.g. Shores 1970; Asheim 1985) emphasized the value of these studies in terms of international cooperation and understanding and had an idealistic and aspirational tone akin to missionary zeal (e.g. Swank 1960, 1963).

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2.3 Themes, genres, motives, and values The preceding comment suggests that at this point it may be of interest to look more closely at the range of writings that were found in the growing literature on international LIS activities. Writing a critical overview of the literature a generation ago, Rayward (1979, 179–80) described it unflatteringly: The literature of international and comparative librarianship leaves much to be desired. It is by and large profuse, scattered, fragmentary, occasional and of low quality. Comparative librarianship is a relatively new field which is more written about than made the object of serious study. ... As for the literature of international librarianship – as opposed to a more formal, scholarly literature of comparative librarianship – it is still, as it was as many as a hundred years ago, cumulated from the lucubrations of travellers and students with an eye for an interesting and useful technical detail, under the imperative of making a formal report or of “publishing or perishing,” or merely having an idle moment on hand, an unusual experience to report, and a narrative itch.

In her dissertation on internationalism in library education, which was referred to in the previous chapter, F.L. Carroll (1970a) identified a number of motivations for internationalizing it. Danton (1973, chap. 3) devoted a chapter to a chronological and critical review of “the dimension of purpose and value” as found in the literature up to that point. Foskett (1979a, 41–46) contributed an ironic categorization of the literature of comparative librarianship, under the headings of “export” (influence of one system on another), “travellers’ tales,” “first aid” (technical assistance), “universal truth” (the borrowing of a body of theory from another country), and “big brotherly love” (assistance provided by international organizations). Maack (1985, 7–8) identified three broad categories of comparative literature: “foreign library science” (descriptions of librarianship in other countries, with some elements of comparison), “thematic anthologies” (essays on an aspect of library development, contributed by authors from various countries), and more scholarly, rigorous comparative librarianship, as will be discussed below. Taking into account the intentions, motivations, expertise and degree of scholarly rigour manifested in the contributions, we arrive at the following set of necessarily overlapping categories that can be found in what is broadly known as international and comparative librarianship, listed roughly in chronological order of their appearance: – Travel and exoticism – Philanthropy – Missionary zeal – Extending national influence

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International understanding Internationalism Internationalization Area studies Cooperation Policy and advocacy documents Innovation Advancing knowledge Self-understanding Conceptual and methodological literature

2.3.1 Travel and exoticism Exoticism includes curiosity about how things are done in foreign countries, a love of travel and adventure, and the prestige that comes from having been where others have not. “Traveller’s tales” were an early tradition that contributed to the development of comparative education. These descriptions of educational practices in other countries often provided ammunition for critiques of practices in the traveller’s own country (Altbach and Kelly 1986, 3). In our own field Rayward (1979, 222–24) categorized works that arise from this motive as ‘travelogues,’ describing this genre as “narrative and conversational in style rather than analytical, derived almost entirely from the direct personal experience which it reports,” and of severely limited scholarly value. As examples of this genre he cited C. McCarthy’s (1975) book on developing libraries in Brazil and Paraguay, as well as a book, Library life – American style, by the wellknown American library humourist, Arthur Plotnik (1975), which might be of interest to non-American readers. Rayward also classifies here the well-known account of North American librarianship by Munthe (1939), referred to earlier. This genre is still very much alive and present in the less scholarly LIS magazines. An example is a special issue on international librarianship in volume 6, no. 4, 2000, of the OLA quarterly, the journal of the Oregon Library Association. It is also found in accounts of librarians from developed countries who travel to exotic locations on government-sponsored cultural diplomacy missions, for example a narrative by Salisbury (2011) of her visit to Kyrgyzstan. In a discussion of early conceptions of travel in relation to comparative education, Gonon (2004) developed a typology of travel: pilgrimage, cultivated travel (the educational tour), and exploration, applying this to the travels of educationalists. He concluded that foreign travel contributed to the growth of scholarship and internationalization. Given that comparative education initially

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served as a model for comparative librarianship, it would be interesting to investigate whether travel had a comparable influence in our field. In the context of exoticism, it is of interest to note the insightful classification of approaches of colonialists to foreign cultures, as outlined by Amartya Sen (2005). In his book The argumentative Indian. Sen wrote about British colonial attitudes to Indian culture over the three centuries or so that the British – first the British East India Company and from 1858 the British Crown – expanded their influence over that subcontinent and ruled over it. He distinguished between curatorial, magisterial and exoticist approaches in roughly successive periods. I return to Sen’s categories in Section 10.2, but here I note that in the third phase, Sen depicts the “fragile enthusiasm” of exoticism, exemplified by the late twentieth century westerners who travelled to India to “find” themselves. In this connection it is interesting to consider the attitude of Western scholars to eastern cultures as critiqued by Edward Said ([1978] 1994) in his influential book, Orientalism. According to Said, orientalism – the way Western scholars approached their subject – purveyed a misleading and romanticized image of the East, particularly of Arab culture. Portraying other peoples as quaint and not to be taken quite seriously, provides a rationale for imperial hegemony.

2.3.2 Philanthropy and ameliorative motives The second motive is philanthropy, love of, or concern for, our fellow humans. Here we find accounts by librarians and students who have travelled to other countries to assist in library development there. Accounts of their experiences also tend to be anecdotal and descriptive, with occasional analytical and evaluative elements, as in articles by Bywater (1998) on her work in Cambodia, by Nixon (2003) on her work as a volunteer in a poor community in Kwa-ZuluNatal, South Africa, and by Janet Lee (2011) on a book donation project in Ethiopia, published in Colorado libraries, the journal of the Colorado Association of Libraries. This is not to say that these are not laudable efforts. The reports can be very insightful, e.g. an account by Camins-Esakov (2008), who described aid projects in Afghanistan. Closely allied to philanthropy is what one might call missionary zeal. This is manifested in an article by Swank (1963), who identified “six items for export,” namely characteristics of American librarianship that he considered deserving of emulation in other countries, for example the evolution of the library profession, the attitude of service, and the role of the library in promoting intellectual freedom. Swank particularly envisaged “exporting” these concepts to developing countries. The enthusiasm of American libraries to “spread the

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word” and “assist library economy in other less enlightened or economically endowed countries” (Brewster 1976, 194–95) is reflected in the work of the ALA from the early twentieth century onwards. Writing two decades after Swank, Lester Asheim (1985) revisited this theme in a more nuanced and self-critical frame of mind. In his Portrait of librarianship in developing societies, Briquet de Lemos (1981, 1) wrote caustically: Much information about library and information services in the developing world has been produced by expatriates and foreign advisers reporting their impressions. Some have gone with the idea – either proclaimed or disguised – of reporting the idiosyncrasies of alien people and institutions to enlighten those who believe that the earth has not [sic] edges and ends a few kilometers away.

2.3.3 Extending national influence Often interwoven with the previous two motives is that of extending national influence (cultural, economic or political) through foreign aid for library development. There is a huge literature on the work of the British Council (e.g. Gummer 1966; Kraske 1980; O’Connor and Roman 1994), the United States Department of State (formerly carried out by the United States Information Agency, USIA)1 (e.g. Collett 1972; Brewster 1976; P. P. Price 1982; Richards 2001) or Germany’s Goethe Institut (e.g. Reimer-Bohner 2000; Boyer 2012) in providing library and information services and in stimulating and assisting the development of libraries in many countries. For a critique of USIS libraries in the 1960s, see Asheim (1966). Such activities are not entirely altruistic, the intention being to extend or strengthen the influence of the country providing the assistance. They should be seen against the background of the waxing and waning of the realist and liberal schools of foreign relations thinking referred to in Section 1.8. Accounts in this genre tend to be descriptive or promotional, but insufficiently evaluative. Among the goals identified by F.L. Carrol (1970a, 43–55) for incorporating internationalism in library education (discussed in Section 1.8), are two that are relevant here: – To advance the objectives of U.S. foreign policy (including the combating of communism and the strengthening of relations with the allies of the USA) – To promote international understanding and appreciation of the United States.

1 The United States Information Agency (USIA) was known overseas as the United States Information Service (USIS). The USIA was integrated into the US Department of State and ceased to exist as an independent agency on 30 September 1999. See USIA Factsheet, http://dosfan. lib.uic.edu/usia/usiahome/factshe.htm, accessed 2018-03-29.

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2.3.4 Area studies Also in Section 1.8, it was suggested that area studies came into being in U.S. universities thanks to generous funding made available by the U.S. Federal Government for strategic reasons. According to Rayward (1979, 225) area studies has generated an “operational or pragmatic” category of literature, which addresses practical issues of acquiring library materials from other countries, especially developing regions (e.g. Shepard 1968; Mirsky, Miller, and Lo 2000). It includes proceedings of conferences and specialist meetings. In the USA concern was already being expressed in the 1950s about problems experienced by libraries in identifying and acquiring materials from many foreign countries (Fall 1954; Wadsworth 1954), with solutions seen in various cooperative schemes and especially in the international acquisition activities of the Library of Congress (Lorenz 1972; Thuku 1999). These activities have given rise to a number of specialist organizations such as SCOLMA, UK Libraries and Archives Group on Africa,2 formerly known as the Standing Committee on Library Materials on Africa, which since 1973 has published a journal, African research and documentation.3 Its U.S. counterpart is the Africana Librarians Council, which is affiliated to the Africa Studies Association (ASA),4 and publishes the Africana libraries newsletter.5 In support of area studies there are also regional microfilming and digitization programmes such as the Cooperative Africana Materials Project (CAMP).6 Rayward includes here the literature on international systems of bibliographic control and availability of publications, which I have placed in the category of ‘international cooperation,’ below.

2.3.5 International understanding International understanding and the promotion of international peace have been significant motives for the international bibliographic and documentation

2 SCOLMA, “About us,” http://scolma.org/about/, accessed 2018-03-29. 3 SCOLMA, “African research and documentation,” http://scolma.org/category/ard/, accessed 2018-03-29. 4 Africana Librarians Council, http://www.library.upenn.edu/collections/africa/ALC/, accessed 2018-03-29. 5 Indiana University Bloomington Libraries, “Africana libraries newsletter,” https://libraries. indiana.edu/africana-libraries-newsletter-0, accessed 2018-03-29. 6 Center for Research Libraries, “CAMP,” https://www.crl.edu/programs/camp, accessed 201803-29.

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projects of the liberal internationalists since the late nineteenth century (cf. Section 1.8). It was also manifested in international library projects in the period following the First World War (cf. Witt 2013, 2014b). The International Committee on Intellectual Cooperation of the League of Nations involved itself in library matters. Similarly, UNESCO, which enshrined the promotion of international peace in its constitution, from the outset saw libraries as agencies for promoting peace through international understanding. It was stated explicitly in the UNESCO public library manifesto (UNESCO 1949) that UNESCO’s aim: is to promote peace and social and spiritual welfare by working through the minds of men. The creative power of Unesco is the force of knowledge and international understanding. This manifesto, by describing the potentialities of the public library, proclaims Unesco’s belief in the public library as a living force for popular education and for the growth of international understanding, and thereby for the promotion of peace.

In comparative education, the improvement of international education is a long-standing tradition. Altbach and Kelly (1986, 4) referred to a “humanitarian and ameliorative element” that motivated educators to contribute to world peace and development. As mentioned earlier, international understanding was one of the major goals identified by F.L. Carroll (1970a, 43–55), who distinguished three dimensions: – Attitude (an affective dimension concerned with feelings of friendliness and willingness to co-operate) – Knowledge (a cognitive dimension concerned with understanding the behaviour of other people) – Strategic knowledge (another cognitive dimension concerned with understanding the intentions of others with a view to decision-making, e.g. in foreign policy).

2.3.6 Internationalism, internationalization and international cooperation In Chapter 1 various strands of internationalism were discussed. In international librarianship, the term has been used quite loosely to refer to an idealistic, liberal internationalist motive. For example, librarians engaged in international co-operation are described by K.C. Harrison (1989, xv) as “citizens of the world with a strong faith that what they are supporting is really worthwhile and that both short-term and long-term good will come from it.” Stueart (2007, 1) characterized internationalism briefly as “the sharing of concerns and the promotion of cooperation among nations,” adding that “perhaps there is no discipline in

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which internationalism is more obvious than librarianship.” Internationalism in this sense is an attitude in favour of international cooperation and it is difficult to distinguish from the motive of international understanding. It can also denote a more general international orientation and awareness. Thus, internationalism can be summed up as an ‘internationally minded’ orientation which, in our context, gives rise to international scholarly exchanges, international cooperation among libraries, and international LIS education. In higher education generally, the word ‘internationalism” is often used in relation to internationalization. Internationalization has both passive and active senses. In our field, in the passive sense it refers to what is happing to librarianship and information work as a result of various factors such as changes in international relations, communications, technological developments and information access – factors that impel LIS workers to take note of international developments and adapt their attitudes and practices in various ways (Stueart 2007, 1–2). In this sense the word is more or less synonymous with ‘globalization.’ In the active sense internationalization refers to the action of rendering something (more) international, for example by adding to it elements from other countries or extending its scope to multiple countries. It is in this sense that the word internationalization occurs frequently in higher education, being defined broadly by the American Council on Education (2012, 1) as “institutional efforts to integrate an international, global, and/or intercultural dimension into the teaching, research, or service functions of higher education.” In LIS, the term also occurs in relation to higher education for LIS. A substantial literature on this arose, especially in two phases: in the USA in the 1970s and 1980s, in Europe in the first decade of the twentyfirst century and later, and more recently again in the USA. The work of Frances Laverne Carroll was noted in Section 1.8. Carroll followed up her dissertation (F. L. Carroll 1970a) with other writings (F. L. Carroll 1970b, 1972). In a subsequent edited volume (J. F. Harvey and Carroll 1987) the topic was dealt with by various authors, the editors defining internationalization as “. . .the process by which a nationalistic library school topic, an entire curriculum, or an entire school is changed into one with a significant and varied international thrust, the process whereby it is permeated with international policies, viewpoints, ideas and facts” (J. F. Harvey and Carroll 1987, x). Other North American authors (e.g. Campbell 1970; Sharify 1972) also contributed, in some cases describing courses and curricula on international and comparative librarianship (e.g. M. H. Sable and Deya 1970; Boaz 1977). In 1988 a gathering of doctoral students at the University of Pittsburgh’s School of Library and Information Science, provided a range of perspectives on the experiences of “international” (i.e. foreign) LIS students studying at U.S. universities (Tallman and

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Ojiambo 1990). Another education issue, that of the international harmonization of LIS qualifications, was discussed at an international symposium in Paris in 1984 (International Symposium on Harmonization 1984). The interest in internationalization of LIS education in the USA coincided with a period during which Federal funding was available for strategic programmes of international studies, including area studies, as referred to in Chapter 1. Since the turn of the century the internationalization of LIS education has generated a considerable literature in Europe, where internationalization often means Europeanization in response to European Union initiatives such as the Bologna Process (touched on in Section 12.5). These have given rise to much discussion on cooperation among LIS schools (I. M. Johnson 2000; Pors 2002; Mezick and Koenig 2008; Krakowska 2009; Tammaro 2014) including two volumes of conference proceedings edited by Tammaro (Tammaro 2002, 2006b). From the literature and personal conversations with Italian colleagues I gained the impression that at least in Italy, if not in Europe more generally, Europeanization has given considerable impetus to international librarianship, but with the focus very much on processes taking place in the European Union. These processes are not limited to LIS education and the Bologna Process, but include standardization, benchmarking, and European harmonization and cooperation in various spheres (cf. Vitiello 1996a, 2014). Elsewhere too, internationalization of LIS education remains a significant topic (e.g. Abdullahi and Kajberg 2004; Abdullahi, Kajberg, and Virkus 2007; I. M. Johnson 2009). Librarians have a long and honourable tradition of international cooperation (Wessels 1955; Jefferson 1977, chap. 9). Peter Havard-Williams (1972a, 170) went so far as to make cooperation the central theme of international librarianship. He wrote: “I define international librarianship as co-operative activity in the field of librarianship done for the benefit of the individual librarian in the whole of the world and done frequently by the likes of you and me.” A good overview of early international library cooperation was given by Krüss ([1933] 1961), supplemented by Breycha-Vauthier (1961), and by Wormann (1968). Most general works on international librarianship touch on the theme. Mudd and Haven (2009) presented a future-oriented view, whilst a recent book (Chakraborty and Das 2014) covers a wide range of cooperative LIS activities. There are many accounts of international cooperative schemes for particular types of libraries (e.g. Seidman 1993), types of materials (e.g. Ronan 2005), subject fields (e.g. Shibanda 1995; B.A. Butler et al. 2006), or regions (e.g. Aman 1991; Hazen 2000; Iivonen, Sonnewald, and Parma 2001). Mention was made in Section 1.8 of the IFLA core programmes of Universal Bibliographic Control (UBC) (D. Anderson 2000) and Universal Availability of

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Publications (UAP) (S. Gould and Watkins 1998), both of which were supported by UNESCO. In the UAP programme much use was made of Maurice Line’s procedure (e.g. Line et al. 1980) of outlining typical national models, to be used in comparing the characteristics, requirements, benefits and disadvantages of various schemes (e.g. centralized vs. decentralized). The UBC and UAP programmes were terminated in 2003 (Parent 2004). International cooperation in respect of document supply, bibliographic standards, preservation and other technical areas, has given rise to a category which Rayward (1979, 231) has called “operational literature.” These are documents that “attempt to specify the form and nature of cooperation involved” in international programmes. They include the various international cataloguing and other bibliographic codes, manuals and standards issued by international organizations. A great deal of standardization and norm-setting is taking place in Europe, in the European Union and also through the Council of Europe (Vitiello 1996c, 2014).

2.3.7 Policy and advocacy documents Given rapid developments in information and communications technologies and the accompanying phenomena of globalization and disintermediation, efficient cooperation among librarians worldwide is needed for the profession to participate effectively in the global forums that develop policy and international legislation in fields relevant to LIS. These are forums such as the World Intellectual Property Organization (WIPO) and the World Trade Organization (WTO) (e.g. Scott 2004; Agada et al. 2009) and the World Summit on the Information Society (WSIS) (e.g. J. W. Berry 2006; Haavisto and Mincio 2007), where far-reaching decisions are made that affect free and fair access to information resources in libraries serving the peoples of the world. Advocacy work in these fields has generated an ever-increasing volume of policy and advocacy documents, for example documents produced by IFLA, the European Bureau of Library, Information and Documentation Associations (EBLIDA), and Electronic Information for Libraries (EIFL) (e.g. Crews 2015; EIFL 2015; Marlin 2014). Another example is the intensive lobbying by IFLA and other library organizations, as expressed in the Lyon Declaration (IFLA 2014c) for the inclusion of access to information and libraries in the United Nations post-2015 development agenda (IFLA 2016a). Up to this point, the themes, genres and motives that I have categorized mainly occur in the literature of international librarianship. The categories that follow are more evident in comparative librarianship.

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2.3.8 Improving practice As is evident from Danton’s (1973) review referred to earlier, improving practice in LIS by learning from good practice in libraries in other countries has been seen as an important motive in the advent of comparative librarianship. Collings (1971, 493–94) listed seven practical goals motivating study and research in comparative librarianship: to provide guidelines for proposed new library programmes, to help analyse and solve common library problems, to assess the possibility of adapting practices and solutions, to provide background for foreign library assignments and visits, to facilitate exchanges of library materials and information, to enrich LIS education, and to contribute to international understanding and library development. Collings dealt with the question of adopting practices in a particularly cautious and tentative way, suggesting that it should serve to stimulate and assist judicious consideration and possible adaptation of promising practices and solutions to library problems from one area to another while guarding against indiscriminate emulation (p.494).

Possibly Collings was trying to warn against too much emphasis on adopting practices, a motive which is very widespread in the early literature of comparative librarianship. An example is found in the second of three essays on comparative librarianship submitted for the (British) Library Association’s Sevensma Prize in 1971. In his essay, R.K. Gupta (1973, 44) emphasized that the “higher end” of comparative librarianship is to act as a tool in determining the suitability of borrowing meaningfully the patterns under study in toto or partially. The main strength of the comparative librarianship approach, therefore, lies in its ability to lay bare the suitability/adaptability or otherwise of a library pattern or technique under study. The realm of comparative librarianship is not theory but application. . .

In tracing the origins of comparative librarianship, Krzys and Litton (1983, 8–12) traced this motive back to classical antiquity, but it seems that they were confusing “textual comparison” (the critical editing of texts) and the “borrowing of library practices or concepts” with comparative librarianship as a systematic and scholarly activity. Many statements similarly emphasize the practical value of both international and comparative librarianship in facilitating innovation through the borrowing and adapting of ideas from libraries in other countries. K.C. Harrison (1989, xii) stated that “. . .librarians with weather-eyes on professional practices

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in other countries have been able to adopt, adapt and apply many of these to their own library situations.” Such transplanting has occurred particularly in technical library processes. This has led to writings of a technical and evaluative nature. In the introduction to a new column, “International perspectives on academic libraries” in the Journal of academic librarianship, the editors of the column wrote: It is hoped that this column will help broaden the journal’s perspective outside North America; raise issues faced by academic librarians in the developing as well as the developed world; and identify issues that are common to all academic libraries, but to which the solutions must sometimes be modified to suit particular countries, cultures or economic environments. It should also be remembered that, although North American academic libraries are the driving force behind much innovation in the LIS field and are the source of much new thinking in the discipline, librarians in other countries have sometimes to deal with certain issues before they become critical in the United States or Canada; hence there will be times that the flow of information will travel in the other direction (Calvert and Cullen 2001, 394).

Although this statement strikes the non-North American reader as somewhat parochial if not self-satisfied, the recognition that the traffic of ideas and innovation can be two-way, is worth noting. It raises questions about who can borrow or learn from whom and questions the assumption that learning and borrowing should always be a one-way process. Writing from an Italian perspective, Vitiello (1996a, 7–8) suggested that a distinction should be made between two comparative approaches. One seeks to graft concepts and models developed elsewhere in more highly developed systems (e.g. in the “Anglo-Saxon” countries) onto local traditions. The other gives consideration to less prominent models, such as that of public library development in Portugal, which nevertheless can serve as “reference models” because they are adaptable to local conditions. A pragmatic desire to learn from other countries and ‘borrow,’ adopt or adapt technologies, systems, or policies found there, has been a significant motivator for comparative librarianship. The motive of ‘borrowing’ ideas and policies occurs not only in LIS but in other disciplines, such as education (Altbach and Kelly 1986, 3–5; Hayhoe and Mundy 2008, 9) and social policy (Hantrais 2009, 9–11). This process is not without risks, as will be considered in Chapter 9.

2.3.9 Perspective Related to the above is the motive of seeking to understand one’s own situation. For example, Asheim (1989, viii) listed a number of factors outside of librarianship that determine who uses libraries, how and why, and what barriers inhibit

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their use. He pointed out that such factors operate everywhere, “. . .but somehow we can see and understand this much more clearly in a foreign setting than we can when we are looking at a phenomenon with which we feel comfortably ‘at home.’” This motive is concerned with self-understanding, which represents considerable progress from the starting point of exoticism. It is also reflected in the last of F.L. Carroll’s (1970a) minor goals: “to gain perspective on one’s own values and traditions.” In the broader context of comparative social policy, C. Jones (1985, 3–4) considered comparative studies as a necessity, since they provide “a better understanding of the home social policy environment.” She added that the increasing use of international comparisons for political purposes makes it incumbent on professionals to understand and comment on such situations. Forewarned is forearmed.

2.3.10 Advancing knowledge The quest for advancing knowledge includes description, analysis, classification and comparison in order to arrive at generalized statements that explain phenomena and yield greater understanding. In his Foreword to K.C. Harrison’s International librarianship, Asheim (1989, vii) pointed to the value of learning-through-participation. . . not only through actual practice as a librarian in some other country, but also through the mutual exchange of ideas and viewpoints made possible through international associations. . . Both of these. . . provide the librarian with the opportunity to have direct contact with the practice and philosophy of library service in varying circumstances and at different levels of societal development, and from this insight, to identify and appreciate the many factors outside of librarianship itself that shape and define the nature of a library’s services and its social role.

This suggests that international comparisons can provide insights that are less readily gained from the study of library conditions in a single country. It is a point quite frequently made in the literature of comparative as well as international librarianship. Collings (1971, 493) stated that “the basic purpose of comparative librarianship as a subject of scholarly concern is to seek full understanding and correct interpretation of the library system or problem under review.” However, she mainly emphasized “pragmatic goals” such as providing guidelines for adopting programs from or in other countries. In their pioneering book, World librarianship: a comparative study, Krzys and Litton (1983, 5) cited the purely scientific objective of “formulating hypotheses, theories, and laws that will explain, predict, and control the phenomenon.” Their expectation was that the diverse national practices found in librarianship throughout the

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world would ultimately converge into a “global librarianship” (1983, vii). Their book was intended to advance this evolution. The assumption that such a global homogenization is desirable is, however, open to question. A different angle was suggested by Volodin (1998, 125). In an article on the development of scholarly libraries in Russia, he described the evolution of Russian scholarly libraries during the Soviet period, making some interesting points about difficulties of understanding these libraries from a Western perspective: An accurate description of the processes which influence the development of libraries in contemporary Russia in the context of the development of library science globally would allow us to understand why this country reacts differently to the same problems of research library development existing in other countries. A deeper understanding of the domestic situation might help illuminate connections between political order and cultural tradition. At the threshold of the new century the problems faced today by our colleagues around the world are similar. But different societies respond differently to the same challenges. Underestimation or ignorance of these processes cripples attempts at international cooperation.

Here an important interaction between studies at the national and international levels is suggested. We can make more sense of the way situations develop in individual countries if we can see them in a global context – but understanding of the global context derives from studies of librarianship within the political and cultural context of individual countries. The theme of international librarianship and especially comparative librarianship, as a field of scholarly study and teaching using rigorous scientific methods, made its appearance in the 1960s. Danton (1973, 3–5) outlined the development of comparative librarianship, referring to the appearance of the topic in bibliographies and in the curricula of North American and British library schools. Dorothy Collings is credited with designing and teaching (from 1956) the first course in comparative librarianship in the USA, at Columbia University (W. V. Jackson 2001). Collings also authored the first entry for “Comparative Librarianship” in the Encyclopedia of library and information science (ELIS) (Collings 1971). It is during the 1970s that greater attention began to be given to the conceptual and methodological aspects and to the distinction between international and comparative librarianship – aspects to be dealt with in the following sections. Progress in the development of international librarianship was reflected in the publication of further articles in ELIS on “International and comparative study in librarianship, research methodology” (Krzys 1974a), “World librarianship” (F. L. Carroll 1982), “International librarianship” (Bliss 1996), and “International and comparative librarianship” (Lor 2010).

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Starting in 1953 at the University of Chicago, a number of “institutes” (i.e. specialist seminars of a few days’ duration) on international and comparative librarianship were held at several U.S. universities. The proceedings of the Chicago institute were published (Carnovsky 1954a), constituting an early example of a collected work on international librarianship. It included chapters on such topics as UNESCO’s library programme, problems of acquiring foreign publications, library development in certain developing regions, and U.S. contributions to foreign library development. It is interesting to note that in several of the chapters the authors showed cultural sensitivity, warning against imposing American models without taking local context into account. The International Library Information Center (ILIC), described by Krzys (1974b), was established in the Graduate School of Library and Information Sciences, University of Pittsburgh, in 1964 as a “clearinghouse of information on library development, documentation and book production and distribution and as a training and research center.” The first of a number of institutes on international and comparative librarianship was held there in 1965 (Sharify and Piggford 1965, 73–74). The ILIC appears to have closed down in 1987.7 In 1963 five U.S. library schools offered some coursework in comparative librarianship; by 1972 the number had risen to 45 (Danton 1973, 4) and by 1975 to 56 (Boaz 1977, 167). Whilst hard figures are hard to come by, it would seem that this number has declined since then.8 A survey of 60 LIS schools in North America and Europe found that 65% of North American schools and 48% of European schools had some course offerings in international studies (Abdullahi and Kajberg 2004, 350). On the other hand, Rudasill (2009, 512) claimed, but without adducing data, that “an increasing number of library schools are offering courses related to ‘international’ or ‘global studies’ librarianship.” By the 1970s international and comparative librarianship was also being taught in the Soviet Union, Britain, Denmark, Germany and Nigeria. In Britain formal teaching of international and comparative librarianship as part of postgraduate LIS curricula had commenced (as an elective) in the mid-1960s (Boaz 1977, 167–69). The International and Comparative Librarianship Group (ICLG)

7 The ILIC last featured in the University of Pittsburgh directories in the 1986/1987 academic year. It appears that it was closed in 1987 (personal correspondence January 21, 2016, Zachary Brodt, University Archivist, Archives Service Center, University of Pittsburgh). 8 The “ICL Communitas,” a web resource for research and teaching in international and comparative librarianship, in early 2018 listed only 15 programmes, all in the USA (https://iclcom munitas.wordpress.com/education/icl-courses/, accessed 2018-03-29). I am aware of courses not listed here, and that more can be found by using Google, but it is also noticeable that several of these have not been taught for some years.

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of the Library Association was formed in 1967, following an initiative taken by LIS students. It published a quarterly newsletter, Focus on international and comparative librarianship (1967–2000). A report on its first ten years (Dewe 1977) reflected vigorous activity and healthy growth in membership, from around 100 in 1968 to almost 1,500 in 1977. The Group’s Handbook (Whatley 1977) contained reports on various international activities, a 16-page directory of research into international and comparative librarianship (Biggs 1977) and a 13-page bibliography of over 120 “theoretical writings” about the subject (Simsova 1977). A decade later a new report on the work of the ICLG (I. A. Smith 1986) offered updated content covering much the same scope. It included a second bibliography of international and comparative librarianship, for the period 1976–1985 (Simsova 1986). By then two editions of Simsova’s Handbook of comparative librarianship had appeared (Simsova and MacKee 1970, 1975), each containing a modest methodological section, “Comparative librarianship and comparative method” (c. 70 pages in 1975), followed by a voluminous and elaborate “Guide to sources” compiled by MacKee. However, this was intended as a guide to sources of information useful for comparative and international studies, not as a bibliography of comparative librarianship as such.9 The 1986 ICLG report also included a chapter on “British-based research in international and comparative librarianship” (Clow 1986a), covering 371 research projects begun in the UK 1976–1985. It contained statistical analyses and evaluative comments but did not list the research projects. Clow pointed out that the number of research projects was surprisingly large, amounting to perhaps 10% of total British LIS research. He also admitted to the problem of defining international and comparative research, which he took to include studies concentrating on countries outside the UK, and of distinguishing in practice between “international” and “comparative” studies. Since it is difficult to determine whether a study is truly comparative without reading it, a distinction was made between “single” projects (61% of the total) and “combined” projects (39%), an unknown percentage of which may have been comparative (Clow 1986a, 103–4). A more recent article covering the period 1967 to 2001 reflected a range of activities but seemed to be rather focussed on the past. Membership

9 The “Guide to sources” was described by Rayward (1979, 218) as “a prodigious amount of curiously arranged, heterogeneous material.” A third edition of the “Guide to sources” appeared as a separate work in 1983 (MacKee 1983), confusingly designated as the third edition of the Handbook, while the methodological section, “Comparative librarianship and comparative method” (c. 70 pages in 1975) by Simsova that had appeared in the first two editions was replaced by a separate publication, Simsova’s (1982) 95-page Primer of comparative librarianship..

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peaked in 1981 with 1,677 members. In 1991 the Group changed its name to “the International Group” of the Library Association (Ladizesky 2004). In 2002 Focus on international and comparative librarianship was renamed Focus on international library and information work when the ICLG changed its name to International Library and Information Group (ILIG). The change of name reflects declining interest in comparative librarianship if not in the scholarly study of international librarianship generally. The changing scene gave rise to considerable soul-searching concerning the relevance and future of the Group (International Library and Information Group 2005). The rise and subsequent decline of interest in international and comparative librarianship is reflected in its literature. During the 1970s considerable discussion had arisen about the distinction between international and comparative librarianship. Definitions will be dealt with more fully below, but at this point it is useful to make a preliminary distinction. In the next two sections, international librarianship is understood as dealing with relationships and interactions between LIS entities, and descriptions of LIS conditions, in more than one country, while comparative librarianship is understood as the scholarly study including explicit comparison of LIS phenomena in more than one country, society or culture.

2.4 The literature of international librarianship As issues of delimitation arose in the 1970s, the literatures of the two fields also diverged. In this section I give an overview of the literature of international librarianship. I include here literature that predates, or does not take cognizance of, the divergence of comparative and international librarianship.

2.4.1 Bibliographies and overviews A number of bibliographies allow us to track the growth of the field. The bibliographies produced as part of the work of ILIG (Simsova 1977, 1986) were mentioned earlier. In an overview of international and comparative librarianship, Fang (1981, 372–74) offered a list of resources, including important journals, monographs, series and reference works. Rooke (1983) published an assessment of six major “international librarianship“ journals. These were Focus on international and comparative librarianship, IFLA journal, International library review, Journal of library history, philosophy and comparative librarianship, Libri, and the UNESCO journal of information science, librarianship and archives

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administration. A series of three annotated bibliographies covered the literature over several decades. A bibliography of librarianship and the Third World by Huq and Aman (1977) included a 63-page “international” section covering most of the significant literature on international and comparative librarianship of the period. It was followed by an annotated bibliography on “world librarianship” by Huq (1995), which covered the field of international and comparative librarianship for 1976–1992. This was continued by the selected bibliography compiled by Weintraub (2004) for the period 1993–2003. An annotated selective bibliography of 125 entries by Penchansky and Halicki-Conrad (1986) and a literature review of library aid to developing countries (Curry, Thiessen, and Kelley 2002) may also be mentioned. A bibliometric analysis of the literature of international and comparative librarianship was reported in a doctoral dissertation by Bliss (1991, 1993b). This covered the literature from 1958 to 1990. The year 1958 was chosen because the subject heading “Librarianship – International aspects” was first used in Library literature, a periodicals index for LIS published in the USA, in that year (Bliss 1991, 9). The term “Comparative librarianship” was added in 1970 (Bliss 1991, 61). In 1991 Library literature covered 227 journals, of which 137 were published in the USA and 61 in Europe (Bliss 1991, 59). It is unfortunate that Bliss limited herself to a single, U.S.-published index. One consequence is that she did not include in her study Focus on international and comparative librarianship,10 quite a significant source in our field, but not covered in Library literature. The British Library and information science abstracts (1969–) had better coverage of countries other than the USA. In terms of development, Bliss charted the development of the literature from its origins in the late 1950s and early 1960s, to a growth spurt during the late 1960s and early 1970s, and a subsequent decline interrupted by “erratic” fluctuations. Although inspection of the literature shows that international and comparative librarianship were developing as identifiable fields, if not subdisciplines, in the 1960s and 1970s, Bliss provided no thematic analysis, so that it is not possible to distinguish in her findings between international and comparative librarianship. Neither did Bliss provide an analysis of the literature by quality or genre, so that no distinction was made between anecdotal reports in the more popular professional journals and the more scholarly literature. In contrast with the quantitative but ultimately superficial analysis provided by Bliss’s dissertation, an essay on the literature of approximately the same period by Rayward (1979) provided a qualitative and critical assessment.

10 Ironically, Focus on Indiana libraries was included, along with most other library magazines of US states.

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Rayward was not impressed with the general quality of the literature of international and comparative librarianship but tempered his occasionally acerbic comments with a sympathetic understanding of the need to affirm an international community. Writing about the conference papers that have found their way into print, he wrote: The articles in this class in general are not very long. Their purpose is simple and essentially reportorial; many are not even conceivably “useful.” They are examples of an enormous literature, a broad rationalization for which, whatever the range of actual motives that drove its local or foreign authors’ pens, is that it promotes international understanding. It is easy to be cynical about this, but such a literature is probably a necessary expression of the existence of an international community. . . (Rayward 1979, 221).

2.4.2 Edited collections A feature of the literature of international and comparative librarianship from the 1970s onwards has been the publication of edited collections of chapters by multiple authors. Some of these were published as Festschriften in honour of prominent personalities (for example Vollans 1968; Krol and Nachbahr 1969; Gidwani 1973; Rayward 1979; G. E. Gorman 1990). Often the chapters are very diverse or have little bearing on the matter announced in the book’s title. A Festschrift for William Welsh, entitled International librarianship today and tomorrow (J. W. Price and Price 1985), contained nothing about international librarianship as such. Presumably the title had been chosen because Welsh, at that time Deputy Librarian of Congress, was respected in international circles and had participated actively in forums such as IFLA and the Conference of Directors of National Libraries. Published proceedings of conference and seminars also offered a mixed bag. The proceedings of the institute held in 1953 at the University of Chicago (Carnovsky 1954a) was the first to be devoted to international aspects of librarianship. Various other academic meetings dealt with aspects of international librarianship, at the University of Illinois (Bone 1968), the University of Wisconsin, Madison (e.g. W. L. Williamson 1971, 1976; Krikelas 1988), in Pittsburgh (e.g. Tallman and Ojiambo 1990) and elsewhere. Published conference proceedings have since then proliferated. In particular, the IFLA Publications series,11 which reached number 175 in 2018, comprised mainly proceedings of international meetings organized by IFLA units.

11 IFLA, “IFLA Publications Series,” http://www.ifla.org/publications/ifla-publications-series, accessed 2018-04-19.

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From the 1970s onward, edited collections of commissioned chapters became a characteristic component of the literature. Miles M. Jackson (1970) edited the first example of a genre of publications which became typical for international librarianship. In his book, Comparative and international librarianship: essays on themes and problems, an initial chapter setting out a theoretical approach to comparative librarianship (Shores 1970) was followed by a chapter on the public libraries of Western Australia. The following chapter, on public libraries in the inner city (Byam 1970) was entirely, and quite unselfconsciously, limited to the USA, as was the next, on school libraries and school librarianship (Whitenack 1970). A mix of further chapters included four regional (multi-country) surveys on specific library types. This pattern – an often-indifferent introductory chapter on international and/or comparative librarianship, followed by a miscellany of contributions of the type ‘Library Type X or Library Activity Y in Country or Region Z,’ and in most cases, no attempt at a synthesis, comparison or conclusion – was followed by later editors. Examples are the collections edited by Kawatra (1987), which contained two chapters of a theoretical nature, Kaula, Kumar and Venlatappai (1996), McCook, Ford and Lippincott (1998) and Y.Q. Liu and Cheng (2008). The fairly wide scope of Kesselman and Weintraub’s (2004) Global librarianship and its inclusion of some substantial thematic chapters has led to its being used as a textbook for the teaching of international librarianship. Similar to the edited collections of commissioned chapters referred to above, but focussing to a greater or lesser extent on a particular theme, are collections dealing with such matters as LIS education (G. E. Gorman 1990), international cooperation (F. L. Carroll, Harvey, and Houck 2001; Chakraborty and Das 2014), newspaper librarianship (Walravens and King 2003), the impact of technology on libraries in developing countries (R. N. Sharma 2012a), and professional opportunities in international librarianship (Carlyle and Winn 2018). A number of collections edited by Olden and Wise focussed on developing regions (Olden and Wise 1993; Wise 1985; Wise and Olden 1990, 1994). Here we tend to find more substantial contributions by the editor of the collection, as in publications edited by Parker on library development planning (Parker 1983b) and information consultancy (Parker 1986). In a later publication, his large-format, over 600-page International handbook of contemporary developments in librarianship, Miles Jackson (1981) introduced another genre, the geographically organized collection consisting of chapters arranged continent by continent and country by country, the chapters themselves mostly following a set pattern, by type of library. This too lacked any theoretical introduction or conclusion. Other examples are collections edited by Abdullahi (2009) and Sharma (2012b). Further, more thematically focussed, examples of the geographically organized genre also occur, for example Lowrie and Ngakura (1991)

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on school librarianship. When well organized and edited, such publications can be useful for teaching and as sources of data for comparative studies.

2.4.3 International and regional surveys This brings us to the international and regional surveys in which one author, or a few co-authors, present descriptive country reports, e.g. H.C. Campbell (1967) on the planning of metropolitan libraries, Kaser, Stone and Byrd (1969) and G. Chandler (1971) on library development in Asia, and Vitiello (1996b) on European libraries. A book on library development in Southeast Asia by Wijasuriya, HuckTee and Nadaraja (1975) introduced the notion of “barefoot librarians” (but did little to develop it.) The regional surveys had their heyday in the 1960s and 1970s, after which more highly structured and more narrowly focussed international survey reports replaced the earlier descriptive and discursive narratives. Examples of works in this large category are surveys of legal deposit legislation (Pomassl 1977; Jasion 1991), special libraries (Halm 1978), national libraries (G. Chandler 1982), African public libraries (Issak 2000), and copyright legislation in Africa (Armstrong et al. 2010) and Latin America (Fernandez-Molina and Chavez Guimarães 2010). With studies such as that of Lajeunesse and Sène (2004) the question arises whether these fall within the realms of international or of comparative librarianship. But before I turn to the latter some further categories of literature on international and comparative librarianship generally will be considered. Here mention should be made of country and regional reports by consultants commissioned by charitable foundations such as the Carnegie Corporation, for example the reports on library conditions in British colonies in East, Central and Southern Africa (M. J. Ferguson 1929; Pitt 1929), New Zealand (Munn and Barr 1934), Australia (Munn and Pitt 1935) and West Africa (Lancour 1958).

2.4.4 Single-country studies The ancestor of single-country studies12 is the often-cited work of Munthe (1939). During the mid-1960s to mid-1970s the British library publisher Clive Bingley published a number of concise single-country descriptive studies in the series “Comparative library studies.” The countries covered were mainly

12 As will be discussed in Section 2.6 below, single-country studies do not, strictly speaking, fall within international librarianship.

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Commonwealth countries such as Australia (Balnaves and Biskup 1975), and South Africa (Taylor 1967), but there were also volumes on France (J Ferguson 1971) and the USSR (Francis 1971). Three of the titles were reviewed by A. Thompson (1972). A country study of a different kind was the study of libraries in Senegal by Maack (1981b). This was based on her doctoral dissertation and insightfully traced library development in Senegal in relation to French cultural and colonial policies. After the 1970s such country studies are not numerous, but to some extent this is compensated for by quite substantial entries for many (but by no means all) countries in the Encyclopedia of library and information science, especially in its first edition, 1968–2003.13 Of course, as reflected in the bibliographies cited earlier, many thousands of periodical articles and book chapters on libraries in the countries of the world have appeared and continue to appear, some of which will be referred to in later chapters as appropriate.

2.4.5 Special topics The involvement of UNESCO in the promotion of library services gave rise to many publications, including a series of ten UNESCO public library manuals published between 1949 and 1959, after which the series was continued with the same numbering but under another title, “UNESCO manuals for libraries,” to reflect a broader scope. Apart from these series, UNESCO published significant manifestos, manuals and guidelines which influenced library development world-wide, for example the UNESCO public library manifesto (UNESCO 1949, 1994), guidelines for legal deposit legislation (Lunn 1981; J. Larivière 2000), manuals for devising national information policies (e.g. Montviloff 1990), surveys of bibliographic services throughout the world (e.g. Beaudiquez 1977), and more recently important compilations on matters such as the preservation of digital heritage (UNESCO 2003a), knowledge societies (UNESCO 2005), and endangered languages (Moseley 2012). On a smaller scale, international NGOs such as FID (until 2000) and IFLA have also contributed publications on these themes. A number of doctoral dissertations on various topics in international librarianship also appeared during the 1960s to 1980s, on topics such as internationalization of LIS education (F. L. Carroll 1970a) and American influence on LIS in other countries (Danton 1957; Rochester 1981; Horrocks 1971). Maack’s (1978) study of French influence in Senegal was mentioned earlier. A more recent

13 The third edition (2010–2014) lacked entries for some countries that had been included in the first.

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example was a study of IFLA’s core programme on Freedom of Access to Information and Freedom of Expression (FAIFE) (Byrne 2007). Significant monographs during this period included those of Asheim (1966) on librarianship in developing countries. It was followed by critical assessments of Western influence by Briquet de Lemos (1981), Amadi (1981a) and Gassol de Horowitz (1988). A slim volume on international dimensions of librarianship and documentation (Coblans 1974) was the nearest the field came to producing a general textbook on international librarianship, as distinct from comparative librarianship, which is dealt with below. A small number of monographs on more specialized topics also appeared. These included a ground-breaking study on international influence (Danton 1957), a study of Indo-American library relations (Konnur 1990), a detailed study of UNESCO’s role in library development planning (Parker 1985), and an influential reflection on the role of culture in library development (Benge 1979a).

2.4.6 The current state of the literature of international librarianship The literature of international librarianship appears to be overwhelmingly in English. In part this may be a reflection of the Anglo-American dominance in LIS generally. It may also reflect the biases inherent in the bibliographic databases available to the author. Requests were directed to colleagues in a number of other language regions. Colleagues in Latin America failed to respond. Responding to my request, the National Library of Singapore compiled a useful annotated bibliography of work about library development in Southeast Asia, but the items were overwhelmingly in English. Some literature in French, German, Italian and Spanish was located. More exhaustive efforts may have yielded more. Serious and sustained study in international librarianship requires the resources of large LIS schools offering a wide range of elective courses. Most of such schools are found in the USA. The literature is highly fragmented. Although a number of journals can be identified in which relevant articles are frequently published (e.g. in alphabetical order, Alexandria, American libraries, Focus on international library and information work, IFLA journal, Information development, International information and library review, Journal of library history (under its various titles, latterly Information & culture), Library trends, Libri, New library world, and World libraries), writings in the field appear in a wide range of journals, conference proceedings and other publications. Much of the literature is descriptive and operational, describing and discussing practical activities and programmes in the international arena. Scholarly research forms only a very small subset of the literature. As Rayward (1979, 224–25) pointed out,

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All of this literature strengthens the international community by spreading information about it, by encouraging changes and adjustments in it as a basis for wider support, and by promoting acceptance of and participation in it.

To this I may add that the descriptive and operational literature of international librarianship, albeit often anecdotal and unsystematic, can be useful for historical and comparative studies for factual information about past developments that might not otherwise be readily available. But it has to be used with discretion. No particular research method is associated with international librarianship. Given the nature and wide scope of the field, any research method applied in LIS can be applied in international librarianship, provided that researchers take into account the challenges inherent in international, cross-cultural and cross-societal research. However, much of the research is poorly conceptualized and fails to apply theory from LIS itself, or failing that, from other social science disciplines. Reporting on her bibliometric study, Bliss (1991, 38–39) commented: As a body of literature, international librarianship is neither substantive nor analytical. It is more enumerative and factual. It appears to be suffering from the same ailments as the profession as a whole. While it purports to deal with the single most crucial resource of our time, it conducts itself in a parochial, myopic and inert fashion.14

Since that was written, there has been some improvement. It is the purpose of this book to promote that improvement.

2.5 The literature of comparative librarianship 2.5.1 Conceptual and methodological literature From the 1970s onwards attention was paid to conceptual and methodological aspects of international and comparative librarianship, but with the exception of a useful attempt by Parker (1974) to define international librarianship and delimit its scope, this concern was mainly limited to comparative librarianship.15 The importance and value of comparative studies were argued, emphasis was placed on the need for rigorous scientific methodology, and methodological guidelines were developed (Simsova and MacKee 1970, 1975; Collings 1971; J. F. Harvey 1977). This continued in the early 1980s (Keresztesi 1981; Krzys and Litton 1983;

14 Presumably the last sentence refers to librarianship as a whole. 15 In this section I have made liberal use of an article published in Journal of documentation (Lor 2014).

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Simsova 1982). Already in 1976 there was enough interest in comparative librarianship for the publication of a Reader in comparative librarianship edited by Foskett (1976b), which brought together commissioned chapters as well as reprints of articles. With some exceptions, e.g. Bliss (1993b) and Vitiello (1996a) most of the conceptual and methodological contributions that followed were derivative and added little substance. The authors of the 1970s and 1980s publications in comparative librarianship tended to cite one another and comment on one another’s work, so that during this period a discernible nucleus of literature could be said to exist in comparative librarianship. However, much of the literature was concerned with inconclusive attempts to distinguish between comparative and international librarianship, a matter which is dealt with in the Sections 2.6 to 2.8. By 1977 Danton felt that enough had been written about the two fields but that actual work in comparative librarianship was meagre. He suggested, “Let’s call a moratorium on writing about the subject and devote our energies to doing comparative work” (Danton 1977, 13). Literature on international and comparative librarianship as fields of study (as distinct from work in these two fields) petered out in the 1980s. Initial inspiration for comparative librarianship had come from more established comparative disciplines. Danton (1973) reviewed work in comparative linguistics, law and education going back to the nineteenth century and including works in several European languages. In a wide-ranging and thoughtful essay on comparative librarianship from a European perspective, Vitiello (1996a) discussed the origins of comparative studies, with emphasis on comparative linguistics and anthropology and their development over time, mentioning the importance of evolutionism as a conceptual framework (1996a, 11–12). Foskett’s (1976b) reader included reprints of articles from comparative social anthropology, religion, law, and linguistics, and several from comparative education. Elsewhere Foskett (1977) referred to comparative politics and law, but he placed most emphasis on comparative education. Of all the comparative fields, comparative education was most often held up as a model for comparative librarianship. Lajeunesse (1993, 6) concurred, arguing that comparative librarianship is more closely related to comparative education than to any other comparative field. Both education and librarianship have many concerns in common, dealing with physical institutions, political and institutional jurisdictions, administrative issues, and public service. Comparative education is a well-developed field. A number of journals are devoted to it, e.g. Comparative education review (1957–), Comparative education (1964–) and Current issues in comparative education (1998–). Since 1970 there exists a World Council for Comparative Education Societies. Its membership comprises over thirty national professional

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associations concerned with comparative education.16 Similar publications and forums exist for other comparative fields. It is in methodology that the influence of comparative education is particularly noticeable. Three texts on comparative education, by Bereday (1964), Holmes (1965) and Noah and Eckstein (1969), appear to have been particularly influential, being not infrequently cited in the early writings on comparative librarianship by influential authors such as Simsova and MacKee (1970, 1975), Danton (1973) and Foskett (1965a, 1977, 1979a). Simsova devoted three chapters (some 22 pages) to methodology, dealing with the choice of a topic, collecting and interpreting data, and “patterns of comparison” (Simsova and MacKee 1970). The latter, rather muddled, chapter dealt most specifically with comparative method. Here formulaic patterns of comparison inspired by Bereday were presented (1970, 53–60). This approach was developed somewhat in her Primer (Simsova 1982), which reflected the influence of Foskett as well as Bereday. It includes two comparisons of imaginary countries, intended to illustrate the method. The monograph by Danton (1973) included a 45-page chapter on methodology. It was considerably more scholarly, reflecting contemporary American thinking on the use of the scientific method in librarianship, as exemplified by Herbert Goldhor’s (1969) text on scientific research in librarianship. Danton cited a considerable number of research methodology texts, including education methodology texts popular in the 1960s, e.g. Mouly (1963) and Van Dalen (1966), as well as the above-mentioned works of Bereday (1964), and Noah and Eckstein (1969). In his discussion of the scientific method, Danton emphasized the importance of hypotheses as a key step, to be followed by the collection and interpretation of data, then the more strictly comparative steps of juxtaposition and comparison, and finally the search for “causes, explanations, and principles” (1973, 122). The general tenor was that comparative librarianship, as a very young field of study, should emulate the more mature sciences in seeking to establish scientific laws. Somewhat later, in a monograph on comparative “world librarianship,” Krzys and Litton (1983, 27–54) elaborated a research methodology comprising stages of description, interpretation, juxtaposition and comparison. This was illustrated by means of a diagram adapted from Bereday (1964, 28).17 Generally speaking, the methodological literature of the first two decades of comparative librarianship shows a rather rigid, mechanistic and formulaic approach, and great concern with following the example of what were seen as

16 The website of the World Council for Comparative Education Societies lists 41 members. Not all of these, however, are exclusively devoted to comparative education. See http://wccesonline.org/current-members.php, accessed 2018-03-30. 17 Krzys and Litton incorrectly attributed it to Van Dalen.

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the more highly developed sciences, in the pursuit of the classic goals of natural scientists, namely explanation, prediction and control. As such this is not a problem. What is a problem, is that this is where methodological reflection in comparative librarianship ended. Newer thinking in comparative education and other comparative disciplines has somehow had little or no impact on comparative librarianship. More recent literature on international librarianship by Bliss (1993b), Vitiello (1996a), Lor (2008a, 2010) and Tammaro (2009) has not added significantly to the earlier work. Examination of journal articles purporting to report comparative research during the period 2005–2009 (Lor 2014) and subsequently, revealed that it is rare to find references either to the earlier conceptual and methodological literature of comparative librarianship, or to any other conceptual or methodological literature from any field or period. While there has been little or no new methodological discussion in comparative librarianship since the 1980s, other comparative fields have moved on beyond the essentially positivist perspective of Eckstein and Noah and their contemporaries. They have continued to develop the conceptual and methodological basis for comparative studies (De Cruz 1999, e.g.; Dogan and Kazancigil 1994; Hantrais 2009; Landman 2008; Pennings, Keman, and Kleinnijenhuis 2005; Przeworski and Teune 1970), and to sustain lively conceptual and methodological debates (Cowen 2006; Crossley 2002; Ragin 1987; Sartori 1991; Schriewer 2006). In contrast, comparative librarianship has failed to develop a conceptual and methodological basis.

2.5.2 Comparative studies As Danton (1977, 13) had suggested, the output of actual comparative studies did not match the conceptual and methodological discussions. This is not to say that no interesting studies have been published in comparative librarianship. Here I omit the single-country studies, which I have mentioned under international librarianship. Most regional and international (i.e. worldwide) surveys also belong under international librarianship, unless they include a significant and explicit comparative analysis. There is a large body of incidental comparisons, which we typically find in reports of study visits (e.g. Kulish 2001; German 2006), internships and job exchanges (e.g. Bobinski and Kocojowa 1998; Megan Johnson, Shi, and Shao 2010; Kintz 2011), international education programmes (e.g. Nekolova 2003; B. F. Williams, Rakhmatullaev, and Corradini 2013), library twinning (e.g. Griner, Herron, and Pedersoli 2007), aid projects (e.g. Gundersen and Kubecka 2011; Mayo 2014), and, in the case of colleges and universities, of the operation of libraries on campuses in other countries (e.g. Hammond 2009; Wand 2011).

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Under institutional comparisons I place comparisons of libraries in more than one country, which do not contribute much to comparative librarianship because little or no attempt is made to relate the similarities and differences that are observed to social, cultural or other contextual factors in the countries where the institutions are located (e.g. Balagué and Saarti 2009; Lobina 2006; MacKnight 2008). Having eliminated the above borderline categories, we are left with a much more limited corpus of true comparative studies. These include a few comprehensive comparisons and many studies of more limited scope. The latter are usually limited to a particular type of library or a library function, activity or an issue such as LIS education or legislation. The resulting literature can be roughly categorized as follows: – Comprehensive comparisons (dealing with all aspects) – Type of library – Library function, process or activity – Infrastructural or contextual factors or issues – Combinations of the above Comprehensive comparisons, in which all aspects of librarianship in two or more countries are compared, have proved in most cases to be too ambitious for successful realization. In an early example, Duran (1976), then a doctoral fellow at the University of Wisconsin, Madison, compared library development in Jamaica and Puerto Rico comprehensively and systematically. Following on her study of Senegal, referred to earlier, Maack (1982) contributed an insightful comparison of two former French colonies (Senegal and Ivory Coast) and two former British colonies (Ghana and Nigeria), paying particular attention to the colonial legacies and various determinants of library development. The most ambitious attempt was World librarianship: a comparative study, by Krzys and Litton (1983), referred to above. The authors attempted to formulate “a metalibrarianship, the philosophy and theory underlying the practice of librarianship throughout the world” (p.3). Their methodology (discussed in Chapter 4) was strongly influenced by Bereday (1964) and reflected an assumption that scientific laws can be formulated in librarianship and that all librarianship everywhere will ultimately converge towards a global librarianship. However, given the ambitious aim, the end result was rather disappointing. Krzys and Litton did not find followers, but it is interesting to note that some elements of the comprehensive approach reappeared in Europe in 1996, with the publication of a book-length overview by Vitiello (1996b) of libraries in Europe, which included a more detailed comparison of the French, Danish and German library systems, chosen to counteract the pervasive influence of the “Anglo-Saxon”

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model. In a later book, Vitiello (2009) placed the national library models in the wider context of the European book industries. Comparisons limited by type of library are more numerous. A nineteenth century example is an exhaustive study by the British librarian, Edward Edwards ([1869] 2010) entitled Free town libraries, their formation, management, and history in Britain, France, Germany, and America; together with brief notices of book-collectors, and of the respective places of deposit of their surviving collections. According to the author’s Preface (p.v), it was intended primarily to serve as “a handbook for promoters and managers of free town libraries; especially of such libraries as may hereafter be established under the ‘Libraries Acts’,” but also to compare British and American experience in public librarianship. Chaplan (1971, 42) (1971) mentioned a number of nineteenth century articles and reports authored by German visitors to the USA, in which they held up the advances of public libraries there as an example to be emulated in Germany. In some cases, such publications included comparative statistics. A number of early comparative studies were discussed by Danton (1973:106–108). It is interesting that some of those of which he wrote approvingly were studies of public libraries in various countries by French authors such as Pellisson (1906), Morel (1908), and Hassenforder (1967). These authors were motivated by a desire to prompt improvements in French public libraries, which were seen as lagging behind their counterparts in Britain, Germany, and the USA. This French retard, or backwardness, discussed in Chapter 9, features prominently in a much more recent French contribution, a perceptive comparison of the origins and development of public libraries in the USA and France by Bertrand (2010). A wider range of countries was covered, albeit unevenly, by McColvin (1957), in a book with the avowed purpose of encouraging the worldwide development of public libraries. Public libraries are also the subject of a number of more scholarly studies by Ignatow, a sociologist who applied theories of globalization, culture and democratization to the development of community libraries in several groups of developing countries (Ignatow 2009, 2011; Ignatow et al. 2012). Perceived outcomes of public libraries in three European countries (Finland, Norway, and the Netherlands) were compared in a more quantitative study by Vakkari, Aabø, Audunson and colleagues (Vakkari et al. 2014), subsequently extended to South Korea and the USA (Vakkari et al. 2016). An early comparative study of school libraries mentioned by Danton is that of Overduin (1966), whose aim in studying school libraries in a number of European countries was to improve school libraries in the then Transvaal Province of South Africa. In her study of school library provision in Great Britain and the USA, R. Knuth (1995b) aimed to contribute to theory development, in this case by the identification of two basic models of school library provision. Lauret (2006) compared

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school libraries in Quebec with documentation and information centres in French schools, as very different models. Among other comparative studies of types of libraries, a wide-ranging book on European national libraries by Vitiello (2002) was mentioned above. Baldoni (2013) dealt with an unusual library type, the private libraries of eminent historical figures, comparing Italian practice with that of member libraries of the (American) Association of Research Libraries. With a few exceptions, a strong ameliorative strain runs through the international comparisons of specific types of libraries. In many cases, they are motivated by a desire to prompt remedial action in the authors’ home countries by publishing comparative data which show libraries in their own country not measuring up to their counterparts elsewhere. The largest category of international comparisons comprises studies of library functions, processes and activities. Here only a few examples can be mentioned. An early example is an exhaustive international comparison of library classification by a Russian scholar (Samurin 1955, 1959). Other examples of fairly technical comparisons are studies of English and Spanish language databases (Villagra Rubio and Román Román 1981), subject cataloguing in Slovenia and the USA (Šauperl 2005), cataloguing of Chinese language material in a number of East Asian countries (Pong and Cheung 2006), and virtual reference service in ten countries (Olszewski and Rumbaugh 2010). On a broader canvas studies of library cooperation (Caidi 2003), national union catalogues (Caidi 2004b) and national information infrastructures (Caidi 2004a) proved to be conceptually quite rich in that the author attempted to develop typologies and theoretical models to account for the attitudes and behaviour observed in library cooperation in a number of Central and Eastern European countries. Most of the studies in this category are limited to a particular type of library. Thus, they fall within the category of combinations of library type/library function studies. Before publishing his oft-cited Dimensions of comparative librarianship Danton (1963) had published a quite rigorous comparison of book selection policies in German and U.S. academic libraries. Another extensive book-length study (Verheul 2006) on digital preservation in national libraries, falls in the grey area between international surveys and true comparative studies. Dalbello (2008, 2009) applied theories of culture and organizational rationality, social-choice systems, and strategies of organizational behaviour to construct a theoretical framework for a study of digital library development in five European national libraries. Of more limited scope are studies such as that of Sapa (2005) of academic library web sites in the USA and Poland, Willingham, Carder and Milson-Martula (2006) of library instruction in the USA and Canada, and Walton, Burke and Oldroyd (2009) of second-tier managers in Australian and UK university libraries.

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International comparisons of infrastructural or contextual factors or issues are less numerous. They include studies of such matters as library governance (Carnovsky 1954b), library legislation (F. M. Gardner 1971; Lajeunesse and Sène 1984, 2004), freedom of expression (M. B. Barrett and Lynch 1998), LIS education (Lajeunesse 1979; Virkus and Harbo 2002; Reid-Smith 2006; Ocholla and Bothma 2007), scholarly communication (Xia 2007), library associations (Bryan 1976), and codes of ethics of these associations (Koehler 2006, 2015; Zaïane 2011).

2.5.3 The current state of comparative librarianship In the foregoing, many examples have been referred to. These are by no means the only examples. Others will be referred to in later chapters. Over a period of some ten years, I have followed up every reference that has come to my attention in the LIS literature, of which the title and abstract have suggested that the content may be of a comparative nature, for example by mentioning the names of two or more countries. In the majority of cases these items turn out not to be comparative. Many describe survey findings, or simply discuss some LIS phenomenon in two countries (e.g. Australia and New Zealand) or in a region (such as Southern Africa), without any comparison. In many of the remaining items, the comparative element is not well developed, in the sense that no sustained attempt is made not only to describe similarities and differences but also to analyse them and relate them to national, societal or cultural contexts (e.g. demographic, economic, social, cultural, or political). Thus, there is a large body of literature on library phenomena in more than one country, but a great deal of it is marginal, as far as comparison is concerned; even less of it makes any contribution to theory. Earlier I indicated that comparative librarianship is not limited to international comparisons but may also include cross-cultural and cross-societal comparisons. Although this is theoretically the case, and although there is a considerable literature on multicultural librarianship, no significant examples of systematic cross-cultural and cross-societal comparisons in LIS have to date come to my attention. There are two further deficiencies. Inspection of the literature shows that only very occasionally (mainly in theses and dissertations) do authors refer to the conceptual and methodological literature of the 1970s and 1980s that was discussed above, nor do they refer to any other such literature. Comparative studies appear to be undertaken without reference to earlier comparative literature. Authors seldom cite one another or any other comparative studies in LIS. Already in 1993 Bliss (1993a, 94), writing without distinguishing between international and comparative librarianship, remarked, “Ignorant of the efforts of

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either predecessors or colleagues, individuals are proceeding without an adequate history or contemporary context” (Bliss, 1993b, p. 94). Much of this literature is also largely atheoretical in that most studies are conducted in a theoretical vacuum. Although in Asheim (1966) and Benge (1970) we already find quite exhaustive lists of economic, cultural, social and other factors that are put forward as influencing library development, and while R.V. Williams (1981) suggested theories of public library development that might usefully be applied in international comparative studies, few studies make use of theory from LIS or other subject fields to develop conceptual frameworks, hypotheses or research designs, or to interpret results (Lor 2014). Writing about the development of community libraries and the need for rigorous comparative studies, Ignatow (2009, 424) found current library scholarship inadequate and observed that there has been little use of sophisticated social theory or social science methods. In contrast with comparative education, comparative librarianship lacks a scholarly infrastructure of institutions, associations and journals. The only serial publication with a title referring to comparative librarianship was the newsletter of the ICLG/ILIG. As mentioned earlier, it was renamed in 2002, when the word ‘comparative’ was dropped from its title. Although there are various LIS journals which publish articles in comparative librarianship, there is currently none specializing in the field. The deficiencies pointed out here apply a fortiori to international librarianship. At least three possible explanations for this failure to develop a sound disciplinary core present themselves. First, librarianship, library history and related library-related courses generally have lost ground in library or LIS schools as the emphasis has shifted to information science and related offerings (Kajberg 2009, 2). Second, in the USA the generous federal funding for language and area studies and for technical assistance in Third World countries was drastically reduced during the Vietnam War (Steiner-Khamsi 2006, 30). It is likely that this also impacted funding for international and comparative librarianship. Third, as has happened in other social science disciplines, the advent of globalization has cast doubt on the validity of the more conventional approaches to international and comparative studies (Katzenstein 2001, 790). The latter point is addressed in Section 2.10 below.

2.6 Definition and scope of international librarianship International librarianship and comparative librarianship first appeared under their respective names in the 1950s and their literatures continued to overlap during the 1960s through the 1980s, during which time much energy was

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devoted to defining each and attempting to distinguish between them. Clearer definitions were developed during the mid-1970s by J. S. Parker (1974) and Danton (1973) respectively. However, some confusion persisted until the early 1990s, by which time interest in the field had declined. In practice the two areas are often grouped together as “international and comparative librarianship,” “international-comparative librarianship” (M H Sable and Deya 1970), or “international and comparative library science.” Nevertheless, for our purposes it is desirable to distinguish between the two areas. In this section the focus is on international librarianship. Comparative librarianship is dealt with in Section 2.7. The origins and early definitions of international librarianship have been articulated by authors referred to in Section 2.4. Other contributions and attempts at clarification were by Havard-Williams (1972a), Vickery and Brown (1977), Keresztesi (1981), Sami (2008), and Y.Q. Liu (2008b). Having studied these I find that the definition of Parker (1974, 221), which has been widely cited, remains a good point of departure: International librarianship consists of activities carried out among or between governmental or non-governmental institutions, organizations, groups or individuals of two or more nations, to promote, establish, develop, maintain and evaluate library, documentation and allied services, and librarianship and the library profession generally, in any part of the world.

This definition deserves closer scrutiny. In the following paragraphs, I also use the definition as a framework for delimiting the scope of this book. As the term ‘librarianship’ indicates, international librarianship is concerned with libraries. In this book the term ‘libraries’ is interpreted broadly to include related information service agencies such as documentation centres, community media centres, community information centres, telecentres, bibliographic and resource sharing networks, consortia and utilities. Although the convergence of libraries, archives and museums is of interest internationally, galleries, archives and museums fall outside the scope of this book. Thus, the scope corresponds roughly to what is usually understood by ‘library and information services’ (LIS). When this acronym is used here, it will generally refer to ‘library and information services’ except where the context implies ‘library and information science.’18 International librarianship is a field of activity, rather than a scientific discipline. The term ‘librarianship’ fell into disfavour a generation or more ago and

18 For further discussion of the library concept and what is understood by LIS, see Sections 3.3 and 3.4.

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was widely replaced with ‘library science.’ Today, however, we seem to be a bit embarrassed by the presumption the phrase embodies. Is library science really a science? In what used to be called ‘library schools’ there has been a gradual migration to ‘library and information science’ or ‘library and information studies.’ Information science is more quantitative and looks more like a ‘science’ as it is understood in the English-speaking world.19 This leaves ‘librarianship,’ freed from scientific pretensions, to denote the activities in which librarians (and by extension information workers in the related information agencies mentioned above) are engaged. That is how the term is used in this book. This does not, of course, prevent the international activities in LIS from being studied systematically and with scientific detachment and rigour. The activities are conducted in a relationship “among or between” parties at various levels, ranging from individuals to governments. Such activities, among others, include resource sharing, standardization, development aid, political and cultural influences, relations between and/or among national associations, and exchanges of staff, students and scholars. These parties are located in two or more nations (countries). This stipulation raises the question of what is meant by “international.” Strictly speaking, relations between two countries are referred to as “bilateral” and purists would restrict the use of the term “international” to refer to relations between more than two countries (Keresztesi 1981, 438),20 but in international librarianship this distinction is seldom observed. That point disposed of, is ‘international’ the most appropriate word? Other candidates are: – ‘World’ as in ‘world librarianship.’ The title of the monograph by Krzys and Litton (1983) is World librarianship: a comparative study, the title being explained as referring to “world study in librarianship’ and to ‘the worldwide aspects of our profession’ (p.ix). The use of the term ‘world’ suggests phenomena that are worldwide in nature or worldwide studies of such phenomena. This does not adequately describe our field, which may include studies of LIS in just two countries. – ‘Global’ as in ‘global librarianship.’ ‘Global’ occurs in the titles of several recent books in the field, notably in those by McCook, Ford and Lippincott (1998),

19 In continental Europe, this would not be a problem. Library science, theology or art history can all be science (France) or Wissenschaft (Germany). 20 Keresztesi’s (1981, 439) point of view was that “the proper subject matter for the history of international librarianship is the multilateral, supranational organizations and institutions that were brought into existence through some joint effort with a view to promoting and developing library and information services, as well as the profession as a whole, all over the world.” This is a quite narrow approach, which has not been generally accepted.

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Libraries: global reach – local touch, Kesselman and Weintraub (2004), Global librarianship, and Abdullahi (2009), Global library and information science. Stueart (2007) included both words (‘global’ and ‘international’) in the title of his book, International librarianship: a basic guide to global knowledge access. Currently the term ‘global,’ with its derivatives, ‘globalization’ and ‘glocal,’ is in common use and thus its use in this context is not surprising. However, like the term ‘world’ it does connote phenomena that are worldwide in nature and ‘span the globe.’ This is true of some themes in international librarianship, but not in all. The work of IFLA or UNESCO in promoting libraries is global, but library cooperation between the Nordic countries is not. The word ‘global’ also implies globalization and global phenomena. As LIS progresses to the sixth, global horizon (cf. Section 1.9), this needs to be rethought. Generally, international LIS activities today take place against a background of globalization. More on this in Section 2.10 below. – ‘Foreign’ as in ‘foreign librarianship.’ A great deal of the literature in our field can correctly be designated as ‘foreign librarianship,’ but this point is dealt with separately below. In American English, the word ‘international‘ is commonly used (as in ‘international student’ or ‘international visitors’) where British English would use ‘foreign’ (as in ‘foreign student’ or ‘foreign visitors’), or ‘overseas.’ This gives rise to much conceptual confusion. American authors frequently use the term ‘international librarianship’ when they mean librarianship in countries other than the United States. In terms of Parker’s definition, a report on librarianship or information work in a country other than the writer’s own is not ipso facto considered to be a contribution to international librarianship. To qualify as a contribution to international librarianship a book or article should not merely describe conditions in another country. An article about school libraries in Lombardy, Italy, is no more international than an article about school libraries in Wisconsin, regardless of where the author is based and of the country of publication. Thus, the nationality of the author, the author’s place of residence or the place of publication should not be the criteria for categorizing a contribution as international librarianship. Parker’s definition implies that there should be an international dimension in terms of relationships between countries. Such relationships could take the form of joint activities, influences of one country on another, flows of information between countries, participation in international organizations, partnerships, receiving library development aid from international or foreign organizations, and the like. In practice this requirement is often ignored. The bulk of the literature is about foreign librarianship: librarianship in other countries – countries other

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than that of the author. There is some merit in the argument that an author from one country may bring fresh insights to library conditions in another country and therefore the work qualifies to be regarded as a contribution to international librarianship. The book of the Norwegian librarian, Wilhelm Munthe (1939), on American librarianship is often cited as such an example. To the extent that such a study places librarianship in a broader context, taking into account social, cultural, economic and other factors, it may provide much insight as well as raw material for international and comparative studies, but it is not a contribution to international librarianship in the sense that that term is used in this book. As suggested above, this book also deals with the activities of international organizations that are concerned with librarianship and information work. Intergovernmental organizations such as the World Intellectual Property Organization (WIPO) and international non-governmental organizations such as IFLA can be said to fall within Parker’s definition because they conduct multilateral international relations. The library and information units that serve such organizations are also often dealt with as part of international librarianship. This is stretching Parker’s definition somewhat, but it can be justified on the basis that such units commonly provide bibliographic and other services world-wide. For the purposes of this book they are considered to fall within the scope of international librarianship. In summary, for the purposes of this book I paraphrase and expand Parker’s definition to define international librarianship as encompassing: – activities, processes, influences, interactions and other phenomena – relating to libraries and the allied information agencies commonly referred to as ‘information services’ – at any level of aggregation, including governmental or non-governmental institutions, organizations, groups or individuals – in a relationship – involving two or more countries, – where ‘two or more countries’ may refer to international organizations active in the field of library and information services or the libraries of international organizations. This translates into a number of themes which can be outlined as follows: – International influences on librarianship and information work: Transatlantic, Anglo-American, Continental European, Soviet, European Union, etc. – International diffusion of LIS theories and techniques: technology transfer; adoption of innovations, policy borrowing – Colonial and post-colonial development: LIS development assumptions and concepts; development aid to libraries in the emerging and developing

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countries; book donations; international programmes; literacy, reading and book development policies, national information policies; westernizing and globalizing influences Responses to colonization and development: critiques of Western librarianship; LIS implications of alternatives to Western science, indigenous knowledge; orality and literacy; alternatives to libraries International information relations: the international political economics of information; scholarly communication; language issues; intellectual property issues, North-South, South-North and South-South power relations and information flows; barriers; digital divide; freedom of access to information and freedom of expression; ethical considerations International cooperation in library and information services: international resource sharing, bibliographic control, preservation, advocacy; standardization Responses to threats, disasters and conflict affecting libraries; traffic in looted property; restitution & repatriation Internationalization of LIS education Agencies involved in the above aspects of international library and information work; governmental aid and cultural diplomacy agencies; intergovernmental organizations, international nongovernmental organizations and civil society; charities and philanthropic foundations; corporations International librarianship in professional practice: professional development; careers in international LIS, library-to-library relationships, international work of national and local library associations and institutions

In this book, most of these are addressed.

2.7 Definition and scope of comparative librarianship 2.7.1 The definition of Danton (1973) During the 1960s and 1970s the origins and definitions of comparative librarianship were discussed by various writers, including C.M. White (1966), Foskett (1965b, 1976a, 1977), Shores (1966b, 1970), Simsova & MacKee (1970, 1975), Collings (1971), J.F. Harvey (1973) and Jayakuru (1974), with later contributions by C. Wang (1985) and P.S.G. Kumar (1987).21 Much of the discussion has been

21 In this section I draw heavily on the entry ‘International and Comparative Librarianship’ which I contributed to the Encyclopedia of library and information Science, 3rd ed. (Lor 2010).

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inconclusive and repetitive. Having systematically and critically reviewed all prior attempts to define comparative librarianship and delimit its scope, Danton (1973, 1977) in effect refined the definition by Collings (1971, 492) to arrive at what remains the most authoritative and appropriate definition of the field to date. He stated that comparative librarianship is an area of scholarly investigation and research that may be defined as the analysis of libraries, library systems, some aspect of librarianship, or library problems in two or more national, cultural or societal environments, in terms of socio-political, economic, cultural, ideological, and22 historical contexts. This analysis is for the purpose of understanding the underlying similarities and differences and for determining explanations of the differences, with the ultimate aim of trying to arrive at valid generalizations and principles (Danton 1973, 52).

Danton’s definition emphasizes four essential aspects of comparative librarianship. – Comparison entails an analysis of library phenomena across “national, cultural or societal environments” – The phenomena are considered not in isolation but in “socio-political, economic, cultural, ideological, and historical contexts” – It focuses on “underlying similarities and differences.” – Its ultimate aim is the construction of theory. These can be used as criteria to determine what constitutes comparative librarianship. First, library phenomena are compared across nations (or countries), cultures or societies. As in other comparative fields, this is a contested issue. I deal with it in more detail below. Second, the comparison is conducted in a broad context. This is important because the context can provide explanations for similarities and differences. For example, the websites of two university libraries can be compared using a checklist of technical criteria, but the comparison only becomes of interest as a contribution to comparative librarianship if culturally, politically and economically determined factors such as the size and scope of the universities, their governance (state-controlled or autonomous), their funding and resources, and the accepted teaching and learning philosophy, are taken into account.

22 In a later essay, Danton (1977, 4) responded to comments received on this by replacing ‘and’ with ‘and/or.’ This does not seem to make much of a difference but was presumably done in deference to those comparativists who eschew the historical dimension, preferring a purely synchronic approach to comparison. This will be touched on in Chapter 5.

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Third, there has to be real comparison, which goes beyond mere descriptions or juxtaposition of data. Comparison implies the analysis of the similarities and differences in the sets of data collected, in relation to the contextual factors already referred to. This is discussed in detail in Chapter 5. Fourth, Danton states that an attempt should be made to explain the observed similarities and differences with a view to building theory, as implied by “trying to arrive at valid generalizations and principles.” This implies that comparative librarianship should be a discipline which employs a rigorous scientific methodology, on the pattern of other, older comparative disciplines such as comparative education. (This is looked at critically in Chapter 4.)

2.7.2 National, cultural or societal environments Danton’s criterion that comparative librarianship requires analysis of library phenomena in “two or more national, cultural or societal environments” is critical to delimiting what is to be included. His insistence on a “cross-national, cross-societal or cross-cultural element” has not been accepted by all authors in the field. In most cases this implies cross-national (or international) comparison, but the comparison can be conducted within a single country, provided that the societal, cultural or ideological differences are such that they can give rise to differences in the nature of the library as an institution. Hence a comparison of public libraries in the German, French and Italian speaking cantons of Switzerland can legitimately be classified as comparative librarianship. Lajeunesse (1993, 7) suggested that within Canada, a comparison of libraries in the francophone province of Quebec and the anglophone province of Ontario would fall within the scope of comparative librarianship. While Danton, basing his position on the example of disciplines such as comparative education, comparative law and comparative sociology, insisted on the cross-societal, cross-cultural or cross-country element, other writers such as Foskett (1976b), Simsova & MacKee (1970, 1975) and Sami (2008) opened the door to comparisons that are not cross-societal or cross-cultural in scope. In a contribution to the same volume as Danton’s (1977) essay, Foskett (1977, 17) used the example of comparative studies in botany and zoology to argue that no international element is necessary in comparative librarianship, and that “one might study the working of a special library and a public library in the same town, or the effectiveness of a dictionary catalogue and a classified catalogue in the same library.” This argument is questionable, since there are

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significant differences between phenomena in the biological and social sciences; the biological sciences do not deal with social phenomena taking place in socio-cultural groups. P.S.G Kumar (1987, 5) suggested that comparative librarianship “has two aspects, namely: (a) comparison of library situations; and (b) comparison of librarianship and library development in general in different geographical situations.” He thought that studies of the former kind would be useful in bringing about “qualitative change in library service.” In current parlance, this would be referred to as benchmarking. Studies of the latter kind (which would be in line with Danton’s concept of comparative librarianship) would be helpful in bringing about “quantitative change in library service,” where his concern is with stages and factors in library development. I too (Lor 2008a) have argued that not all comparative librarianship needs be international, cross-societal or cross-cultural. However, I have since modified my position. Comparisons of one sort or another are inherent in all empirical research. Writing about international social research, Øyen (1990a; cited in Kennett and Yeates 2001, 41) asserted that “no social phenomena can be isolated and studied without comparing them to other social phenomena.” If Foskett’s argument is followed the greater part of research in library science could be labelled as “comparative librarianship” and the scope of the field would in effect expand to include the scholarly study of most of librarianship. Vitiello (1996a, 18–19) has pointed out that Foskett’s approach was based on Bertalanffy’s general systems theory, and that it has the merit of encouraging a thorough study and description of both the wider context (‘super-systems’) in which libraries are embedded, and the subsystems within libraries. Description is essential for proper interpretation of differences and similarities. One should not start comparing before a thorough description has been undertaken. In addition, Vitiello argued that focusing on systems will add to the practical value of comparative librarianship. In the literature of other comparative disciplines such as comparative education and comparative social studies, this issue has not been settled, more recent texts tending again to a more liberal interpretation which accommodates a greater range of studies (cf. Hantrais 2009, 3–5). However, Hantrais (2009, 2) has stated that “social scientists in general agree that international comparative studies require individuals or teams to compare specific issues or phenomena in two or more countries, societies or cultures.” Perhaps the key word in her comment is “international,” which is implied but generally omitted from such labels as ‘comparative politics,’ ‘comparative education,’ ‘comparative social policy,’ and ‘comparative librarianship.’

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2.7.3 Cross-, inter-, trans-. . .cultural, national, societal At this point it is necessary to pause briefly to consider the range of terms used in comparative studies. In the social science literature, the prefixes ‘cross,’ ‘inter,’ and ‘trans’ precede the adjectives ‘cultural,’ ‘national’ and ‘societal’ in various combinations to denote research approaches and emphases that differ among languages, disciplines, and schools of thought within disciplines (Hantrais 2009, 2–5). Comparisons between (or across) countries are often referred to as ‘cross-national,’ but the prefix ‘cross’ is avoided by some scholars who see it as implying that the settings compared are functionally equivalent, an unwarranted assumption if one were to compare the British and French public library systems, for example. The term ‘cross-national’ also tends to be associated with quantitative studies, such as statistical comparisons. In contrast with the prefix ‘cross,’ ‘inter’ implies that context is taken into account. In continental Europe, there is no direct equivalent for ‘cross,’ and social scientists use ‘inter,’ for example in ‘intercultural.’ The prefix ‘trans’ is less frequently used and often refers to phenomena that transcend nations, cultures or societies, placing them within larger systems, as in ‘transnational’ governance. This is touched on in Section 2.9. The three adjectives, and the nouns from which they are derived, also convey various nuances. ‘Culture’ is a loaded term; it is discussed in Chapter 3. I note that in English the word ‘country,’ unlike ‘nation,’ ‘culture’ and ‘society’ does not have an adjective derived from it, so that the word ‘national’ is used of countries as well as of nations. (The adjective ‘cross-country’ is seldom used in our context as it has different connotations.) The term ‘nation‘ is problematic, as it can mean ‘country’ (a defined territory), ‘state’ (an autonomous political entity) ‘nation state‘ (a state inhabited mainly by a people with a shared culture or ethnicity) or ‘people’ (who share the same culture or ethnicity but lack their own territory). British and American usage also differs somewhat. For example, Americans refer to “developing nations” when the British equivalent would be ‘developing countries.’ In this book the adjective ‘national’ is used in respect of countries. Hantrais (2009, 4–5) uses the term ‘international comparative research’ to refer to “comparisons across national, societal and cultural boundaries conducted within international settings, most often by international teams.” If we were to apply this to comparative librarianship, we would not have much literature to review. Omitting the limitations implied by international settings and teams, we are left with “comparisons across national, societal and cultural boundaries.” It is in this sense that I use the term ‘comparative librarianship,’ the adjective ‘international’ being understood.

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2.7.4 Working definition In summary, for the purposes of this book I paraphrase and expand Danton’s definition to define comparative librarianship as follows: Comparative librarianship is: – an area of scholarly study – that analyses – and explicitly compares – LIS phenomena – in two or more countries – or significantly different cultural or societal environments – in terms of contextual factors (social, economic, political, cultural, etc.) – in order to distinguish and understand underlying similarities and differences – and arrive at valid understanding and generalizations

2.8 Distinction between international and comparative librarianship As Danton (1977) pointed out, a considerable literature about the definitions of international and comparative librarianship arose more or less at the same time that Parker’s definition of international librarianship and Danton’s own (1973) definition of comparative librarianship appeared. The result is a literature in which there is much discussion but no clear consensus on the distinction between international librarianship and comparative librarianship. Attempts to distinguish between the two have generally taken one or more of the following approaches: – Hierarchical: comparative librarianship is a species of the genus international librarianship or vice versa (Y. Q. Liu 2008b). For example, J.F. Harvey (1973, 296–97) subsumed “comparative library science” (along with “foreign library science” and “international institutional library science” under “international library science.” Krzys and Litton (1983) subsumed both “international library science” and “comparative library science” under “world library science.” Kawatra (1987, viii) appeared to think that comparative librarianship includes international librarianship. Against this it has to be pointed out that attempts to impose such hierarchical relationships are problematic if the concepts belong to different categories: “international” denotes a relationship, whereas “comparative” denotes a research strategy.

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– Study – Activity: comparative librarianship is the scientific study, while international librarianship is the field of professional activity, often conceived in a rather soft and idealistic manner as aiming to promote international understanding and cooperation (Kumar 1987). A more rigorous distinction was made by Miles Jackson: International librarianship is limited strictly to those activities that involve librarianship and all its aspects across national boundaries. It would thereby exclude comparative analysis, but include such activities as exchange of librarians, books, ideas, and the study of the library systems in different countries. . ..comparative librarianship should lean on the tradition of comparative studies found in other fields such as political, government and legal studies (M. M. Jackson 1981, xxxi).

Against this it should be pointed out that the “activities” included under international librarianship can and should also be subjected to systematic and rigorous investigation. – Subject – Methodology: international librarianship is the subject field while comparative librarianship is its methodology. According to Collings (1971, 493) comparative librarianship is a “scholarly method of investigation.” Keresztesi (1981, 437) stated that “comparative librarianship is essentially a method of enquiry.” Against this it has to be pointed out that more than one methodology can be used to study international librarianship. Parker (1974) described comparative librarianship as a tool, the most appropriate one, for international librarianship. However, it is not the only tool. It is difficult to make hard and fast distinctions, but for the purposes of this book my point of departure is that international librarianship primarily refers to activities in which librarians and information workers are engaged. These activities and related phenomena can be subjected to scholarly investigation, but international librarianship is not per se a scholarly or scientific discipline. Comparative librarianship on the other hand is a scholarly field in which specific – comparative – methods are applied for the primary purpose of extending our understanding of library phenomena of all kinds. International librarianship provides raw material for comparative librarianship. Comparative librarianship yields theoretical insights that inter alia help provide a sounder basis for international activities. In practice the terms “international librarianship” and “comparative librarianship” are often used interchangeably or in combination, as in “international and comparative librarianship”. This combination of subject matter has also been taught under this name in a number of U.S. library schools. It is my view that, although their literatures overlap, the two can be distinguished conceptually. However, we should not get bogged down in sterile debate. Concluding a

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review of the discussion up until 1977, Danton (1977, 13) challenged the profession to stop writing about comparative librarianship and to start doing it. In this spirit, no new definitions are offered here. Instead, the definitions of international librarianship by Parker and of comparative librarianship by Danton have been cited and expanded above for explanatory purposes. In any case, discussions of definitional issues have become less frequent since the 1970s. This discussion underlines the need for a further conceptual exploration of our field of study, which is developed in Chapter 3.

2.9 The nation state, methodological nationalism and globalization The advance of globalization, as discussed in Section 1.9, has been accompanied by rethinking of the central place that the nation state has occupied in research in the social sciences since the nineteenth century. Walby (2003) fundamentally questioned the notion of the nation state, pointing out that there are hardly any examples of true nation states to be found, and arguing that therefore globalization cannot be seen as undermining the nation state. Writing about the comparative social sciences, Schriewer (2006, 319–22) pointed out that the nation state has not always been regarded as the necessary and immutable unit of analysis in comparative research. During the nineteenth century the development of the various social sciences disciplines as well as history and linguistics happened to coincide with the “full realization. . . of the modern nation state.” It then came to be accepted that the nation state was the normal setting for comparative studies in a world which “seemed to consist of clearly distinguishable entities defined as nation states” (2006, 321). It was assumed that these entities were distinct and internally coherent. As a result, many processes of interaction between cultures (mission, colonization, migration, conquest etc.) were overlooked. Steiner-Khamsi (2010, 327) has also stated that in the context of globalization it is “problematic to exclusively use nations as the units of analysis.” Writing about the borrowing of educational policies among nations, Zymek and Zymek (2004, 27–29) cast doubt on the existence of “national education systems” during the formation of nation states. Although there were traditions and patterns, one should not assume that there were national systems. They also question the validity of the notion of “national character,” which was frequently cited in debates about educational systems. This rethinking is not limited to comparative studies. A development theorist, Nederveen Pieterse (2010, 1), has argued that, while the nation has been seen in the past as the standard unit of development, it is being overtaken by

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globalization and regionalization. And as international institutions and market forces become more influential, the role of the state as the agent of development is being eroded. Furthermore: The boundaries between what is internal and external are by no means fixed. Development discourse and its implicit assumptions of the ‘country,’ ‘society,’ ‘economy’ as the developing unit paper over this issue and assume much greater national cohesiveness and state control than is realistic (Nederveen Pieterse 2010, 46).

As the focus on the nation state in the social sciences, education and related fields was called into question, we saw the term ‘international’ being problematized and the appearance of alternative terms such as ‘transnational,’ ‘crossnational’ and ‘supranational.’ Generally, ‘transnational‘ is used for processes (such as migration) that cross national borders; and ‘cross-national‘ for comparisons of countries, as indicated earlier. The term ‘supranational‘ is used to denote multinational organizations with powers over member states, as in the European Union. The term ‘‘multinational’ has multiple meanings. It refers to entities involving multiple nations, such as the multinational peace-keeping forces that are sent to trouble spots. It is also used in the context of ‘multinational corporations‘ (MNCs). MNCs are generally based in a country of origin and have subsidiaries in multiple countries. True global companies are referred to as ‘transnational corporations.’23 A. Wimmer and Schiller (2002, 302–8) have used the label “methodological nationalism” to refer to “the assumption that the nation/state/society is the natural social and political form of the modern world.” They identified three forms of methodological nationalism: (1) Ignorance: The nation state is taken for granted to the extent that it becomes an invisible background to social science research. The result is an inability to understand the paradoxical co-existence of globalization and nationalism. (2) Naturalization: The second form of methodological nationalism “is taking national discourses, agendas, loyalties and histories for granted, without problematizing them or making them an object of analysis in its own right.” An example is the barely questioned assumption that in newly independent states “nation building” is an obvious corollary of modernization (2002, 304). (3) “Territorial limitation” or “territorialization”: This refers to an obsession in the social sciences with “describing processes within nation-state boundaries as contrasted with those outside.” As a result, social scientists have

23 Wikipedia, “Multinational corporations,” http://en.wikipedia.org/wiki/Multinational_cor poration#Transnational_corporations, accessed 2018-04-21

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“lost sight of the connections between such nationally defined territories” (2002, 307). Various processes and phenomena such as migration, diasporas and long-distance nationalism24 are overlooked as a result of thinking within the boxes of nation states. While the place of the nation state in social science research has been challenged, some caution is also called for in embracing globalization. Andy Green (1997, 13), cited in Tikly (1999), has warned that in studies of postcolonial education an over-emphasis on globalization can lead to neglect or marginalization of many issues relating to race, culture, diaspora and identity. Schriewer (2000, 310) warned that the subject matter of comparative education is unravelling as the notion of the division of the world into separate, distinct entities is abandoned in favour of “historical reconstructions of wide-reaching processes of cultural diffusion or by global analyses of transnational dependence.” This has far-reaching methodological implications. There is a danger that globalization simply becomes a smokescreen for shoddy comparative research. Another danger is that globalization may embody an unquestioned assumption that society – or education systems, or libraries – must evolve along predetermined lines to become increasingly homogenized and westernized. A probably unintended example is found in a comparison of academic libraries in Ireland and Mexico, where the authors stated that they hoped to profile characteristics of change, which the new technologies and philosophies of service bring to libraries, which have developed independently in different cultures and societies. It aims to place these changes and their implications in the context of what is now emerging as a common definition of the profession worldwide. This commonality defines the characteristics of a global profession i.e. one of common thinking, common technologies and common patterns of service delivery (J. P. McCarthy and Tarango Ortiz 2010, 506).

This may be well meant, but is symptomatic of what D.G. Smith (2003, 39) calls “Globalization One,” a deterministic neoliberal vision that assumes a single universal logic. At a more pragmatic level, Øyen (1990b, 2) has pointed out that, in spite of theoretical objections, there are compelling practical reasons for the continued

24 Schiller (2005, 570) has defined long-distance nationalism as “a set of identity claims and practices that connect people living in various geographical locations to a specific territory that they see as their ancestral home. Actions taken by long-distance nationalists on behalf of this reputed ancestral home may include voting, demonstrating, lobbying, contributing money, creating works of art, fighting, killing and dying.”

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use of states as the basis for comparative research: the world is divided up into these administrative units, and much of the infrastructure (such as statistical agencies) needed for comparative research is based in them, as are many of the funding organizations.

2.10 Towards global library and information studies If the international horizon and internationalism gave rise to international and comparative librarianship, can we assume that the global horizon and globalization will give rise to ‘global librarianship‘? This depends on what we are talking about: the practical professional activity or its theoretical analysis. As indicated in Section 1.9, the practice of librarianship and information work is already widely affected by globalization. The question that remains is whether a corresponding development is taking place in the scholarly study of global library and information work – are we developing a field that we might name ‘global library and information studies’ – or, if we need to de-emphasize the L-word, ‘global information studies’? I suspect that the main reason for the displacement of ‘international’ in ‘international librarianship’ by ‘global’ or in some cases ‘world,’ is that globalization is fashionable. It is simply de rigueur to use the word ‘global’ or its derivations in current writing in our field. This does not necessarily signify a real change. Although some texts and many articles and chapters claim to concern themselves with global LIS or global aspects of LIS, this often simply means contemporary or modern LIS, in which we are all connected in ICT-enabled networks. The emphasis is often on the impact of information technology. It seems that globalization is seen as more or less synonymous with the ‘information society,’ ‘knowledge society’ or ‘knowledge economy.’ Rudasill (2009, 513) has pointed to semantic differences between international studies and global studies. International studies are multidisciplinary, bringing scholarship, teaching and methodology from multiple disciplines, such as political science, economics and history, to bear on a particular region. Global studies tend to be interdisciplinary, looking at the effects of political, economic, historic, and environmental factors on societies and how these societies interact with one another. Such studies provide a “macro-view” of the world. Following the definitions formulated by Stember (1991, n.p.), in a multidisciplinary approach, people from different disciplines work together on a problem or issue, each contributing their disciplinary perspective. An interdisciplinary approach requires integration of the contributions of several disciplines to a problem or issue. This implies a more thorough-going synthesis of approaches.

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Thus, at a first level, ‘global studies in LIS’ implies studies of global phenomena in LIS and of the effects of globalization in our field, examples of which were presented in Section 1.9. If we are to develop a field of global librarianship, however designated, at least a shift in emphasis is needed, if not entirely new subject matter. But at a second, higher, level, it means bringing multidisciplinary perspectives to bear on global phenomena and globalization effects in LIS. This calls for a greater, critical awareness of the many dimensions of globalization, beyond our concern with the technological dimension. There is no lack of critical theoretical literature in various disciplines on which we can draw, as for example in an article by Witt (2014b). From my own reading I would add theoretical work in development studies (e.g. G. Rist 1997; Haynes 2008; Nederveen Pieterse 2010) and comparative education (e.g. R. M. Thomas and Postlethwaite 1984b; Steiner-Khamsi 2004; David Phillips and Schweisfurth 2008; Schriewer 2012). In development studies, we can gain insights from theories of modernization, dependency and world systems which could be put to work in studies of library development in developing counties. In comparative education, Schriewer, writing about comparative social science more generally, has suggested that more emphasis be placed on trans-national, trans-cultural or trans-societal relations, transfers and interconnections. . . as an alternative to the social scientific mainstream of comparative enquiry traditionally conceived as cross-national, cross-cultural or cross-societal analysis (Schriewer 2006, 323)

He specifically pointed to studies focussing on “trans-societal structures“ such as cross-border relations, migration movements, exchange and transfer processes among nation states, regional processes at the levels above and below nation states, ‘world cities,’ and transnational networks and organizations (Schriewer 2006, 323–24).25 If we apply this to LIS, interesting possibilities are opened up. For example, one could look at national libraries and at their treatment of exile literature as well as their responses to diasporas and long-distance nationalism, in a transnational perspective. Other transnational phenomena worth exploring in relation to libraries and information are cultural and linguistic diffusion, dominance and imperialism, the access to knowledge (A2K) movement, intellectual property issues, civil society movements, and also regional and supranational phenomena, such as various aspects of

25 An interesting example of subnational entities acting globally is found in the USA, where city and state governments have continued and extended programmes to combat climate change and meet international emissions targets in spite of President Trump’s decision to terminate the USA’s participation in the 2015 Paris Agreement on climate change mitigation (Milman 2018).

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European integration.26 From these examples, it is clear that naive approaches based solely on findings and theory from LIS will not suffice. It will be necessary to seek collaborators in other disciplines. For example, in a study of the role of international non-governmental organizations such as IFLA and EBLIDA in advocacy, perspectives from such fields as international politics, political economy and intellectual property law will be called for. The shift to transnational processes does raise questions about the future of comparative library and information studies. In comparative education the early, rather mechanistic country comparisons on which we modelled comparative librarianship and which I myself put forward as the norm for the field (Lor 2008a, 2010) have long passed, making way for a wider range of studies such as those suggested above by Schriewer, with much emphasis on policy borrowing. We will continue to employ comparative strategies, but there then seems to be little point in insisting on comparative librarianship as a separate discipline.

2.11 Conclusion This chapter has dealt with the development and status of international and comparative librarianship as fields of scholarship, as reflected in their respective literatures. In Figure 2.1 an attempt is made to map – inductively, on the basis of the literature – the relationships between the various manifestations of international and comparative librarianship that have been discussed above. As suggested in this figure, these are not of equal magnitude. International librarianship is primarily a field or arena of activity. Such activity can be subjected to scholarly study, but the vast proportion of its literature is descriptive, operational, reportorial, or anecdotal. A great deal of it can more accurately be described as ‘foreign librarianship.’ It has little scholarly value, except as raw material for a smaller core of scholarly studies. These studies are suggested by the smaller circle enclosed within international librarianship. Similarly, the much smaller literature of comparative librarianship consists of a small core of scholarly studies (also suggested by a smaller circle) and a larger periphery of incidental, institutional and survey studies in which some comparison occurs, but which are not primarily comparative, and which overlap with similar studies in international librarianship. The two central cores are enclosed by dotted lines to indicate that their boundaries are not rigid, but a matter of judgement.

26 At a more mundane level, it would be interesting to examine the impact, if any, of twin towns and sister city arrangements on LIS in the relevant cities.

2.11 Conclusion

International Librarianship Foreign librarianship Descriptive & operational literature Single-country studies International & regional surveys

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Institutional comparisons Incidental comparisons Comparative surveys Comparative librarianship

Fig. 2.1: Manifestations of international and comparative librarianship.

This book concentrates on the central cores of the two fields as manifested in the literature. I leave here the old questions about the formal relationships and boundaries between international and comparative librarianship as fields or subfields.27 In fact, they constitute awkwardly conjoined twin fields of study. In the chapters that follow I refer to international and comparative librarianship in the singular as a “field” of study and research, except when distinctions are made between the two, when they will be referred to in the plural. The relationships between them will shift in the future. The rest of this book is devoted to more substantive topics. In preparation for this, Chapter 3 presents an exploration dealing with a number of basic concepts and theoretical issues that are helpful in the study of international and comparative librarianship.

27 Since it is doubtful that librarianship or library and information science meet the requirements for a scientific discipline (cf. Gauchi Risso 2016), it is presumptuous to refer to international or comparative librarianship as “subdisciplines.” In terms of the “disciplinary morphology” proposed by Hérubel (2012) they do not fit into the typology of disciplines, subdisciplines, interdisciplines of multidisciplines. It is simplest to refer to them as fields.

3 Conceptual exploration Que la Bibliothèque soit un objet scientifique, voilà une assertion aujourd’hui largement acceptée. Comme objet de l’histoire, elle est au confluent de l’histoire politique, de l’histoire sociale et de l’histoire culturelle. Car elle est à la fois une institution (un établissement public), un objet social (dédié au partage du savoir et de la culture), et un artefact (construit sur un héritage, un projet et un environnement spécifiques)1 (Bertrand 2010, 9).

Outline 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10

Introduction 100 The need for theory 101 The library concept 109 A universal concept? 118 The conduit metaphor: transmission as a conceptual framework Systems frameworks 128 Ecosystems and the LIS environment 141 Culture 150 Libraries and culture 156 Conclusion 159

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3.1 Introduction Libraries exist in contemporary and historical contexts. To understand LIS relations across national boundaries and in global settings, and to compare LIS across national, cultural and societal boundaries, we have to take these contexts into account. Many understandings of LIS are possible. My aim in this chapter is not to develop a general conceptual framework for international and comparative librarianship. This would require a general theory of LIS, which is beyond both the scope of this book and the capacity of its author. Instead, I attempt here to tease out a few key concepts and explore some conceptual frameworks that may be useful for research in international and comparative

1 That the library should be an object of science, is an assertion that is widely accepted today. As an object of history, the library is at the confluence of political history, social history and cultural history. For the library is at the same time an institution (a public agency), a social object (dedicated to the sharing of knowledge and culture), and an artefact (constructed on the basis of a specific heritage, project and environment). [My translation] https://doi.org/10.1515/9783110267990-003

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librarianship. This chapter contains fewer citations than the first two. The scope is so vast that I cannot even begin to cite a representative segment of the literature.

3.2 The need for theory 3.2.1 Naive empiricism In Section 2.4, I asserted that much of the literature of international librarianship was descriptive and operational in nature, and that it was poorly conceptualized and failed to apply theory from LIS or other social sciences disciplines.2 In Section 2.5 I asserted that, although there were some notable exceptions, only a small proportion of the literature of comparative librarianship made any contribution to theory. The dominant paradigm of most of the literature can be characterized as “naive empiricism.” This refers to the belief, devastatingly critiqued by Popper (1961, 106), that in research the facts should speak for themselves, a belief which overlooks the role of concepts and theories in determining which data are to be collected and analysed (Carr 2000, 441). Use of the term “naive empiricism” is not intended to imply that empiricism is per se naive, although it has been used as a pejorative label in debates between empiricists and scientific realists (Boyd 2002). The term is widely used, with somewhat different meanings, in various disciplines, e.g. in the teaching of mathematics, where it refers to the most naive or basic of the four levels of proof that students are found to employ (E. J. Knuth and Elliott 1998). In counselling psychology “theory-driven” or “Galilean” science has been contrasted with Aristotelian science, which focuses on the observable characteristics of events (Strong 1991). Strong describes naive empiricism as “a loose collection of beliefs about science that conform closely to . . . Aristotelian science” (1991, 206) and which is characterized by an assumption that observation can be unbiased as well as by an over-emphasis on the gathering of facts, a fixation on research methods, and a reliance on external validity rather than theory development. Often the term is used, without explanation or definition, as a general term of disapproval, but here I use it essentially as described by Strong and by Anyon (1982). Applying this term to educational curriculum research, Anyon identified two kinds of naive empiricism:

2 In this section I make extensive use of an article published in Journal of documentation (Lor 2014).

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The first kind is the simple emphasis on collecting and processing data, and the building up of ad hoc generalizations that attempt to explain the data. These explanations are in terms of the data, or they are in terms of observed regularities between characteristics or variables. . . .This type of social science is somewhat circular, and such explanations are only, in the most naive way, explanatory. . . merely descriptive of the relationships that they discuss. The second type of naive empiricism emphasizes the construction of sophisticated hypothetical-deductive systems based on the regularities that have been observed. These hypothetical-deductive systems. . . are more complicated but . . . still descriptive and not explanatory (Anyon 1982, 34).

Anyon argued that data are not objective, since what one collects or counts depends on one’s conceptual scheme. Thus, the first kind of naive empiricism consists in collecting and manipulating data that one finds ‘out there’ without any awareness of the assumptions on which such research activities are based. The second kind of naive empiricism is concerned with reliance on “theoretical constructs or abstractions that are not embedded in a developed theoretical system” (p.35). Such theory does not constitute adequate explanations of social reality.3 In international and comparative librarianship too, we find evidence of both forms of naive empiricism. Often, data are being collected and patterns are observed without being framed theoretically (cf. McKechnie and Pettigrew 2002), or theories are constructed that are essentially circular, referring only to their own theoretical constructs and not connecting to socially explanatory theory. This is coupled with a widespread lack of awareness of the metatheoretical assumptions implicit in international comparisons, which in turn leads to methodological decisions being taken by default. The upshot is that the bodies of work comprising international and comparative librarianship lack connectedness and have so far failed to contribute as much to the theoretical basis of library and information science as they could have.

3 Whereas Anyon described two forms of naive empiricism, Bernstein (1976, 228) appears to have distinguished between “naive empiricism” and “more sophisticated forms of empiricism”: in the social sciences “. . .the case for a naturalistic understanding of the social sciences is based upon dubious interpretations of the natural sciences. These fluctuate between forms of naive empiricism that emphasize the collecting and processing of data – that is, building from the ground up – and more sophisticated forms of empiricism that emphasize the construction of deductive explanatory systems.” The latter form corresponds roughly to Anyon’s second kind of naive empiricism.

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3.2.2 Theory It is necessary to clarify here what is meant by ‘theory’. In a discussion of the “building blocks of science,” Mouton (1996, 180–208), a social scientist, described the body of social knowledge as a hierarchy consisting of four layers, which I depict in Figure 3.1 as a pyramid.4 Starting at the bottom, concepts are the primary or most fundamental building blocks. One level up, concepts are combined in statements. Statements can be about meaning, making semantic claims, as in theoretical and operational definitions, or they can be empirical statements. The latter, which make epistemic claims about the world, may be factual (descriptive) or explanatory (for example a hypothesis stating a causal relationship to account for observed facts). Since statements alone are inadequate for an understanding of social phenomena, at the next higher level they are combined into conceptual frameworks.5 At the highest level, Mouton placed research paradigms or research traditions.

Paradigms (Research traditions) Conceptual frameworks: Typologies, Models and Theories Statements: Definition & hypotheses

Concepts

Figure 3.1: The hierarchy of concepts, statements, conceptual frameworks, and paradigms.

4 A diagram by Mouton (1996, 180) served as my point of departure, but Mouton cannot be held responsible for the pyramid depicted here. 5 For a discussion of the role of theory in hypothetical-testing and hypothesis-generating research, and the distinction between theoretical and conceptual frameworks, see Imenda (2014). Types of theory relevant to the information sciences are discussed by Gregor (2005) and Sonnenwald (2016).

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Mouton distinguished between three kinds of conceptual frameworks: typologies, models, and theories. In typologies phenomena are classified in terms of common characteristics. An example6 is the typology of colonies in sub-Saharan Africa proposed by Mufwene (2002, para. 2), who, writing about the fate of African languages in the twenty-first century, distinguished between trade, exploitation and settlement colonies. While a typology is essentially a static representation of a class of phenomena, a model provides a dynamic framework setting out relationships within a phenomenon.7 Models typically have a heuristic function, that is, they suggest possible relationships to be investigated. As Hjørland (2000, 521) has pointed out, models help us to “visualize how something might work and what variables should be taken into account,” but the problem with testing models is that this process “does not question the assumptions on which the model was built.” Examples are found in LIS theses and dissertations in which sets of trivial hypotheses are tested using sophisticated inferential statistics, but where the “so what?” questions are not answered. Returning to Mufwene’s typology, we could relate the extent and degree of permanence of European settlement to the implantation of European institutions. In colonies with more numerous and permanent European settlement, European institutions are implanted by settlers primarily for their own use. Such a simple model of colonial influence might suggest ways of looking at post-colonial library development in sub-Saharan Africa and similar regions. Although the borderline between models and theories is not always clear, a theory goes further than a model in providing explanations of relationships. A widely cited definition of theory was formulated by Kerlinger (1979, 64): “A theory . . . is a set of interrelated constructs (variables), definitions and propositions that presents a systematic view of phenomena by specifying relations among variables, with the purpose of explaining natural phenomena.” Pursuing the relationship between European settlement in sub-Saharan Africa and library development, we might formulate a theory relating the extent and permanence of European settlement (which was inhibited by climate and diseases in the more tropical territories) to delays and disparities in library provision to African inhabitants, explaining this in terms of racist attitudes on the part of the more numerous settlers in territories with cooler climates. Such settlers, having come to stay permanently and having more to lose, developed more intransigent racist attitudes than colonial officials who, sent to tropical countries, normally returned

6 The elaboration and examples presented here are my own. Mouton cannot be held responsible for them. 7 An example cited by Mouton (1996, 197) is the well-known model of the communication process of Shannon and Weaver (1949), which is described later.

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“home” to retire after their spell in the tropics (cf. Olden 1995, 2–3). As discussed in Section 11.8, settler attitudes were manifested inter alia in segregated and substandard library facilities for Africans in certain African countries. In this way the model relating European civic institutions to European settlement can give rise to a more complex theory of library development in which causal explanatory factors are identified.

3.2.3 Grand and less grand theory Describing theory as “an attempt to distinguish appearance or observable characteristics from essence; to get behind empirical data,” Anyon (1982, 35) has emphasized that theory should be grounded in data and that there should be a reciprocal relationship between theory and data: the one should inform the other. Further, for Anyon, theory has to be “socially explanatory.” I understand this to imply that we need to find a middle ground between two extremes. At the one extreme we have rudimentary theories, little more than models, which merely attempt to explain empirical findings in terms of statements relating to the data. The other extreme is that wide-ranging ‘grand theory’ that consists of “a set of umbrella concepts designed to explain a broad range of social phenomena, and robust enough to act as the conceptual framework for a variety of research programs dealing with empirical data,” for example Marxism and rational choice theory (Hamilton 2005, 14). Although they may be plausible and widely accepted, such theories are too abstract and too far removed from what can be empirically observed, to be of immediate use in designing a research study. Instead, they provide spaces for reflection and theorizing.8

8 There are as many views on what constitutes theory as there are theorists. This also applies to ‘grand theory.’ For some authors, grand theory is less ‘grand’ (in the sense of all-encompassing) than for others. For example, Blute and Armstrong (2011) have pointed to a re-emergence of ‘grand theories’ of the scientific and scholarly process and have identified ten such theories (to which they also refer as ‘general theories’) in that field. These clearly are of much narrower scope than the grand theories referred to by D. Hamilton. See also Glazier and Grover (2002), who in relation to LIS distinguished between substantive, formal and grand theory. Greer, Grover and Fowler (2007, 46–47) provided examples of these three levels: Kuhlthau’s theory of information-seeking behaviour as an example of substantive theory, Maslow’s original theory of human motivation as an example of formal theory, and Bertalanffy’s general systems theory as an example of grand theory.

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LIS has not produced grand theory. In fact, although some use is made of theory from other fields such as psychology, sociology or management, LIS has produced very little theory of any significance (cf. Hjørland 1998 on information science). In my view this applies a fortiori to comparative LIS. Here some notions have emerged that might conceivably be situated in relation to grand theory. One example is the notion, possibly related to Max Weber‘s famous work The Protestant Ethic and the Spirit of Capitalism (M. Weber [1905] 2002), that the differences in library development in northern and southern Europe are related to the religions (Protestant vs. Catholic) adhered to in those regions. Echoes of this are found in explanations of differences in public library development by authors from predominantly Catholic countries such as France, for example Hassenforder (1967, 107–9) and Bertrand (2006, 123–25). Another is the role of climate in library development (Benge 1970, 144–45). But the connections to grand theory have not been made. If neither low-level models nor grand theory are appropriate for LIS, this suggests that we need theories of the middle range, defined by Merton (1968, 39) as . . .theories that lie between the minor but necessary working hypotheses that evolve in abundance during day-to-day research and the all-inclusive systematic efforts to develop a unified theory that will explain all the observed uniformities of social behavior, social organization and social change.

C. Morgan and Wildemuth (2009, 42), citing Poole (1985), stated that “middlerange theories are concrete enough to clearly apply to phenomena of interest to a professional field like information and library science, while simultaneously being abstract enough to apply to settings beyond the context in which they were developed.” Geels (2007) has suggested that middle range theory is difficult to pin down as calls for it are often expressions of discomfort with the state of theory in a field. Writing about middle range theory in the field of science and technology studies, he proposed that such theory should not address the whole of that field but “focus on limited themes and topics. . . make explicit efforts to combine different topics in an analytical model and . . . search for patterns and explanatory mechanisms” (2007, 635). Is this happening in international and comparative librarianship?

3.2.4 Theory in international and comparative librarianship In international and comparative LIS, I would suggest that we need to aim for greater connectedness – finding theoretical explanations that can apply to more than one comparative study and seeking to borrow from, or link to, theory

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from other social science disciplines. In this way we might arrive at criteria for a less haphazard choice of countries, societies or cultures to study and compare, and find clues for the explanation of the findings. In comparative LIS, which is the more scholarly of the two fields, we nevertheless see few cases where authors explicitly construct a theory to frame and design their study and to interpret their findings (cf. McKechnie and Pettigrew 2002). Where theory exists, we do not see it being taken up and developed by later investigators. For example, in studies of LIS development in former British and French colonies in Africa a great deal of useful material has been generated. The study of library development in Senegal by Maack (1981b) provides excellent material for a comparative study of colonial influences on library development in anglophone and francophone West Africa. Maack (1982) herself developed this topic in an insightful article relating library development in two anglophone and two francophone West African countries to colonial policies as well as library traditions of Britain and France respectively. Although this theme has also been touched on in the seminal work on African librarianship by Sturges and Neill (1998) and in various regional surveys of more limited scope, e.g. Spear (1971), Kotei (1976), M. Saunders and Saunders (1994), Maack (1986b, 2001) and Akinyotu (2003), it has not yet received the sort of systematic treatment that would generate theory and provide a framework for further comparative study. Such a framework should suggest further hypotheses and guide the identification of countries to be compared. Thus, a theory of colonial influence on LIS, developed in relation to West Africa, might be tested by expanding it to former Portuguese and Belgian colonies, to former colonies of substantial European settlement (e.g. Angola, Kenya, Zimbabwe), and to former colonies in other regions of the world. Further independent variables such as the duration of colonial rule and the conceptions and state of LIS in the colonizing powers themselves, suggest themselves in the construction of a theory of library development in former colonial territories. In such a theory, the nature and extent of library development and its post-independence trajectory might be related to a country’s colonial past if other variables (demographic, economic, cultural, etc.) are held constant. In this connection it is worth mentioning the work of R.V. Williams (1976) on the identification of indicators of library development in Latin America, which he followed up with an attempt, somewhat inhibited by a quantitative, empiricist approach, to construct a general theory of library development (R. V. Williams 1984). Studies conducted in international librarianship provide raw material for such analyses, but in comparative LIS each investigator seems to start from scratch, so that theory is neither built nor tested that could be used, first in an attempt to explain what has so far been reported in the literature, and secondly, to select additional cases for study.

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Neither in international nor in comparative studies in LIS is much use made of theoretical insights from other social science disciplines, such as the various theories on the diffusion of innovations, cultural change, policy borrowing, development and post-coloniality. There are of course exceptions, for example a study by P.C. Yu (2008) on modern library development in East Asia in which she used Gramsci’s (1992) theory of cultural hegemony, and studies of LIS education and research using Whitley’s (2000) theory of the intellectual and social organization of the sciences in Nordic countries (e.g. Aarek et al. 1992) and the Arab world (Al-Aufi and Lor 2012). Dalbello (2008, 2009) studied the influence of culture on digital libraries, using inter alia Hofstede’s (1980) typology of national organizational cultures. Some authors have not only utilized theory but have also contributed to theory development. In a comparison of library professionals in France and the USA, Maack (1985) developed a conceptual framework for a cross-cultural study of feminization and professionalization. Rebecca Knuth (1999) developed a theory according to which national school library development followed an American or a British model or a third, combined model. She also referred to the influence of these models on school library development in developing countries. Imaginative conceptualization can make comparisons more insightful. In a study of nationwide consortia, Shachaf (2003) proposed a life cycle model. She followed an ecological approach and used theory derived from the management literature of inter-organizational analysis. The examples cited here are not the only exceptions. However, many other comparative studies are quite devoid of any explicit theory. Some of the theoretically more interesting work in international and comparative LIS seems to come from the fringes of LIS, at the “harder” information science end of the LIS continuum. An example is the comparative study by Chatfield and Alhujran (2009) of e-government service delivery in Arab countries, where a model of developmental stages was employed. Another example is the study by H.J. Chang (2011) of the manifestations of culture in the design of English-language and Chinese-language websites of multinational corporations, in which Hofstede’s (2001) model of five cultural dimensions was used. Useful insights may come from comparative studies of LIS by investigators from outside our field. In a study of the impact of globalization on the public libraries of developing countries, Ignatow (2011), a sociologist, drew on a wide range of social science theory which relates factors such as economic liberalization and migration, economic development, democracy, international non-governmental organizations, and ethnic and religious homogeneity and heterogeneity, to public educational and cultural organizations other than public libraries. He developed a set of six hypotheses for empirical testing. It is noteworthy that most of the references in his article are to non-LIS material. In a related study of the

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relationship between public library development and democratic systems of government in three developing countries, Ignatow et al. (2012) used sociological theories of social capital to construct a theoretical framework for their investigation. In some of this work we see the makings of theory which extends beyond the confines of explanatory schemes for single studies.

3.3 The library concept It is hardly necessary to argue that different understandings of what is meant by the term ‘library’ will be significant in international and comparative librarianship. For example, in discussing public libraries in Africa, do a South African community resource centre and a Botswana village reading room count as public libraries? And is a French bibliothèque municipale directly comparable with the public library of a similarly-sized city in the UK or USA? The library historian Michael Harris (1999, 1) provided the following “working definition” for the term ‘library’: “. . .it is assumed that a library is a collection of graphic materials arranged for relatively easy use, cared for by an individual or individuals familiar with that arrangement, and accessible to at least a limited number of persons.” This definition was clearly devised to include a wide range of institutions, from the earliest times. It also includes archives during the earlier period when no distinctions were made between them and libraries. But today library users may make heavy use of networked digital resources to which the library facilitates access, but which are not ‘collected’ by the library. Are collections still so central to the concept of a library? The traditional concept of a library is now contained within a veritable word cloud which denotes agencies that are related to it to a greater or lesser extent. In this section it is treated as the point of departure for exploring what is meant by ‘LIS.’ A rapid excursion through definitions of the term ‘library’ reveals that this concept is centred on a number of partly overlapping categories, among which I single out documents, information, and knowledge.

3.3.1 Documents Documents, records, ‘the record,’ or collections are prominent in most of the older definitions of the library. In the Online dictionary for library and information science9

9 https://www.abc-clio.com/ODLIS/odlis_l.aspx, retrieved 2018-04-06.

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the term ‘library’ is defined as “a collection or group of collections of books and/or other print or nonprint materials organized and maintained for use (reading, consultation, study, research, etc.)” The “human record” is central to a somewhat more nuanced definition – of librarianship rather than libraries – by Michael Gorman (2009, 149–50): I propose a definition of librarianship that is centred on the human record – that vast assemblage of messages and documents (textual, visual and symbolic) in all formats created by humans since the invention of written and human communication. Given that focus, library studies are seen as the field of those professionals who assemble and give access to sub-sets of the human record (collections); who list and organize those sub-sets so that they can be retrieved; who work to ensure that records of those subsets are integrated to allow universal access to the whole human record; who are dedicated to the preservation and onward transmission of the human record; and who give help and instruction in the use of the human record.

Marcia Bates (2007) proposed a spectrum of the information disciplines, placing library, archives and museum science at one end of the spectrum under “disciplines of the cultural record” and information science, informatics and information systems at the other under the “sciences of information.” All are concerned with the “universe of documentation.” Libraries and archives, which collect documents, along with museums, botanical gardens, zoos, etc., are “collections disciplines.” Documents and collections are seen as defining libraries. Discussing the relationship between librarianship and information management, Suominen (2004, 143) categorized librarianship as “metadocumentation,” a term she used “to denote professional and social as well as disciplinary practices . . . which essentially start from documents.” In her view, the disciplinary basis for librarianship is to be sought in “bibliographical science with a historical emphasis on the book (or document).”10 An Italian definition by Serrai (1995) quoted by Vitiello (2009, 317) also placed emphasis on the library as a collection of documents and of information about them for purposes of retrieval and the discovery of useful documents.11 In various countries of continental Europe it appears that the book

10 Heavy emphasis on the centrality of the book may have negative consequences in LIS education, where in some countries it has stifled the broadening and modernization of LIS curricula. 11 In full: La biblioteca è un’organizzazione di documenti e delle notizie che li riguardano, tale che sia possibile e facilitato il reperimento dei documenti cercati, in quanto già noti e identificati, o l’incontro con quei documenti che si presume possano risultare utili o giovevoli. The library is an organization of documents and references regarding them, such that it is possible to facilitate the retrieval of sought documents that have already been noted and identified, or the discovery of documents that may presumably prove to be useful or beneficial.

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still takes a central place in librarianship. In Italy, the training of librarians as well as the administration of libraries remains closely associated with care of i beni culturali (cultural heritage). Guerrini’s Biblioteconomia: guida classificata (2007), an encyclopaedic compendium of librarianship, gives a prominent place to such matters as bibliography, cataloguing and classification. Here too, bibliology,12 the discipline which studies the production techniques and physical description of the printed book, and by extension, of other products of the printing press (Tavoni 2007, 38), has an honourable place in librarianship and academic curricula. In Poland, Migoń (2012) placed bibliology alongside library science and information science as one of three distinct disciplines. Great emphasis on the scholarly bibliographic description, care and restoration of the book heritage, sometimes at the cost of neglecting services to general readers, has been a characteristic of librarianship in Southern Europe. That is not to say that this scholarly emphasis is absent elsewhere, but here the emphasis seems to be more pronounced.

3.3.2 Information The twentieth century saw a shift from documents to information, although both the notion and the importance of information in society go back much further (Black 1998; Black and Schiller 2014). Ideas developed by Paul Otlet at the International Institute of Bibliography in the late nineteenth century foreshadowed by half a century the development of information science in the English-speaking world. In particular, Otlet developed the procedure of “divorcing a book’s content from its author and his or her authorial intentions” and extracting from books “what was their new contribution to knowledge” (Rayward 1997, 191). This information was recorded on cards to build a huge, universal bibliographic index (the Répertoire bibliographique universel, referred to in Section 1.8). Later, image and full-text files were also built up as part of this ambitious undertaking. Essentially, this meant that information was being extracted from its containers and given an independent existence. Augst (2001, 18) interpreted this as a shift from the notion of an apparently unified body of knowledge enshrined in monumental libraries, to “an alternative epistemology subsumed in the term ‘information,’ with its connotation of ‘scattered disjunct fragments of fact.’” The notion of libraries as agencies for providing access to information spread gradually. In English-speaking countries ‘special libraries‘ were at the forefront. It then spread

12 Not to be confused with bibliology as the study of Bible doctrine.

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to research libraries, and then ever more rapidly to libraries of all types, in parallel with the development of information science after the Second World War. By the 1970s some librarians were asserting that they were “in the information business.” The last quarter of the twentieth century was a time of rapid development in information technology and in information retrieval systems, especially in North America (Wiegand 2015, 131–34). Information had come to be regarded as a strategic resource, a sine qua non for organizational survival and competitive societies. Emphasis was placed in library management on efficiency and performance management. Questions were raised about the utility of collections. Research showed that only a small proportion of a library collection accounted for a large proportion of use,13 while large parts of collections were seldom if ever used (e.g. Fussler and Simon 1969; Broadus 1980). The notion of ‘just-in-time’ information provision was advanced, challenging the older concept of adding materials to collections ‘just in case’ they might be needed, and the notion of ‘zerogrowth’ collections was put forward (e.g. Gore 1974, 1976). This shift in thinking was prompted by many factors. These included changes in the economics of scholarly publishing, the ‘information explosion,’ and especially the advent of new information and communication technologies, which made possible detailed indexing and discovery of information on a scale and at a speed Otlet could not have imagined. At the same time, the advent of the internet gave rise to tantalizing visions of universal access – but also of book-less, virtual libraries, relying entirely on networked digital resources. This raised questions about the future of libraries and librarians. Since the 1980s a growing reluctance has been noted in the field of LIS to use the word ‘library’ and its derivatives, such as ‘librarian,’ ‘librarianship,’ and ‘library science.’ This is evident in the omission of the word ‘library’ when former ‘library schools’ are renamed, individually (e.g. Childers 1998) or collectively (as ‘i-schools’), and in the subsuming of library studies under ‘information science’ and ‘information/knowledge management.’ It also occurs in the post designations of librarians (where the word ‘librarian’ may be replaced by ‘analyst,’ ‘coordinator,’ ‘officer,’ specialist,’ etc.)14 and in the names of libraries, sometimes renamed as ‘information centres,’ ‘media centres,’ ‘resource centres,’ etc. This suggests that the library is an embarrassment to information scientists as well as to librarians who want to project a modern image. In the

13 It is no coincidence that during this quarter-century, the emphasis shifted from library and collection use studies to studies of information needs and uses. 14 For a long list of library job titles, see Real Job Titles, http://www.michellemach.com/jobti tles/realjobs.html, accessed 2018-04-06. However, the overwhelming majority of the job titles listed here still include the word ‘librarian.’

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past two decades (cf. Cronin 2001), the absent word ‘library’ has been referred to ironically as the ‘L-word.’15 The debate about the nature and purpose of libraries is ongoing, at a pace which differs by type of library and from country to country. The ambiguity of the contemporary position of the library is reflected in the abbreviation LIS, which can stand for “library and information science/ studies,” or “librarianship/library and information services,” that is, when the L-word is not suppressed and subsumed under a phrase such as “information studies.” In its accreditation standards for master’s programmes the American Library Association (2015, 2), provided the following definition: The phrase “library and information studies” is understood to be concerned with recordable information and knowledge and the services and technologies to facilitate their management and use. Library and information studies encompasses information and knowledge creation, communication, identification, selection, acquisition and description, storage and retrieval, preservation, analysis, interpretation, evaluation, synthesis, dissemination and management.

In highly critical comments, Crowley (2008, 131) pointed out that omitting the words “library and” would make little difference, since the definition is “overwhelmingly information-oriented.” The definition does, however, offer a discreet genuflection to knowledge.

3.3.3 Knowledge Seeing the library as an agency for the transmission of information raises awkward questions. Can the library survive without collections, but as a bundle of information-related functions, many of which must be carried out in competition with other information agencies? These include content creators themselves, publishers, the press, media, Google and social media, many of which are more pervasive and economically powerful than libraries. This would make libraries vulnerable to cut-backs, closure, take-overs, or privatization of potentially profitable functions. Responses to these threats have taken various forms. A key theme is a new emphasis on knowledge and learning. An example of such as response is a statement by W. Crawford and M. Gorman (1995, 5):

15 Coincidentally “The L Word” was also the name of an American television series dealing with “non-heterosexually identified” (‘lesbian’) women, which aired during 2004–2009 (Kern 2012).

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Let us state, as strongly as we can, that libraries are not wholly or even primarily about information [their emphasis]. They are about the preservation, dissemination, and use of recorded knowledge in whatever form it may come . . . so that humankind may become more knowledgeable; through knowledge reach understanding; and, as an ultimate goal, achieve wisdom.

Underlying this statement is a reference to the well-known DIKW (data – information – knowledge – wisdom) model, mostly attributed to Russell Ackoff, but probably of older origin. It is often shown as a pyramid with data at the bottom and wisdom on top (Ma 2012, 720). In Figure 3.2 I add “understanding”16 to depict a hierarchy with five levels and two feedback loops. The loops indicate that understanding feeds back into knowledge, through theory construction, and that theory gives rise to investigation, which adds to the body of data.

Wisdom Understanding Theory construction Knowledge

Information

Investigation

Data

Figure 3.2: The DIKW model expanded.

The upward arrows in the diagram represent a supposed process of how data are transformed into information, information into knowledge, and so forth. It is also aspirational, suggesting that wisdom is the ultimate goal, rather than profit or success. It is reminiscent of the nineteenth century aspiration of public librarians to uplift the population through knowledge, and of the ideals of the scientific universalists who wanted to harness knowledge to ensure world

16 More sources are cited in Wikipedia, https://en.wikipedia.org/wiki/DIKW_Pyramid, accessed 2018-04-06, which mentions that Ackoff included an ‘understanding’ tier, but he did not present the hierarchy graphically.

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peace, as discussed in Section 1.8. The upward arrows also suggest a progress of increasing abstraction and complexity. At the apex of the pyramid we find wisdom, the most elusive concept in this sequence. Knowledge is more difficult to seize and measure than information, information more difficult than data.17 The shift of emphasis in libraries from information to knowledge should not be seen in isolation. Rather, it reflects a broader societal shift, as shown in the emergence of the notion of the knowledge economy and the knowledge society.18 The shift from the rhetoric of the information society to that of the knowledge society may reflect a realization that in light of the far-reaching societal changes in a globalizing world, the concept of ‘information’ is too limited in its connotations, whereas ‘knowledge’ implies a resource that is “richer, more structured, more organized, more complex and more qualitative than ‘information’” (Lor and Britz 2007, 389). The access to knowledge (A2K) movement, discussed in Chapter 8, also reflects this shift. The emphasis on knowledge is manifested in various ways. One is an emphasis on learning, exemplified by the increasing attention being paid to the teaching of information literacy, along with the more general notion of librarians as teachers. This is particularly relevant in U.S. academic libraries, where librarians aspiring to ‘faculty status’ have to demonstrate that they are active in teaching and research. Crowley (2008, 11) asserted that “the paradigm of education, redefined by twenty-first-century culture as learning, represents a meta-model that is much more descriptive of the work of academic, public and school librarians than information.” Supporting learning is their primary purpose, not a by-product of an information purpose (Crowley 2008, 34). Even the installation of ‘maker-spaces’ in public libraries can be interpreted as involvement in the creation of knowledge, in this case “knowing how” rather than “knowing that,” to use the distinction made by Ryle ([1949] 2000). Another manifestation is a growing emphasis on knowledge creation. This is reflected in the wide-spread adoption of learning commons in academic libraries and in the increasing involvement of librarians in data curation. A notable exponent of the role of libraries in the creation of knowledge is R. David

17 To the extent that this progression conveys increasing uncertainty and incompleteness, it is tempting to see here a post-modern element, a questioning of the older metaphor of the ‘building blocks’ of knowledge. 18 UNESCO prefers the plural, ‘knowledge societies,’ a term motivated as follows by Abdul Waheed Khan, at the time UNESCO’s Assistant Director-General for Communication and Information: “. . .the concept of ‘knowledge societies’ includes a dimension of social, cultural, economical, political and institutional transformation, and a more pluralistic and developmental perspective” (A. W. Khan 2003).

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Lankes, who has stated that “the mission of libraries is to improve society through facilitating knowledge creation in their communities.”19 In an article published in 2007, Lankes, Silverstein and Nicholson (2007, 17) stated their belief that “Knowledge is created through conversation. Libraries are in the knowledge business. Therefore, libraries are in the conversation business.” They cite a range of library activities as evidence that libraries are places “where we facilitate conversation.” These include the teaching of information literacy and critical thinking, book groups, reference interviews, building library collections and preservation work of library materials – none of which appear to be significantly new or different, but which are reinterpreted in light of conversation theory. According to this perspective, “the best knowledge comes from an optimal information environment, one in which the most diverse and complete information is available to the conversant(s)” (2007, 18). These ideas were elaborated, with a great deal of theory, in Lankes’s subsequent book, The atlas of new librarianship (Lankes 2011). Quite how new a departure the mission Lankes has formulated is, is open to question,20 but it does serve to encourage librarians to rethink their roles in their communities and in relation to knowledge creation. In this connection constructivist learning theory provides useful perspectives on knowledge. ‘Psychological constructivism’ is concerned with the way individuals acquire knowledge, not as passive recipients, but in an active process of constructing new knowledge on the foundation of previous learning, using what they already know (Hoover 1996). ‘Social constructivism’ adds the notion that this process has an important social and political dimension. Social constructivists are concerned with how “. . . the public bodies of knowledge are constructed – the disciplines of science, math, economics, history, and so forth, and even the common-sense and commonly-held understandings of the surrounding world that are conveyed to all new members of a sociocultural group” (Dennis C. Phillips 1997).21 Summarizing from an educational technology perspective, Hsiao (2006) stated that learning involves . . .meaning-making through active participation in socially, culturally, historically, and politically situated contexts. A crucial element of active participation is dialog in shared

19 New librarianship, https://davidlankes.org/new-librarianship/, accessed 2018-04-06. 20 See, for example, Steve Matthews, http://21stcenturylibrary.com/2011/08/30/book-reviewr-david-lankes-the-atlas-of-new-librarianship/, accessed 2018-04-06. 21 There is a much more radical, and controversial, form of constructivism, according to which scientific knowledge is determined primarily by sociocultural factors, so that knowledge may bear little resemblance to the physical world (cf. Lor and Britz 2010, 658). This is not intended here.

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experiences, through which situated collaborative activities, such as modeling, discourse and decision making, are necessary to support the negotiation and creation of meaning and understanding. (n.p.)

This lends some weight to Lankes’s notion that knowledge is created through conversation, and to the idea that libraries are appropriate venues for building knowledge.

3.3.4 Users The reference to social and cultural activities also reminds us that libraries exist for individuals or communities in one way or another. Libraries are about service (Gallo-León 2015). The discussion of the library concept so far has focussed on documents, information and knowledge. People have not featured explicitly in it. In the three concepts of the library people are the proverbial ‘elephant in the room.’ Assumptions about users underlie any discussion of the library. In considering the document-centred library, users may be conceptualized as readers, either present or sometime in the future. In the latter case the library is seen as a repository of heritage or communal memory – themselves complex and often contested concepts. In considering the information-centred library, users may be conceptualized as information-seekers, mostly in relation to tasks that are educational, scholarly, vocational, or professional in nature, or simply involve everyday coping. In considering the knowledge-centred library people may be conceptualized as creators – of art, stories, technology, scholarship, scientific understanding, etc. These are generalizations only, and the categories are not mutually exclusive. For example, heritage and memory are as much concerned with knowledge as with documents, while the HathiTrust’s massive digital repository, a store of books mainly digitized by Google from libraries throughout the world, constitutes a treasure trove of raw data which lends itself ideally to collaborative knowledge creation through the intermediary of the HathiTrust Research Center (Bonn 2016) – an example of a creative, high-tech use of a corpus of documents for the creation of knowledge. Figure 3.3 summarizes my exploration of the library concept thus far. In cursive I have added some likely users of document-centred, information-centred, and knowledge-centred libraries respectively. This is speculative and intended for heuristic purposes only. All the categories overlap, and it is not my intention to imply that any category is confined to a watertight compartment, but to suggest some emphases and relationships.

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D

Documents

I

Readers Scholars

Decisionmakers

? Wisdom Knowledge Creators Learners

Biblioteca Trivulziana

Problem -solvers

D

D K

K

I

Crozer-Keystone's Virtual Medical Library

Information K Informationseekers

D I

Knowledge Commons, University of Utah

Figure 3.3: Concepts of the library centred on documents, information and knowledge. The examples are somewhat arbitrary: D (Documents): Biblioteca Trivulziana, Milan, http://trivulziana.milanocastello.it/; I (Information): Crozer-Keystone’s Virtual Medical Library, http://www.crozerkeystone.org/ healthcare-professionals/crozer-keystone-employees/virtual-library/; K (Knowledge): Knowledge Commons, J. Willard Marriott Library, University of Utah, http:// www.lib.utah.edu/services/knowledge-commons/, all accessed 2018-04-06.

Although I have dealt with them roughly in chronological order, the concepts coexist, so that for each individual library one could draw up a profile indicating to what extent it manifests them. This is suggested by the small diagrams on the right-hand side of Figure 3.3, which are intended to reflect tentatively the relevant emphases of each of three examples. At any given time, in a given country and in a given library type, particular library concepts may be dominant. This is not to be understood as implying a predetermined trajectory leading to ultimate universal convergence. The key point is that the library concept has multiple dimensions.

3.4 A universal concept? There is a great variety of libraries, traditionally differentiated by the social institutions, types of organization and types of users they primarily serve. To arrive at a definition, or at least a delimitation of what this book will cover, we need to consider what they have in common.

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3.4.1 Elements of a definition Here I consider the core mission, the functions of libraries, the object upon which the functions are exercised, and the clients for whom this is done. For the purposes of this book I consider the core mission of libraries to be the transmission and curation of recorded knowledge, including its raw material of data and information. ‘Transmission’ is not an entirely satisfactory word, for the mission includes elements of care, the addition of some value, and facilitation or mediation of use. I therefore add the word ‘curation,’ extending its meaning beyond its more common connotation of digital data, to refer to the organization and active management of collections for future use.22 Libraries pursue this mission, with various degrees of emphasis, by carrying out the functions of selecting, collecting, organizing, preserving, providing access to, and mediating the utilization of, data, information and knowledge, primarily recorded knowledge. The object upon which the functions are carried out, is recorded knowledge. It does not have to be in material form; it can be dematerialized (as in virtual, web-based resources) provided that it has been recorded or transmitted in encoded form. Libraries do not have to own the recorded knowledge, although libraries exercise some form of (non-exclusive) control over it through the creation and manipulation of databases of surrogate records (bibliographic data, metadata), and facilitate access to it. Libraries are primarily concerned with records that were created for dissemination, in contradistinction to archives, which deal primarily with records that were created as a by-product of the business or affairs of individuals, organizations and governments. (There is overlap: many libraries have archives, and most archives have libraries.) Finally, as to the clients for whom this is done, a library is a social agency, an organization of, by and for a community, which may be open or limited to a greater or lesser extent. Generally, it is not profit-seeking. Special libraries, documentation centres, school or community media centres, resource centres, information centres, village reading rooms and suchlike can be seen as falling within the denotation of the term ‘library.’ To the extent that these reduce their emphasis to a limited number of the

22 According to the Digital Curation Centre “Digital curation involves maintaining, preserving and adding value to digital research data throughout its lifecycle. The active management of research data reduces threats to their long-term research value and mitigates the risk of digital obsolescence. . .. curation enhances the long-term value of existing data by making it available for further high quality research,” http://www.dcc.ac.uk/digital-curation/what-digital-cura tion, accessed 2018-04-06.

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functions, restrict their scope to particular forms of recorded knowledge, or limit their services to particular communities of users, they become further removed from the “traditional” library on this spectrum, until they may no longer be recognizable as libraries, at which point I refer to these as “other information agencies” without attempting to delimit them. The boundary between libraries and other information agencies is fluid. Is a telecentre a library? Is an internet café a library? For my purposes a library is an organization or agency that has the mission, and carries out at least some of the core functions, in relation to recorded knowledge, and for a client community, as described above. The problems we encounter in attempting to define such a basic concept as that of the library, so that it will include the Biblioteca Trivulziana, the Crozer-Keystone Virtual Medical Library, and the University of Utah’s Knowledge Commons, but exclude a bookstore, JSTOR, Elsevier, EBSCO’s Academic Search, and Google, is a salutary warning that this is not a simple concept, and that we may expect complications when we use it in international and intercultural contexts.

3.4.2 The library as an agency I follow Shera (1976, 45) in considering the library to be an agency as distinct from an institution. Shera places institutions within the framework of culture: The organization of a culture is a vast tissue of reciprocal activities, differentiated into interwoven systems and subsystems, the pattern of which is determined by social institutions [Shera’s italics]. These social institutions are a cluster of social phenomena, conventions, or formalized structures whereby a society fixes the limits of, exercises control over, and imposes form upon the activities of the members of the society. . . An institution . . . may discharge its functions through agencies, associations (voluntary or compulsory) or other appropriate groups (Shera 1976, 45)

The institutions referred to by Shera are social institutions, defined by contemporary sociologists as “complex social forms that reproduce themselves such as governments, the family, human languages, universities, hospitals, business corporations, and legal systems” and are to be distinguished from “less complex social forms such as conventions, rules, social norms, roles and rituals” (S. Miller 2011). Although the term ‘institution’ is commonly used to refer to individual agencies such as specific museums, libraries, or colleges, this is not the sense in which the term is used here. Shera (1976, 45) considers the library to be “one of the agencies through which the institution of education exerts its

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influence.”23 The relationship between institution and agency may be so close that it is difficult to distinguish between the two, but institutions establish the norms of conduct. Shera mentioned the family, law, religion and education as examples of institutions. As a comparison of the examples given by Miller and Shera shows, authorities differ in how many social institutions they recognize. Some count only a small number of overarching social institutions, such as education, whereas others count more, such as universities. In passing, I note that the library as an agency may serve more than one social institution, e.g. education, research, public administration, business and the arts. Reith (1984, 6) observed that of all the agencies of communication, “only the library serves all the institutions of society.”

3.4.3 Universality? The preceding paragraphs suggest that libraries can occur in many manifestations. There is a widespread assumption that the concept of the library is universal. Gupta (1973, 47) stated a belief that the “basic philosophy” of librarianship has “common elements” so that “common denominators” can be found. New ideas should therefore be “analyzed, assessed and evaluated in the total framework of professional outlook.” In Section 2.3, reference was made to the work of Krzys and Litton. The last of their “four laws of world” read, “Eventually all world variants of librarianship will, through standardization, converge to form a global librarianship. The success of world librarianship will be controlled by the preciseness by which the various elements are standardized” (Krzys and Litton 1983, 197). This reflected an assumption that librarianship and, by implication, libraries, are universal. A related belief that there are universal values of librarianship is at the basis of Swank’s (1963) article on “six items for export,” mentioned in Section 2.3, in which he identified six important characteristics of American librarianship that should be shared internationally: the library as an organization of books, the evolution of a library profession, the attitude of service, the function of the library as an educational institution, the advancement of intellectual freedom, and the idea of “organized information as a public resource and responsibility” (p.716). More recently Michael Gorman (2009, 150) stated that “library studies are informed by a set of core universal values – intellectual freedom, service to individuals and

23 Shera (1976) also referred to the library as an “instrumentality” (p.46), but on pp. 49 and 51 he referred to it as a “public institution.”

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society, stewardship of the human record, universal access, etc.” These bear a strong resemblance to the values set out in his book, Our enduring values: librarianship in the 21st century (M. Gorman 2000), which followed an earlier attempt (Crawford and Gorman 1995, 7–12) to update the “five laws of library science” of Ranganathan (1931). However, these “universal values” are not shared universally. Commenting on a statement on library values in which Gorman (2003, 134) had expressed an impassioned belief in the “common good” and in values that “comfort the powerless and defend minorities in a world where the profit motive reigns virtually unchallenged,” Bertrand (2010, 69) offered a French perspective: Si l’emphase de ce discours nous est étrangère, voire exotique, voire incompréhensible, c’est sans doute, au-delà des différences culturelles (le patriotisme naïf, tranquille des Américains, leur fierté), parce que les bibliothèques en France ne sont pas du tout considérées comme jouant un rôle comparable: si on reconnaît qu’elles participant à la lutte contre les exclusions, leur position (éventuelle) de contrepoids à la « la pensée sociale et politique dominante » n’est ni reconnue ni même souhaitée. En France, les bibliothèques ne sont pas perçues comme un moyen pour les citoyens de se forger librement leur propre opinion (Bertrand 2010, 69).24

If such a gulf separates thinking about the roles of libraries in two modern Western democracies, we should not be surprised to find even greater differences in the developing world. The English word ‘library,’ derived from the Latin liber, a book, is rendered in French (where a librairie is a bookshop) by bibliothèque, in German by Bibliothek, and by other Romance and Germanic languages by cognate words derived from the Greek βιβλίον, biblion, also meaning a book and θήκη (theke, case or place of deposit). The denotation of the word for ‘library’ does not have the same extension in all languages. In Germany, two movements, both controversial and ultimately unsuccessful, occurred in the nineteenth century to introduce American-style public libraries for the general population. In the first public library movement in the mid-1800s, the term used for these libraries was Volksbüchereien (people’s libraries, the word Bücherei being a less learned word than Bibliothek); in the second, during the latter half of that century, the term Bücherhalle (book room or book hall) was used (Chaplan 1971). Both of

24 If the emphasis of this discourse appears to us to be strange, exotic, if not incomprehensible, it is undoubtedly because, beyond the cultural differences (the naive and calm patriotism of the Americans and their pride), public libraries in France are not at all seen as playing a comparable role. . . a possible role as counterweights to “dominant social and political thinking” is neither recognized nor desired. In France libraries are not seen as a means by which citizens can freely form their own opinions [my translation].

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these terms were derived from the German Buch (book), which is of Germanic origin, in contrast with the more learned Bibliothek. In the Netherlands, the earliest form of public library was called a leeszaal (reading room). It was a space for reading only and was run on confessional and social lines (catholic, protestant and secular).25 When lending was introduced at the beginning of the twentieth century, the more learned term bibliotheek came into use, but the old term retained the connotation of a popular or people’s library and took a long time to disappear. In both Germany and the Netherlands, distinctions between social classes, which have since become less marked, lay at the root of the differences in terminology. A century later, as part of a movement to modernize public libraries, the term médiathèque was introduced in France as the designation of a new kind of public library with a wide popular appeal, the name serving to distinguish it from the old-style public libraries that had gone before (Bertrand 2013, 110–11). In Spanish-speaking countries we find the term hemeroteca, from the Greek Ἡμέρα (hemera, day, short period) and θήκη (theke), for collections of serials ranging from daily newspapers to learned periodicals,26 and in some cases, as in the National Library and the National Periodicals Library of Mexico, these have been formally separate institutions (Mattes 1998, 19). There is even greater diversity when it comes to the naming of the disciplines. Library science is translated as bibliothéconomie in French and biblioteconomia in Italian. The term ‘library economy’ was used in English before the advent of ‘library science,’ for example in the name of Melvil Dewey’s pioneering library school, the School of Library Economy at Columbia College (1887–1888), and in James Duff Brown’s classic manual of librarianship, the Manual of library economy (J. D. Brown 1903). The word ‘economy’ comes from the Greek οἰκονόμος (household management)27 and suggests a field of frugal, judicious management, as also in ‘home economics.’ In Germany, where there are no qualms about labelling fields of study in the arts or humanities as Wissenschaft, library science is Bibliothekswissenschaft (literally ‘library science’). The Anglo-American combination library and information science is by no means universal. In Spain library and information science is traditionally called ciencias de la documentación (documentation sciences), or more recently, información y documentación (information and documentation) (Bereijo 2013, n.p.), but Martinez-Arrelano (2013, n.p.) cited one Spanish university where the term biblioteconomía is used. In IberoAmerica, where the U.S. example (LIS) has been influential, the latter term is

25 Geschiedenis van openbare bibliotheken in Nederland, http://www.isgeschiedenis.nl/ nieuws/geschiedenis-van-openbare-bibliotheken-nederland/, accessed 2018-04-06. 26 “Hemeroteca,” Wikipedia, https://es.wikipedia.org/wiki/Hemeroteca, accessed 2018-04-06. 27 “Economy,” Wikipedia, https://en.wikipedia.org/wiki/Economy, accessed 2018-04-06.

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making way for bibliotecologia. The Greek word -λογία (-logía, study of), found in the names of many sciences, emphasizes the scientific nature of the field, bringing Ibero-American terminology closer to that of the USA. Examples could be multiplied, but from the above it is clear that libraries are named and understood differently in different languages and regions, and that what we have known in the Anglo-American tradition as LIS is carved up differently in different national and linguistic traditions. Given this diversity, are there conceptual frameworks that can be useful in studying and comparing LIS internationally? In the sections that follow, a number of conceptual frameworks and models within which LIS phenomena can be investigated, and which may be useful in international and comparative studies in LIS are outlined.

3.5 The conduit metaphor: transmission as a conceptual framework In 1948, two publications appeared that contributed immensely to laying the foundation of both communication science and the theory of information systems. In that year Claude Shannon published an article setting out a mathematical theory concerning the transmission of signals in telecommunication systems such as the telephone and the telegraph (Shannon 1948). This was reprinted in the following year in a book (Shannon and Weaver 1949). In his contribution to the book, Weaver elaborated on Shannon’s theory to put forward a general theory of communication. The resulting model is known as the Shannon-Weaver Model. It is depicted in Figure 3.4.

Information source

Transmitter

Receiver

Signal

Destination

Received signal

Message

Message

Noise source Figure 3.4: Symbolic representation of a communication system, after Shannon & Weaver (1949, 98).

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This model has been criticized by later communication scientists. D. Chandler (2014, n.p.) described it as a “dangerously misleading misrepresentation of the nature of human communication,” pointing out that it embodies a conduit metaphor in which communication is one-way and in which recipients are passive, and both context and meaning are ignored. Nevertheless, it has been highly influential, and it established the conduit metaphor as a way of looking at communication and information. It is frequently cited in connection with the definition of information (Ma 2012). Greer, Grover and Fowler (2007, chap. 5) based their “information transfer model” on Shannon and Weaver’s communication model. As will be shown below, it is also reflected in models concerned with the role of libraries in communication. The second major contribution published in 1948 was a book chapter by Harold Lasswell (1948). Lasswell, who belonged to the Chicago school of sociology, was mainly concerned with mass media and propaganda, and his model deals with one-way communication only. In his chapter, entitled “The structure and function of communication in society,” Lasswell discussed the act of communication in relation to “the entire social process” (1948, 38), but his influence is particularly due to the five questions he formulated as “a convenient way to describe the act of communication” (1948, 37): – Who – Says What – In Which Channel – To Whom – With What effect? In Figure 3.5 this is pictured in a diagram which is reminiscent of the ShannonWeaver Model shown in Figure 3.4.

WHO ?

Commun -ication

SAYS WHAT ?

IN WHAT CHANNEL ?

TO WHOM?

WITH WHAT EFFECT?

Message

Channel

Receiver

Effect

Figure 3.5: The Lasswell Formula.

This model was subsequently expanded by other theorists. Braddock (1958) added the questions “for what purpose” and “under what circumstances” to the Lasswell formula, but since it was primarily concerned with persuasive

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communication, in which the communicator intends to influence the receiver (McQuail and Windahl 1993, 14–15), it remained essentially linear. Both the Shannon-Weaver Model and the Lasswell Formula are concerned with one-way transmission of messages without much concern about meaning, context or the interaction between senders and receivers. In such models, information is pictured as flowing through pipes or conduits. In LIS, this lends itself to the modelling of such matters as scholarly communication. In a chapter on communicating specialist information, B.C. Vickery (1973) used the Lasswell Formula, deriving from it a formula for the generation and use of scientific and technical information, depicted in Figure 3.6, which took into account the overlapping roles of individuals in the field who may act as both sources and recipients.

PEOPLE MAY generate and use SOURCES

or transmit

RECIPIENTS

or use only SCIENTIFIC AND TECHNICAL INFORMATION

Figure 3.6: Vickery ‘s formula for the transmission of scientific and technical information; adapted from Vickery (Vickery 1973, 14).

Vickery also reproduced and created a number of flow diagrams to illustrate “documentary information flow.” He introduced the notion of “mediated” transmission to account for cases where a message is not transmitted orally from a speaker to a listener, but by means of a written document such as a letter and showed that the production of multiple copies to transmit the same message to multiple recipients lengthens the path between the source and the recipient. Documentary information transfer is “indirect, multi-stage, and . . . replicated,” where “replicated” refers to dissemination of the same scientific information in more than one publication. Thus, scientific information flows through a system composed of many parts, one of which is a “store,” which may be a library or information centre (Vickery 1973, 10–11).

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Before turning to the system concept, I note that the “longer path” to which Vickery referred implies that each stage in mediated information flow has a delay built into it. This is also the case of libraries and other information agencies. These can be seen as functioning as a reservoir where information or content is collected or concentrated, and held, thereby interposing a delay in the flow. Here the Lasswell Formula, which can be expanded more readily to deal with meaning and content, seems more appropriate than the Shannon and Weaver model. In Figure 3.7, in which LIS terminology is used, I expand Lasswell’s “Channel” to show libraries and other information agencies functioning as reservoirs interrupting the flow of information and offering multiple conduits.

WHO ?

SAYS WHAT ?

TO WHOM?

WITH WHAT EFFECT?

Creator

Content

User

Effect

Channel Journal editors reviewers publishers Subscription agents Aggregators, Internet, etc.

Search & current awareness tools

Libraries & information agencies

Figure 3.7: Expansion of Lasswell formula to depict scholarly communication.

Note that the flow depicted by each arrow can be interrupted by what Shannon and Weaver called ‘noise’: various disturbances impeding the flow and distorting messages Furthermore, there are ‘filters’28 in place at the various stages. For example, not all content that is produced is accepted for publication by journal editors, not all journals are disseminated by subscription agents or included in the ‘big deals’ of content aggregators, not all journals are indexed

28 Here I borrow the term ‘filter’ from the management literature on interpersonal communication, e.g. Montana and Chernov (2008, 330–31), but use it in a different sense.

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and abstracted, and libraries acquire only a fraction of what is published. It is also worth noting that, while the role of libraries in scholarly (and more general) communication appears to be more or less universal, it may not be regarded as equally significant in all periods and cultures. It is interesting that in the second edition of his well-known foundations text, Richard Rubin (2004, 2–4) placed libraries in the context of information flows in society (p.2), as part of the “information infrastructure,” and situated them in the “information cycle,” comprising creators, products, distributors, disseminators and users.29 The UNISIST model of scientific communication, developed by UNESCO and the International Council of Scientific Unions (1971, 26), subsequently updated by Søndergaard, Andersen and Hjørland (2003), is an ambitious example, with elements of a systems approach. The conduit metaphor also underlies discussions of international “information flow,” for example, the flow of information from the developed countries (the ‘North’) to the developing countries (the ‘South’) and vice-versa (South-North). These flows have been discussed particularly in ethical and political-economic perspectives (e.g. Altbach 1987; Britz and Lor 2003; Lor and Britz 2004a), dealing particularly with problems and barriers, which in terms of the conduit model can be seen as examples of filters. Deconstructing the conduit metaphor, with its implications of content flowing passively through conduits or channels – think of plumbing or irrigation – brings to the surface darker images of disorderly, even threatening, information flows, as in the information ‘flood’ or ‘deluge’ – later supplanted by an even more violent metaphor, that of the information explosion (e.g. Huth 1989; Lor 1992), which today is increasingly seen as technologically driven (Hilbert 2014).

3.6 Systems frameworks It is a small step from transmission or information flow models to systems models. Although systems theory has had mixed fortunes, systems thinking is pervasive in the modern world, and very much so in librarianship and information work.

29 In the 4th edition, this chapter was renamed “The knowledge infrastructure.” Here the knowledge infrastructure is viewed as “a process by which knowledge and information are created, disseminated, and used in a society,” and which involves five “actors.” These are again creators, products, distributors, disseminators and users. In this case, revision has not enhanced clarity.

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3.6.1 General systems theory The notion of systems goes back to ancient Greek philosophy, and systemic thinking has been fundamental in social theory since the nineteenth century. Systems theory was first explicitly formulated by the French philosopher Baron Thiry d’Holbach in the 1770s. It was reinvented in the early twentieth century by a group which included the influential sociologists Talcott Parsons and Robert Merton. In the 1930s Ludwig von Bertalanffy, a Hungarian biologist and philosopher, also reinvented it independently. He advocated an “organismic” conception of biology as an alternative to the more “mechanistic” causal paradigm of classical science (Pickel 2011, 240–41). In the 1950s he extended the scope of his concept beyond biology and set in motion the general systems theory (GST) movement (Bunge 2014). The capstone of his work, his book General systems theory, appeared in 1968 (Bertalanffy 1968). The origins and development of systems thinking are complex. At the risk of over-simplification, two major strands can be distinguished: systems philosophy; and systems analysis and development techniques of various kinds. In developing general systems theory, Bertalanffy’s point of departure was to apply the open systems of biology to systems in all other disciplines. While the systems studied by physical scientists were seen to be closed in the sense that they do not interact with their environment, in biology this assumption cannot hold. Organisms die if they are cut off from their environment. They are open systems, interacting with their environment through inputs and outputs which pass through the system boundaries. In many cases, it is not known how the system produces the outputs. In such a case the system is considered as a “black box.” But when a system is analysed, it is found to be a set of interacting components. Through the interaction of the components the system produces outputs which the set of components could not produce if they did not interact. A system is greater than the sum of its parts. The behaviour of a system cannot be explained simply by examining each of its components in isolation. If examined these components turn out to be systems too, in this case, subsystems of the system. The system itself is a subsystem of a larger system, a supersystem. Systems are structured in hierarchies. Hence there are different levels of systems. Given that there are also many structural and functional similarities among systems from different disciplines, the question arose whether there exist universal principles of organization which apply in all the sciences (Heylighen 1998). In light of this the term general systems theory was used to describe what Kenneth Boulding (1956) called “a level of theoretical model-building which lies somewhere between the highly generalized constructions of pure mathematics and the specific theories of the specialized disciplines” (n.p.). Its protagonists

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sought to develop “a body of systematic theoretical constructs which will discuss the general relationships of the physical world.” Boulding (1956) suggested a hierarchy of nine levels, starting with static structures which he called frameworks, for example the pattern of atoms in a molecular formula. The second level he called “clockworks,” which includes both simple and more complex machines; then followed the levels of the “thermostat,” the “cell” (the most basic open systems), the “plant,” the “animal, “human,” “social,” and finally the “transcendental” systems. Of greatest interest to us is Boulding’s eighth level, that of social organizations. It is, he thought, difficult to separate the individual human as a system from the social systems in which humans live. The behaviour of humans who are not part of society in some form, is practically unknown. At this level of systems, the unit is not perhaps the person – the individual human as such – but the “role” – that part of the person which is concerned with the organization or situation in question, and it is tempting to define social organizations, or almost any social system, as a set of roles tied together with channels of communication. . . At this level we must concern ourselves with the content and meaning of messages, the nature and dimensions of value systems, the transcription of images into a historical record, the subtle symbolizations of art, music and poetry, and the complex gamut of human emotion. The empirical universe here is human life and society in all its complexity and richness (1956, n.p.).

This is a very broad-brush account. Boulding thought that beyond the fourth level, only very rudimentary theoretical systems had been developed. However, at the human and societal levels the researchers, as humans, have the benefit of inside knowledge. Although we cannot design a machine to produce tolerable poetry, we can write it. That general systems theory lacked concrete content should not surprise us. The theory aimed to discover “universal principles of organization” that apply to systems at all levels, ignoring the concrete components (Heylighen 1998, n.p.). The systems thinkers had to recognize that a “general theory of everything” to replace all the special theories of the various disciplines was not feasible: it would be so general as to be almost without content.

3.6.2 Systems analysis By the time general systems theory appeared, various systems engineering and operations research techniques were already in use to deal with “hard” system problems. These prescriptive methods, better suited to simpler, more readily definable systems, had been found to be inadequate to deal with the “complex messy strategic problems” faced by the military in the Second

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World War, but continued to be used in engineering and business. Later soft systems analysis was introduced to deal with less structured problems (Reis Graeml et al. 2004). One of the prescriptive methods, systems analysis, is well known to librarians and information scientists. Systems analysis has been defined as “an explicit formal inquiry carried out to help someone (referred to as the decision maker) identify a better course of action and make a better decision than he might otherwise have made.”30 As a formal method it was developed in the 1950s by the RAND Corporation as part of a programme to create decision-making tools for U.S. defence purposes. The RAND Corporation itself was an outcome of the role of scientists and engineers in the Second World War. Systems analysis was successfully applied in the development of weapons systems, and national security strategy, but its application in the civilian sphere of social policy analysis and scientific policy making from the 1960s onward was less successful. It had been created in an environment of top-down decision making, and its quantitative and technocratic approach was not a good match for complex social problems (Lal 2001). However, systems analysis was widely used in business management, where GST was promoted by Boulding (1956) among others. In their influential management text Koontz and Weihrich (1990, 16–18, first published in 1974), described “management theory and science as a system,” listing “applied systems theory,” “sociotechnical systems,” and “cooperative social systems” as fields of “systems theory” upon which operational-management theory was based. During the 1950s and 1960s, the poor outcomes of large software development projects led to the growth of software engineering methodologies, including Systems Analysis and Design (SAD), also referred to as the Systems Development Life Cycle (SDLC) (Ramakrishnan 2012). Systems analysis and related technologies were widely used in library automation and related tasks in the 1950s and 1960s. Indeed, systems concepts were soon adopted in librarianship, as can be seen in the literature of library management and in librarianship and information services more generally (e.g. Vickery 1973; Buckland 1988), where the word ‘system’ and implicit thinking in terms of systems became and remain ubiquitous. An example of the use of systems concepts in librarianship is found in the

30 “Systems analysis,” PRINCIPIA CYBERNETICA WEB; http://pespmc1.vub.ac.be/asc/sys tem_analy.html, accessed 2018-04-06.

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venerable library management text, Lyle’s Administration of the College Library (Coughlin, Gertzog, and Lyle 1997), where the following generalizations are made about systems: 1. Systems are composed of interrelated parts and elements; 2. They are not merely the sum of parts, but a totality and should be viewed holistically; 3. Systems are relatively open or closed based on the extent to which they exchange information, energy or material with their environments; 4. They are more or less bounded and separated from their environments; 5. Systems are characterized by inputs and throughputs, as well as by outputs, which in turn provide feedback and appear as future inputs; 6. They are composed of subsystems and are part of suprasystems; 7. Systems generally achieve something. In other words, they are organized for a particular purpose. In comparative librarianship, Foskett (1977, 1979b) adopted an explicit systems approach. Typical examples in our field are the concept of Universal Availability of Publications (Line 1979), UNESCO’s NATIS and UNISIST models (Parker 1985, 219–322), models for surveying national information infrastructure (Parker 1983a), and more recently the development of the Functional Requirements for Bibliographic Records (FRBR) and related models (Bianchini and Guerrini 2009). In Figure 3.8 a library is depicted as a system, using the vocabulary of library systems analysis of the 1970s and 1980s.

Environment

Inputs, e.g. Acquisitions Requests Questions Feedback

A - F: Elements (Subsystems)

Library as a System

A

a – i : relations

a

b c

B

C e

f

d

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g h

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Figure 3.8: A library as a system.

System boundary

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Outputs, e.g. Answers Satisfied requests Discarded material Feedback

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3.6.3 Systemism Over time, the notion of a system evolved, but philosophically, general systems theory went into decline after the 1960s. In the social sciences it was (perhaps unfairly) tarred with the brush of positivism, being associated with the discredited notion that both the natural and the social world can be studied with the same methods and techniques (cf. Mouton 1996, 47). Systems philosophy was also affected by the backlash against behaviourism and modernism that accompanied the cultural revolution of the late 1960s. Politically, systems theory had been associated with top-down social engineering, while the advent of neoliberalism gave rise to new systems doctrines which marginalised systems philosophy. This is not to say that systems concepts were abandoned. Systems concepts remain in many areas of the social sciences, even where the term ‘system’ may be avoided. Various manifestations of systems theory, such as game theory and decision theory, remained, and new theories such as complexity theory, chaos theory and autopoiesis have emerged, in which a number of new principles and concepts have been introduced. Towards the end of the twentieth century a new philosophy of systemism emerged which has important ontological, epistemological and methodological implications (Pickel 2011, 242–45). As conceptualized by its foremost exponent, Mario Bunge (2000, 2004, 2014), systemism positions itself as a more fruitful middle way between holism and methodological individualism (also sometimes referred to as atomism) in the social sciences.31 Holism emphasizes the role of structures and tends to overlook the actions of individuals. Holistic notions such as ‘collective memory’ and ‘national spirit’ are today suspect. In contrast, individualism emphasizes the role of individual actors as effective agents whose agency cannot be explained in terms of social structures alone. However, Bunge asserts that consequently individualists miss one of the most important and intriguing of all kinds of events in society and nature: the emergence of novelty or, more precisely, the emergence of things with systemic properties, that is, properties that their components or their precursors lack. By the same token, they fail to realize the existence of systemic social problems, such as those of poverty and underdevelopment, that cannot be solved by doing one thing at a time, because they affect several systems at once – the biological, economic, cultural, and political ones (Bunge 2000, 148).

Systemism goes beyond holism in analysing wholes into their constituents. It is a “systemic approach, rather than a theory and it is not intended to replace

31 The implications of these three positions for political science theory and political thought are discussed by Choi (2011).

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other theories.” It is rather “a viewpoint or strategy for designing research projects whose aim is to discover some of the features of systems of a particular kind” (Bunge 2004, 191). A corollary of this position is that systemism is not a continuation of general systems theory, and in fact, Bunge (2014, 11) claimed that there was no such thing, He saw systemism as an ontological, epistemological and methodological approach which requires that reality must be studied by “a system of different but inter-related disciplines” (p.10), and which encourages their convergence or fusion. According to Bunge (2000, 149), systems are ubiquitous. This calls for a “systemic worldview,” for which he formulated the following postulates: 1. Everything, whether concrete or abstract, is a system or an actual or potential component of a system; 2. systems have systemic (emergent) features that their components lack, whence 3. all problems should be approached in a systemic rather than in a sectoral fashion; 4. all ideas should be put together into systems (theories); and 5. the testing of anything, whether idea or artifact, assumes the validity of other items, which are taken as benchmarks, at least for the time being.

These postulates imply that every entity, of whatever kind, must be seen, not in isolation, but as a component of a larger system. Bunge (2004, 188) defined a system as follows: A system is a complex object whose parts or components are held together by bonds of some kind. These bonds are logical in the case of a conceptual system, such as a theory; and they are material in the case of a concrete system, such as an atom, cell, immune system, family, or hospital. The collection of all such relations among a system’s constituents is its structure (or organization, or architecture).

A concrete system can be described in terms of four characteristics: its composition (its set of parts or components), environment (the collection of environmental items that act on it), structure (the set of bonds that hold the components together), and mechanism (a set of characteristic processes). Conceptual systems lack mechanisms (p.191). A process is a sequence of states (or a string of events). Some of the processes alter the overall state of the system, while others maintain it (Bunge 2004, 188–91). This is a significant point for comparative studies. It implies that systems can be studied over time – we are not limited to synchronic descriptions.

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3.6.4 Complexity Living systems are open and more complex than inorganic systems. This is especially true of human societies. Groups of humans have characteristics that are not found in individual humans and they behave in ways that cannot be inferred from the behaviour of individuals. Complex systems are studied in the field of complexity theory, an offshoot of systems thinking (S. Chan 2001). Complex systems have many components at different levels, and at different scales, from simple and numerous, to highly complex and sparse. They are organized hierarchically, for example in the sequence: individuals, families, neighbourhoods, cities, and countries. At the higher levels the systems are more complex and they have emergent properties and characteristics. The term ‘emergence‘ is used to refer to the characteristic that complex systems have properties that are not found in their constituent components and behave in ways in which these components individually do not (Ferreira 2001). This is the well-known truism that the whole is greater than the sum of its parts. However, Morin (2014, 15) has pointed out that a system is also less than the sum of its parts because the system imposes constraints on the behaviour of its parts, as can be seen in social systems. Individuals cannot manifest all their potential qualities since society constrains their behaviour. Social systems do not obey the second law of thermodynamics (which implies that the passage of time inevitably leads to disorder and disintegration). Of course, organizations of all kinds are known to decline and fall, but at the same time processes of self-repair and self-organization are at work which produce systems of greater complexity. It is a key characteristic of living systems that they are able to produce and reproduce themselves” (Morin 2014, 16), an ability known as ‘autopoiesis.’ Like all living systems, social systems are dependent on inputs from their environment, but they also enjoy a degree of autonomy that is the result of recursive processes, which are processes in which the product produced by a process is necessary for sustaining it. Morin (p.17) applied this to social systems: A society is the product of interactions between individuals, but the society has emergent properties that are retroactive on the individuals, and hence shape what we become as human beings, so we are both the product and producer of the society. This notion of recursivity is important for all processes of self-production, and significant for understanding complexity at the human level.

3.6.5 Library systems Highly complex systems, such as a library, a school or the scientific community, have several concurrent mechanisms. To illustrate this point, I adapt the

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examples Bunge (2004, 192–96) gave of social systems. Applying these to a library, we can think of the range of mechanisms in action simultaneously in a library: the building and maintenance of a collection, its use, resource discovery, information retrieval, security, staff evaluation, quality control, financial control, management, etc. Some mechanisms, referred to as “nonessential,” are common to many kinds of systems, whereas others are essential to the system. These essential mechanisms are the specific functions of a system, specific in the sense that they are unique to that kind of system. Bunge warned against confusing functions with mechanisms. A function can be carried out by various mechanisms. For example, the promotion of recreational reading is a function carried out by various mechanisms in society, such as book clubs, bookshops, schools, and social media. Furthermore, unlike mechanisms, functions are ambivalent, and mechanisms can serve dysfunctions as well as functions. In a library, the mechanism used to ensure the security of the collection may be dysfunctional to the extent that it inhibits access and use. Mechanisms can be grouped into categories, but Bunge insisted that there are no universal mechanisms; all are “stuff-dependent and system-specific” (p.195). Mechanism should not be confused with scientific laws. In LIS, “Bradford’s law” essentially states that the distribution of journal literature in a given field is skewed: a relatively small number of journals account for a large proportion of the articles in that field, and other articles are scattered through a much larger number of journals (R. E. Rubin 2016, 371–72). This does not by itself describe the mechanisms at work, which might include citation practices, the use of literature from outside the field, peer review, etc., but only their outcome. In international and comparative librarianship, the idea that systems are composed of subsystems and themselves form part of super-systems, can be applied to libraries and related information agencies. Thus, an individual library can be part of a larger library system, such as that of a city, university, state or country. These are not necessarily systems in a legal or administrative sense. A national library system, might consist of components such as libraries and information agencies of various types, establishments for the education and training of library staff, research units, professional organizations, resource-sharing networks and consortia, a national library and information commission or board, a government agency or department supervising libraries, legislation, professional communication media, specialist library suppliers, and so forth. As discussed in Section 2.9, social scientists have some reservations about using nations or countries as the default ‘containers’ for studying social phenomena. However, given that most libraries are funded by governments or government-funded agencies, and are often regulated by them, libraries within the same political jurisdiction mostly depend on the same infrastructure and have common characteristics. This is true of

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jurisdictions at the various levels. Here, for purposes of discussion, national library systems are taken as the point of departure. Some components of a hypothetical national system are depicted in Figure 3.9. The dashed and dotted lines within the system boundary respectively suggest the structure of the system (the set of bonds that hold the components together, for example by means of legal and contractual relationships), and mechanisms, such as training of staff, professional communication, and coordination through which the components interact.

Environment Bonds (Structure) Library

System boundary Library

Network

LIS School

Components

Association

Library

National Board

Mechanisms (Processes) Library

Library

Figure 3.9: The library system of a country.

It may be objected that in the library situation of many countries the orderliness and efficiency suggested by the word ‘system’ is not attained in reality. The LIS school may not be producing graduates at the levels and with the skills required by the various types of libraries. The school may be at loggerheads with the library association, or there may be several library associations, which communicate poorly and try to pull the system in different directions. The national network may be dominated by a small clique of major libraries, leaving other libraries poorly served. As a result of such dysfunction, the library systems of most countries function less than optimally. Often this is due to history. The use of the word ‘system’ does not necessarily imply deliberately created structures. A system takes shape and gets structured as a result of historical evolution, often more a question of drift, random events, contextual factors, struggle and competition between entities and individuals with differing ideas,

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than a design. As we have seen, complex social systems are characterized by self-repair and self-organization. This implies that the components of a national library system can develop and adapt in response to changes in the environment. However, not all components can adapt at the same rate. At any point in time, considered in a synchronic perspective, parts of the system will be dysfunctional. This can only be understood if the development of the system is considered over time – in a diachronic perspective. In international and comparative librarianship both perspectives are needed. In open systems, a given component or subsystem may be part of more than one larger system. For example, the LIS School is part of the country’s library system, but also of its higher education system, which in turn is part of the country’s education system. Individual libraries may be part of city, provincial, state, school, government, university or corporate systems. Research and corporate libraries are part of the national system of research, development and innovation, and so forth. Similarly, the library system of a country, or subsets of it, forms part of, and interacts with, other national systems, such as those already mentioned (education and research, development and innovation), the book industries, heritage, government, information and media. This is depicted in Figure 3.10.

Education system

Culture, Language & Heritage system

LIS R&D and Innovation system

Book and media industries

system

ICT system

Figure 3.10: Interaction and overlap of LIS system with other national systems.

The implication is that the libraries and library system of a country should not be studied in isolation from the major systems in which they are imbricated. This also applies to international library activities. For example, donations of books to poorly-stocked libraries in developing countries could have negative effects on the recipient country’s book industry (by reducing demand for locally

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produced publications), its language and culture (through dominance of European languages and Western ideas), and its education system (through the introduction of materials that are not aligned to local curricula). These issues will be dealt with at length in later chapters. Here it remains to point out the implications of the systems approach for comparative studies and studies of international relations in LIS.

3.6.6 The international dimension International LIS relations may be conducted at the national level, country-tocountry, at the institutional level or at the level of individual librarians and information workers. Some happen more or less spontaneously; others are part of formal programs. Some are reciprocal in nature, others are mainly one-way. Figure 3.11, which builds on Figure 3.9, illustrates a variety of international LIS relations, such as the themes mentioned in Section 2.6. Several of these are dealt with in later chapters. Figure 3.11 is intended to emphasize that relations between LIS institutions, activities and other phenomena in different countries have to take into account the respective national systems. These may be configured quite differently and in different countries the interaction and overlap of the LIS system with other national systems (as depicted in Figure 3.10) may be significantly different. For example, in one country all libraries may fall under the oversight of a single ministry, while in another there may be multiple library authorities. Significant influence may be exercised by government agencies on the periphery of the LIS system, such as official aid agencies and nongovernmental organizations. The structural differences between the national LIS systems affect comparisons of LIS institutions, activities and other phenomena in different countries. These are dealt with in more detail in later chapters.

3.6.7 Infrastructure The concept of ‘infrastructure,’ originally from engineering and economics and not a central concept in systemism, deserves to be mentioned here. As the prefix ‘infra’ suggests, in economics the term refers to the underlying foundations, often physical, that are essential to the functioning of an economy. According to the Merriam-Webster dictionary, the term is also used for military installations and as a collective noun for physical structures such as roads, railways and harbours. As ‘information infrastructure’ the term occurs frequently in the

National Board Library

Figure 3.11: Relations between systems in two countries.

Library

Library

LIS school

in

ng

traini

edge

cts

Inter-library

loan

Library

Country B

Library

Network

Network Library

Library

Aid agency

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knowl

Joint proje

nous Indige

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ra Brain d

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xcha Staff e

nges

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ial in Colon

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literature of international librarianship. Used by Rayward (2012) to refer to systems of bibliographic control originating several centuries ago, the term ‘information infrastructure’ (sometimes ‘infostructure’32) is mostly used in the context of national and global information policies, with emphasis on the use of information and communications technologies. Hence such metaphors as, constructing “information superhighways,” and (often with political-economic overtones) ‘bridging the digital divide’ (e.g. Borgman 1996; Holmner and Britz 2011; Kahin and Wilson 1996; Subramanian and Katz 2011). The term came into prominence following a report by a U.S. federal Information Infrastructure Task Force, which described the U.S. national information infrastructure as “. . . a seamless web of communications networks, computers, databases, and consumer electronics that will put vast amounts of information at users’ fingertips” (cited in Greer, Grover, and Fowler 2007, 97). Greer, Grover and Fowler pointed out that the information infrastructure is not limited to the internet and technological components, and defined it as follows: The information infrastructure is a global network of people, organizations, agencies, policies, processes, and technologies organized in a loosely coordinated system to enhance the creation, production, dissemination, organization, storage, retrieval, and preservation of information and knowledge for people. The primary objective of this network is the diffusion of knowledge for a society (Greer, Grover, and Fowler 2007, 98).

Here the systems concept appears in the configuration of a network, which departs from the more linear concept of a conduit and implies multidirectional, more flexible relationships. In international studies, it is useful to consider the infrastructure supporting libraries, as well as the role of libraries as part of the infrastructure for education, scholarship, etc. Richard Rubin’s (2004; 2016) use of the term ‘infrastructure’ was referred to earlier in Section 3.5.

3.7 Ecosystems and the LIS environment The idea that every entity is a system that can be analysed into component systems and itself form part of larger systems is one that is familiar to biologists, who refer to large, complex natural systems as ‘ecosystems,’ a word first coined in 1935.

32 “Infostructure” is defined in the Oxford English dictionary as usually referring to “the information technology infrastructure, comprised of hardware, networks, applications, etc., used by a society, business, or other group. . .”

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3.7.1 Ecosystems The Oxford English Dictionary defines an ecosystem as “a biological system composed of all the organisms found in a particular physical environment, interacting with it and with each other.” The word is also used in extended sense as a “complex system” resembling an ecosystem. In biology the term ‘ecosystem’ refers to a system of interacting living and non-living components that are linked through various processes such as the flows or cycles of energy, nutrients, carbon, etc.33 The idea of applying this to systems created by humans is appealing, especially if information is included among the resources that are exchanged in an ecosystem. Mars, Bronstein and Lusch (2012) have thoughtfully discussed the metaphorical use of the ecosystems concept, defining both biological and organizational ecosystems, identifying significant differences between them and pointing out a number of “false parallels” which must be taken into account when the organizational ecosystem metaphor is used. In LIS and related fields, the concepts of biological cycles and chains appear frequently, mostly implicitly rather than explicitly. An example of the implicit use of this metaphor is the “book chain,” as utilized by Rosi (2005) in UNESCO guidelines for book donations, illustrated in Figure 3.12.

CREATION Authors, translators, illustrators, etc.

READING Readers (children, students, etc.)

DISTRIBUTION Booksellers Libraries, etc.

PUBLICATION Editors Publishing staff

PRODUCTION Printers, binders, etc.

Figure 3.12: The “book chain” (adapted from Rosi 2005, 12).

33 Wikipedia, “Ecosystem,” https://en.wikipedia.org/wiki/Ecosystem, accessed 2018-04-21.

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The book chain concept emphasizes the interactions among systems and the cyclical nature of the relationships. Many cyclical models are found in discussions of scholarly research and publication.34 An interesting example of the use of the ecosystem concept is found in the South African LIS transformation charter (South Africa 2014), where an ecosystem is defined as follows: A concept from biology, it comprises, in this context, all the LIS institutions operating in South Africa at this point in time, all the relationships between them, all the features of politics, economics, and culture that affect them and the history of the country as well (South Africa 2014, 20).

This document was the outcome of a lengthy consultative process which aimed at the transformation of LIS in South Africa in order to bring about a more equitable and efficient system aligned with the post-apartheid dispensation. The authors drew on the soft systems approach, referred to earlier, and used the ecosystem concept for normative purposes, i.e. to describe the system as it should be (G. Hart and Nassimbeni 2016). The language used in the document to motivate this is instructive: [‘Ecosystem’ is] a term that captures diversity and complexity, and the idea of interaction between the system (or organism in ecological terms) and its environment. An ecosystem is one in which the sub-systems are inter-linked and interdependent, where there is continuous co-evolution, where change is systemic and where complementarity encourages niches for different roles and functions. . . The ecosystem perspective enables us to view the structure, functions, and operations of library and information institutions as an ecosystem that evolves within an environment defined by physical, cultural, social, economic, and political conditions to produce certain outcomes (South Africa 2014, 36).

In these passages a number of biological concepts are used: ‘organism,’ ‘ecology,’ ‘environment,’ ‘niche,’ and ‘evolution’; elsewhere in the text ‘health’ and ‘growth’ occur too. The reference to growth is reminiscent of Ranganathan’s (1931) Fifth Law, “The library is a growing organism.” Growth (demographic, economic, technological, informational, etc.) is a pervasive concept. In their immediate environment, librarians see “explosive” growth in the World-Wide Web and

34 See for example the “research lifecycle” of Ideas – Partners – Proposal writing – Research Process – Publication as set out, for example, in the United Kingdom by JISC (formerly the Joint Information Systems Committee), at http://www.webarchive.org.uk/wayback/archive/ 20140615113149/http://www.jisc.ac.uk/whatwedo/campaigns/res3/jischelp.aspx, accessed 2018-04-21.

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social media. In spite of calls for “zero-growth” and “steady-state libraries” (e.g. Steele 2001; Savage 1987), library collections grow relentlessly. Evolutionary concepts are also widely used in the literature of LIS: it is said that libraries have to evolve and compete in the rapidly changing information environment if they are to survive. These are powerful concepts, rarely questioned, but they are not without neoliberal and deterministic baggage. As was mentioned in Chapter 2, there remains a widespread assumption that libraries worldwide will follow the same evolutionary trajectory and come to resemble one another more and more. We should bear in mind the caveat offered by Mars, Bronstein and Lusch (2012, 278): The ecosystem metaphor is a useful tool for understanding and predicting the conditions that shape and influence organizational systems. However, its appeal to business leaders has in large part been based on one central misguided assumption: that biological ecosystems are both communal (supported by individual commitments to the greater good) and stable.

3.7.2 Environmental factors Systems function within environments, with which they interact through system boundaries, drawing resources from the environment and returning materials and energy – in the case of social systems, in the form of products, information and services. Environmental scanning for the identification and evaluation of macro-environmental factors constitutes an important element in strategic planning, marketing and other business processes. Such scanning is often undertaken in conjunction with SWOT (strengths, weaknesses, opportunities and threats) analyses, which are more concerned with the internal situation and immediate business environment of the organization. Various sets of environmental factors have been identified, giving rise to mnemonics such as PEST, which stands for political, economic, social and technological factors. The PEST concept dates from the 1950s and it has been applied alongside SWOT to change management in libraries and information systems (e.g. Atkinson 2003; Andoh-Baidoo, Babb, and Agyepong 2012), being mentioned in LIS management texts such as Moran, Stueart and Morner (2013). It has been applied in international LIS, for example in studies of information ethics issues in Africa (Ocholla et al. 2013) and information resource sharing (Goldner and Birch 2012). As the use of this technique spread, additional factors such as legal and environmental factors, were added, giving rise to a veritable alphabet soup of mnemonics, such as STEPE, SLEPT, PESTLE (Chartered Institute of Personnel and Development 2017) and

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SPELIT (Schmieder-Ramirez and Mallette 2015).35 To create STEPE, ecological factors were added. J.V. Richardson has applied STEPE in studies of library education in the Russian Federation (Richardson 2003) and the information economy of Turkmenistan (Richardson 2013). Clearly, a sound understanding of the complex environments in which libraries operate, is a prerequisite for insightful studies of LIS in other countries and for comparative studies. Early contributions to the methodology of comparative librarianship provided lists of such environmental factors. A list of “background knowledge of the country” was included in an “outline for the study of a foreign library system” compiled by Collings in 1956 for her course at Columbia University (referred to in Section 2.3) and reprinted as an appendix in the Handbook of comparative librarianship by Simsova and McKee (1970, 400–403). This listed history and political factors, geography and climate, population, the economy, cultural factors, government structure, educational factors and communication (including production of newspapers, books and magazines. It also formed the basis for a checklist by Danton (1973, 161–62). One of the variants of the PEST approach is SPELIT, which stands for social, political, economic, legal, intercultural and technological environments. It has been applied in market analysis, benchmarking and change management and has been introduced into higher education curricula as a methodology for understanding the environments of educational institutions (Schmieder-Ramirez and Mallette 2015). The inclusion of intercultural and legal factors suggests that it would be more appropriate for international and comparative librarianship than the unexpanded PEST factors. As part of this methodology, additional environments that are of particular relevance to the systems being analysed, e.g. educational, ethical, historical, and religious, can be added to supplement or replace those listed here (Schmieder-Ramirez and Mallette 2015, 293). The following list summarizes the environmental factors that are listed in the above works or occur elsewhere in the literature36: – Geography: location (region, location in relation to trading partners, etc.), size, terrain/topography, climate, natural resources, population density and distribution, distances between centres of population – Demography: population size, growth, age profile

35 More are mentioned in Wikipedia, “PEST analysis,” Wikipedia, https://en.wikipedia.org/ wiki/PEST_analysis, accessed 2018-04-21. 36 E.g. Greer, Grover and Fowler (2007, chap. 4)

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– Languages: number and status of languages: dominant language, international usage of national language(s), scripts, written and unwritten minority languages; policies to protect and promote minority languages – Culture: multiple cultures, dominant cultures, policies to promote multiculturalism, policies on tangible and intangible cultural heritage – Economics: resource-based, dependent on fluctuations in world commodity markets, mixed economy, service economy, large or small economy; respective roles of public and private sectors, state regulation and control, distribution of wealth, corporate and private philanthropy – Political system: unitary or federal state; democratic, autocratic, single party, multi-party, pluralism; policies on minorities; freedom of expression – Legal system: constitutional responsibilities in respect of LIS, LIS legislation – Information policy: copyright, freedom of access to information and freedom of expression, censorship, privacy; policies on public and private ownership of information infrastructure and media – Public administration: centralized or decentralized; efficiency, corruption/ transparency, capacity of local government – Fiscal policies and regulations: tax system, exchange control, tariffs on imports; decision-making authority and accountability in publicly funded institutions (e.g. in some countries librarians are held personally liable for any losses from the collections they manage) – Transport and communications infrastructure: roads, railroads, harbours, airports, postal services – Information and communications infrastructure: capacity, innovation, ownership and control, cost, affordability, reach (teledensity, access to internet) – Education system and educational philosophy: universal education, minimum school-leaving age; educational philosophy and practice: rote learning, resource-based, outcomes-based; degree of centralization of education system; degree of university autonomy – Research and development, innovation, research bodies and infrastructure – Literacy: literacy level, in which languages, literacy promotion programmes – Book industries: authorship, writing in local languages, publishing, bookselling and other forms of distribution, readership, reading culture – Media: newspapers, magazines, radio, television, social media; pluralism in media ownership and control These are listed roughly in an order of increasing immediacy to LIS. However, it might also make sense to place the factors roughly in the inverse order, placing the physical factors such as geography and demographics at the bottom as being

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the most fundamental potential determinants of a national LIS system, forming the basis on which the other factors rest, with educational system, research and development, book industries, and media at the top as the superstructure.

3.7.3 Variation within countries Within a country there may be significant subnational differences in respect of one or more of the factors mentioned above. A region may be closer to or more distant from the capital or from the country’s economic hub, sparsely or densely populated, be richer or poorer in natural resources, be inhabited by minorities speaking different languages, and, in a federal state, there may be significant differences in education and LIS policies and funding. Furthermore, each individual library functions within a given community and institutional context. Few libraries are autonomous institutions. Most form part of larger entities such as municipalities, educational institutions, research bodies, government departments or corporations. Each therefore has to function within the legislation applying to its controlling entity, its fiscal and administrative policies, and its organization culture. Within this framework each library has a specific community or communities to serve, which will have particular demographic, socio-economic, cultural, language, educational, and other attributes. The match between the library’s institutional framework and the communities it serves may be good, not so good, or poor.

3.7.4 The international and global environment At the time Collins drew up her checklists of environmental factors (Simsova and MacKee 1970, 400–403), the international and global environment may not have been as influential as it is today. They mentioned foreign study and international assistance and cooperation, but no mention was made of international or global environmental factors other than foreign study. Danton (1973, 165–66) added a more substantial section for “international library co-operation and support” but this did not extend to foreign or global factors more generally. Here I use the word ‘international’ to refer to factors operating among nations, for example, the Bologna process in the European Union, library relations between the USA and its immediate neighbours, those between Australia and New Zealand, and those within the Southern African Development Community (SADC). Trade relations, former colonial relations, and historical bonds of language and culture play a part here.

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I use the term ‘global’ to refer to pervasive, worldwide, boundary-crossing, factors, as referred to in Section 1.9 and Sections 2.9–2.10. These factors interact in complex ways, as depicted in Figure 3.13.

Global influences: global politics – economics – resources – power shifts – security – environment – ICTs – globalization – commodification – dematerialization, etc. Education, scholarly research, communication, databases, publishing, IPRs, information commons, ethics, etc.

Intergovernmental organizations (UNESCO, WHO, FAO, WIPO, WTO…)

International nongovernmental organizations, foundations, charities…

Country B

Country C Country A

Figure 3.13: A network of global factors.

Figure 3.13 suggests that, at the global level, there is a chain of interwoven factors that influence the library systems of individual countries. At the highest level (the cloud at top right in Figure 3.13) there are issues of global politics and economics: the regional and global deployment and exercise of political influence and military and economic power, shifts in power relationships over time, migration, competition for resources such as petroleum and fresh water, food

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security, the combating of terrorism, nuclear proliferation, and global warming. Technological innovations can shift the economic and political balance: for example, genetically modified crops, solar energy, and the extraction of oil from very deep off-shore wells or from shale. In our context attention is focused very much on the impact of the rapid development of information and communication technologies (ICTs). Modern ICTs make it possible for banks in the USA or Western Europe to contract out call centres to companies in developing countries, such as India, with concomitant shifts in employment opportunities and demands on the national education systems. The ICT infrastructure allows scientists in several countries across the globe to cooperate in complex research projects. The global trends at the highest level give rise to what we might call second order global effects of more direct consequence for librarianship and information work. These are suggested by the cloud on the left of Figure 3.13, and include trends in education, scholarly research and communication, as well as in cultural expression and mass media. Here intellectual property rights are a significant factor, along with other ethical and political-economic issues affecting access to knowledge and what is seen as the ‘enclosure of the information commons,’ which gives rise inter alia to resistance in the form of the A2K (access to knowledge) and open access movements. On the global stage, there is a large and diverse cast of players. At the national level they include national governments, some of which have influential aid and cultural diplomacy agencies, as referred to in Section 1.8, as well as associations, charities, foundations, and corporations. Internationally there are regional groupings of various kinds, multinational corporations, commodity cartels, and two types of organizations that are of particular interest in our context: intergovernmental organizations and international non-governmental organizations, both of which play roles in transmitting and mediating the above global influences. Intergovernmental organizations, depicted below the right-hand cloud in Figure 3.13, include the United Nations and its “family” of organizations linked to it in various ways, such as UNESCO; the World Bank and the International Monetary Fund; and regional bodies such as the African Union. Some of these are more directly relevant to librarianship and information work than others. Examples are UNESCO and the World Intellectual Property Organization (WIPO). As indicated in Section 1.8, UNESCO has played a very significant role in international LIS development. WIPO exercises a significant influence on the laws and treaties which govern intellectual property; incorporated into national laws and regulations these have a direct impact on the work of librarians and information workers world-wide. Intergovernmental organizations are discussed in Section 7.7.

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International non-governmental organizations (INGOs) form part of what is known as “civil society,’ depicted below the left-hand cloud in Figure 3.13. In recent years, civil society organizations have greatly increased their influence in international relations, particularly in the context of international summit conferences organized by the United Nations and its related organizations, such as the World Summit on the Information Society (WSIS) and the many international meetings concerned with the Millennium Development Goals and their successor goals (the Sustainable Development Goals). INGOs are dealt with in Section 7.4.

3.8 Culture In the preceding sections, culture has been mentioned repeatedly. Libraries have been referred to as agencies or institutions that are involved in transmitting the cultural record, and although culture does not feature in PEST and the associated formulae other than SPELIT (which is limited to intercultural factors), ‘culture’ was included among the many environmental factors listed in Section 3.7. In this section, which serves as background to several later chapters, I look more closely at the cultural framework of LIS.

3.8.1 Dimensions of culture The word ‘culture‘ has many meanings. In the context of international studies, it is worth noting that superficially similar words such English ‘culture,’ French culture, Italian and Spanish cultura, and German Kultur are not exact equivalents. In all languages they have multiple meanings. In French and Italian one of the most common meanings of culture/cultura is concerned with an individual’s general forming or education (which in German is expressed by Bildung), whereas in English the word ‘culture’ is more commonly used to refer to collective phenomena. In addition, national schools or traditions of anthropology, sociology and history have different understandings of culture, and these evolve over time. It is not possible to deal with these differences here. The discussion that follows is limited to the concept of culture as it is understood in the English-speaking world – and that necessarily superficially. Here, in popular parlance the word is associated with what may be called ‘high culture,’ referring to art, literature, music, theatre and associated events and institutions that are pitched at an elite audience (cf. Benge 1970). In South Africa, which prides itself on being a ‘multicultural’ society, the word is used to refer to the traditions, customs, patterns of behaviour, beliefs and values of

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particular ethnic groups, often with political overtones of resistance to Eurocentric practices perpetuated by the white minority. One may hear, “You may do it this way, but in my culture we. . ..” In management, we encounter the term ‘corporate culture’ or ‘organizational culture.’ Culture is “probably the single most central concept in twentieth-century anthropology” (Barnard and Spencer 1996, 136). That does not mean that anthropologists are agreed on what it is or whether it should hold this central position (Kuper 1999, 5–20). In 1878 one of the founding fathers of anthropology, Edward B. Tylor, proposed the following definition of culture: Culture, or civilization, taken in its broad, ethnographic sense, is that complex whole which includes knowledge, belief, art, morals, law, custom, and any other capabilities and habits acquired by man as a member of society (Tylor 1871, 1).

Whereas Tylor’s definition encompassed the full spectrum of human activity, other anthropologists have emphasized particular aspects. Ecological anthropologists – at least initially – saw culture as a tool by which human populations maintain themselves within an ecosystem (Kottak 1999). Cognitive anthropologists on the other hand, adopt a cognitive definition of culture which emphasizes the relation between human society and human thought (D’Andrade 1995, 1). In an attempt to find common ground in the 162 definitions of culture then current in the anthropological literature, Kroeber and Kluckhohn (1952, 181) constructed the following widely accepted definition of culture: Culture consists of patterns, explicit and implicit, of and for behavior acquired and transmitted by symbols, constituting the distinctive achievement of human groups, including their embodiment in artifacts; the essential core of culture consists of traditional (i.e., historically derived and selected) ideas and especially their attached values; culture systems may, on the one hand, be considered as products of action, on the other, as conditioning elements of future action.

It should be noted too that the study of culture is not the sole prerogative of anthropologists. Since culture and society are interwoven, sociologists also study culture, as do historians, philosophers and management theorists. In management, the term ‘corporate culture‘ or ‘organizational culture’ refers to the beliefs, values, dress code, manners, ways of communicating, decision making etc. held in common by the members of an organization. In their well-known text on LIS management, Stueart and Moran (2007, 148) followed Schein (Schein 1990, 111) in defining organizational culture more theoretically as “the assumptions that a group discovers as it learns to cope with problems of external adaptation and internal integration.” This definition reflects a cognitive approach to culture which

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emphasizes communication and meaning. A cognitive approach is also reflected in the work of management theorists who are interested in how the cultures of other societies affect ways of doing business, running operations or managing subsidiaries in other countries (Adler 1997). Adler discussed the cultural orientation of a society as reflecting “the complex interaction of values, attitudes and behaviors displayed by its members” (1997, 15). Values reflect general beliefs, whether consciously or unconsciously held, about what is desirable. Attitudes express values and predispose people to act in particular ways (behaviour). In this context the work of Geert Hofstede, a Dutch social psychologist and organizational anthropologist, has been influential in developing the study of basic dimensions of ‘national cultures’. He has popularized the notion of culture as “software of the mind” (Hofstede 1991) or “mental programming” (Hofstede, Hofstede, and Minkov 2010, 4), defining culture as “patterns of thinking, feeling and acting” (p.5) and as “the collective programming of the mind that distinguishes the members of one group or category of people from others” (p.6). On the basis of large-scale empirical studies into value differences among nations, Hofstede developed a model of the dimensions of national cultures. The model deserves mention here because it has been used as a framework for comparative studies in LIS (e.g. S. McCoy, Galletta, and King 2007; Dalbello 2008; H.J. Chang 2011). Initially Hofstede identified four dimensions: power distance (from small to large), collectivism versus individualism, femininity versus masculinity, and uncertainty avoidance. A fifth dimension, long-term versus short-term orientation, was added subsequently as a consequence of a largescale value survey in China, and a sixth, indulgence versus restraint, followed in 2010 (Hofstede, Hofstede, and Minkov 2010, chaps 3–8). Each of the dimensions can be visualized as a scale and national cultures can be characterized by plotting them at the relevant positions on each of the scales. For example, on the scale of long-term versus short-term orientation, the USA is towards the shortterm end and China near the long-term end. Although Hofstede’s model has been harshly criticized, notably by McSweeney (2002), it continues to be widely discussed and applied, particularly in applied social science disciplines (e.g. D. Williamson 2002; Venaik and Brewer 2013; Eringa et al. 2015). Hofstede and colleagues identified four manifestations of culture: values, rituals, heroes, and symbols, using the image of an onion to convey the notion that these occur in different layers. Of these, ‘values’ are at the deepest, most fundamental level and not readily observable. ‘Rituals,’ one layer above values, are activities such as ceremonies and forms of discourse which do not serve practical purposes but are carried out because they are thought to be socially essential. Then follow ‘heroes’ (actual or imaginary persons possessing highly prized characteristics), and ‘symbols’ (e.g. language, jargon, dress and status

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symbols), at the successively more superficial and observable levels. Rituals, heroes and symbols are subsumed under ‘practices.’ Practices are outwardly visible, but their cultural meaning may not be accessible to outsiders (Hofstede, Hofstede, and Minkov 2010, 7–9). While useful in a practical sense, these uses of the word ‘culture’ hold a troubling potential for the concept of culture to be used in an instrumental manner, and even as a means of exercising control of subjugated societies. There is a fine line between, on the one hand, a search for understanding other cultures, and on the other, the pigeon-holing and stereotyping of groups and individuals. During the apartheid period, South African whites were fed accounts of African cultures which tended to reinforce racial prejudice, while cultural anthropologists aligned to the ruling party conducted research on kinship structures, land tenure and chieftainships, the results of which were used to bolster the ‘Bantu homelands’ policy (cf. Kuper 1999, xii–xiv). Such an approach to culture, which “sees cultures as distinct, bounded, and incommensurable entities with controlling power over individuals and groups,” emphasizes boundaries between groups, and denies their potential for change and transformation, has been labelled ‘culturalism’ (Hoffmann 1999, 465). It is thus not surprising that culture is the subject of controversy. Starting in the 1980s, the concept of culture has come in for much criticism, especially from postmodernist social scientists and members of indigenous groups. It is also a highly politicized and contested concept in the context of civil rights and the status of minorities (O. Patterson 2000) and development (Haynes 2008, 168–71). “Cultural” explanations of social and development problems have given the concept a bad name (O. Patterson 2000, 204). Some anthropologists have proposed to do away with the term (Borofsky et al. 2001), which in the meantime had become popular in other fields, for example in comparative education (Hoffmann 1999). Although culture is a contested concept, interest in culture as a factor in such fields as economic development, modernization, political development, and international relations revived in the 1990s following a period during which economic and political theory had dominated the discussion. This turn toward culture was not without controversy. Huntington37 (2000, xiv) referred to a “battle” that had been joined between scholars

37 Samuel P. Huntington, a political scientist, is the author of the book The Clash of Civilizations and the Remaking of World Order (1996) in which he stated his belief that in the new post-Cold War world order the primary source of conflict would no longer be ideological but cultural. This is a controversial hypothesis which has been widely criticized. Huntington is considered to be a ‘hardliner’ in respect of relationships between the West and Islam.

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who see culture as a major, but not the only, influence on social, political and economic behavior and those who adhere to universal explanations, such as devotees of material self-interest among economists, of “rational choice” among political scientists, and of neorealism among scholars of international relations.

Both sides of the debate seem to take very strong positions, as is demonstrated in one of the areas under discussion, that of cultural relativism.

3.8.2 Cultural relativism Much as the meanings of cultural practices may be found quaint and may be misunderstood by people who do not share that culture, so the underlying values held by one culture may appear incomprehensible or even objectionable to outsiders. Each culture tends to consider its values and practices to be ‘normal’ and, more or less subtly, as superior to other cultures. Until the rise of cultural anthropology westerners (and for that matter, members of other literate cultures such as Chinese and Japanese) had no inhibitions in labelling members of other cultures as primitive or barbaric. Christian missionaries set out not only to convert the ‘heathen’ but also to root out slavery, polygamy, ‘witchcraft’ and ‘superstition,’ and to induce the ‘natives’ to clothe themselves ‘decently.’ Anthropologists have a strong tradition of rejecting the evaluation of the practices and values of other societies. This stance is known as ‘cultural relativism.’ We need to distinguish two meanings of cultural relativism: Methodologically, cultural relativism means that while the anthropologist is in the field, he or she temporarily suspends (“brackets”) their own esthetic and moral judgements. The aim is to obtain a certain degree of “understanding” or “empathy” with the foreign norms and tastes. Morally and politically, cultural relativism means that we respect other cultures and treat them as “as good as” one’s own (‘Online Dictionary of Anthropology’ n.d.)

A related stance is epistemological relativism, which, in its extreme form, holds that people in different cultures “live in different, equally ‘true’ cognitive worlds” (Whitaker 1996, 480–81). This would make it impossible to compare cultures. However, it is the ethical dimension of cultural relativism which is most hotly contested, the notion that it is unfair to make cross-cultural ethical judgements because “moral values are the product of each culture’s unique developmental history, and can, thus, only be judged in relation to that history” (Whitaker 1996, 479). While it behoves westerners to demonstrate respect for other cultures, this can be taken to extremes of political correctness. I have heard it seriously

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argued in a scholarly conference that the practice of Namibian tribesmen of raiding rural school dormitories for the purpose of abducting girls as brides is justified as a traditional cultural practice. Analogous arguments may be advanced in favour of female genital mutilation and other practices that appear abhorrent to outsiders. The general trend of such arguments, according to L. Harrison (2000, xxv), who is a critic of cultural relativism, is that traditional societies are essentially harmonious and that such practices would not occur if they did not have adaptive value, that is, if they did not help to maintain the harmony of the society. Similarly, in the political sphere it may be argued that heavy-handed censorship and extreme repression are justified as being aligned with the authoritarian or patriarchal culture of the relevant society, or they may be attributed to the contamination of the original culture by westerners. While conceding that cultural relativism has been a valuable corrective to Eurocentric assumptions of superiority, with non-Europeans in former times being referred to as the “lower races,” Bradshaw (2002, 146) labelled cultural relativism as a “half-truth”: The truthful half is the recognition that all cultures have worth, and no single culture can be esteemed as the standard against which other cultures are compared or valued. The false half is the implication that, since no single culture is absolute, there are no absolutes.

Objections to cultural relativism have not only come from a religious and ethical perspective (Bradshaw was employed by WorldVision, a Christian charity), but also from political scientists. An example is the book edited by L. Harrison and Huntington (2000). It includes a scathing critique by Edgerton (2000), who wrote: Humans in various societies, whether urban or folk, are capable of empathy, kindness, even love, and they can sometimes achieve outstanding mastery of the challenges posed by their environments. But they are also capable of maintaining beliefs, values and social institutions that result in senseless cruelty, needless suffering, and monumental folly in their relations among themselves as well as with other societies and the physical environment in which they live (p.131).

On both sides, there is a tendency to base criticism on caricatures of the other’s position. In a spirited response in the same volume, Shweder (2000), while avoiding the term ‘cultural relativism,’ related the debate to notions of development. He criticized the stance of those who take the position that “culture matters,” calling it ‘cultural developmentalism,’ which he described with heavy irony as holding that

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some cultures are impoverished or backward, whereas others are enriched or advanced. It means that there are good things in life (e.g. health, domestic tranquillity, justice, material prosperity, hedonistic self-stimulation and small families) that all human beings ought to want and have but that their culture keeps them from wanting and/or having. (p.160)

Shweder tried to sketch out a middle way between what he called the ‘radical relativists’ who take cultural relativism to extremes and the ‘uniformitarian universalists’ who see only one right way to progress for all societies. His preference is for ‘cultural pluralism’ (p.164), which accepts that there are universally binding values, but that these values are so numerous and diverse that they cannot be reduced to common denominators. Because it is not possible to maximize all of them at the same time, societies have to seek trade-offs, and different societies arrive at different sets of cultural values. In this brief account, it is not possible to do justice to this important and ongoing debate, which is also relevant to the developmental issues that will be discussed in later chapters. It is important to avoid dogmatic assumptions concerning the superiority of one’s own culture and the belief that there is only one route to development and prosperity. An open-minded approach recognizes and appreciates the diversity of cultures and attempts to understand the values that underpin them, without necessarily accepting them. It is also important to remember that culture is not static. Culture should not be seen as a deterministic straight-jacket that imprisons people in their current situations. Brief attention will be paid to cultural change in Chapter 9.

3.9 Libraries and culture How is all this relevant to libraries? Libraries are organizations and what happens in them reflects their organizational cultures, those of their parent bodies, and, less obviously, the community and national cultures of the places where they are located. Richard Rubin (2016, 750) argued that over the centuries libraries have had many missions, shaped by the societies they served. Libraries were deeply embedded in the cultures which created them, developing, changing and declining in response to changes in their cultures. The values and attitudes of societies (which we have seen are manifestations of culture) give shape to their institutions. Whether we consider the library to be an agency or an institution, it is clearly embedded in its national culture. Libraries are products of their cultures. At the same time libraries are agencies responsible for certain tasks in respect of culture. Benge (1970) dealt with this at some length, emphasizing the

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importance of understanding contemporary culture, both ‘high’ and ‘low.’ In a somewhat inconclusive discussion of the specifically cultural role of the library, he touched on ‘cultural recreation’ and the place of both ‘low’ and ‘serious’ reading matter in public libraries. This evokes a still unresolved issue: does the library reflect its community’s culture or form it? Augst (2001, 6) commented that “historically the library has borne the particular weight of defining culture and devising means for its practical administration.” Through their policies and collections, especially major libraries such as national libraries, institutionalize “changing ideals of culture” (Augst 2001, 17). In some countries, libraries are classified as ‘cultural institutions’ since they are seen as having the task of preserving and transmitting ‘culture’ in the form of documentary (and increasingly, oral) heritage. The notion of “heritage” represents a perspective on culture which differs somewhat from that of the anthropologists, with more emphasis on the origin, value, protection, long-term preservation, and exploitation of objects and entities: “Heritage is our legacy from the past, what we live with today, and what we pass on to future generations” (UNESCO. World Heritage Centre 2008, 5). Heritage can be divided into natural and cultural heritage, with cultural heritage being subdivided into tangible heritage (immovable and movable) and intangible heritage. This is diagrammed in Figure 3.14, which is based on definitions from the Convention for the Protection of Cultural Property in the Event of Armed Conflict (Hague Convention 1954), the Convention Concerning the Protection of the World Cultural and Natural Heritage (Paris Convention 1972), and the Convention for the Safeguarding of the Intangible Cultural Heritage (Paris Convention 2003). Heritage

Natural

Cultural

Natural landscapes, features, formations and sites of exceptional natural beauty or that are of scientific, ecological or conservation significance

Tangible

Immovable Buildings, monuments, sites, cultural landscapes, urban ensembles, etc.

Figure 3.14: Categories of heritage.

Intangible Customs, oral traditions, language. music, theatre, festivals, rituals, cuisine, skills, traditional craftmanship, etc.

Movable Books, works of art, archival material, museum artefacts and objects, etc.

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Tangible heritage is often referred to as ‘cultural property,’ which is defined in Article 1 of the Hague Convention of 1954 as: movable or immovable property of great importance to the cultural heritage of every people, such as monuments of architecture, art or history, whether religious or secular; archaeological sites; groups of buildings which, as a whole, are of historical or artistic interest; works of art; manuscripts, books and other objects of artistic, historical or archaeological interest; as well as scientific collections and important collections of books or archives or of reproductions of the property defined above;

Immovable heritage comprises assets such as buildings, monuments, sites, cultural landscapes and urban ensembles. Movable heritage comprises natural objects and artefacts (human-made objects) of all kinds, which can readily be moved (transported, sold, donated, looted or stolen). Artefacts include books, manuscripts, archival records, audio-visual material and other records, which fall within the definition of ‘documentary heritage,’ a term applied to ‘consciously created information carrying artefacts’ (J. Feather 2006, 6). This would include digital as well as analogue material. The Hague Convention places buildings (e.g. libraries, museums and archives) housing culturally significant movable property under protection regardless of the cultural value of the buildings themselves. This is an example of the blurring of boundaries between the categories, which also occurs between natural heritage and immovable cultural heritage and between tangible and intangible heritage. Article 2 of the 2003 Convention for the Safeguarding of the Intangible Cultural Heritage defines intangible heritage as the practices, representations, expressions, knowledge, skills – as well as the instruments, objects, artefacts and cultural spaces associated therewith – that communities, groups and, in some cases, individuals recognize as part of their cultural heritage. This intangible cultural heritage, transmitted from generation to generation, is constantly recreated by communities and groups in response to their environment, their interaction with nature and their history, and provides them with a sense of identity and continuity, thus promoting respect for cultural diversity and human creativity (Art 2(1)).

Article 2(2) includes oral traditions and expressions, including language, performing arts, social practices, rituals and festive events, knowledge and practices concerning nature and the universe and traditional craftsmanship. A library may constitute a cultural institution to the extent that (a) its premises (its building or its position in an urban ensemble) may be counted as significant immovable heritage; (b) it holds collections of objects and/or individual objects that are significant as movable heritage; and (c) it may contribute to the recording or transmission of intangible heritage such as traditional knowledge. Libraries are therefore both products of culture and bearers of culture, with the

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word ‘culture’ here being used in two overlapping senses, culture in the broad, anthropological sense, and culture in the more limited sense implied by ‘heritage.’ Since libraries are thus invested in the preservation and transmission of cultural heritage and themselves embedded in their national cultures, these cultures have to be taken into account in the discussion of topics such as international influences, the international spread of innovations in LIS, colonialism and development, which are dealt with in Part IV of this book. In Section 3.7 culture was listed among the environmental factors to be taken into account in an ecosystems approach to the study of LIS. Traditions are important influences in library development, affecting receptivity to innovation and change, and decision-making styles. M.M. Jackson (1981, xxxi) stated that “familiarity with library tradition and history is essential to an understanding to contemporary library events, as well as landmarks in a nation’s library developments.” It is necessary to point out here that words such as ‘heritage,’ ‘legacy’ and ‘memory’ carry a significant emotional load and imply value judgements. Heritage, legacies and memories are associated with predecessors, ancestors, and parents, with traditions and with the past of nations and communities. They have symbolic value and may be seen as representing the cultural identity and aspirations of communities and nations. Libraries themselves may be seen as ‘cultural icons’ (Rayward and Jenkins 2007, 361–63). Such associations, and not only the material value of what is handed down, influence what is judged worthy of preserving and ‘passing on to future generations.’ Since libraries are often involved as ‘custodians’ of heritage, librarians need to be aware of the ideological questions: who decides, and on what grounds, what is preserved, displayed, digitized and made available to library users? Who decides what constitutes the ‘national memory’? To the extent that national libraries and archives play a role in “developing and embedding a national cultural identity” in a “process of constructing and reconstituting national identity,” their role is highly political (Kahn and Tanner 2014, 111). Those who control memory can wield power in the present and shape the future. Baker (2013, 1–39) has provided a useful overview of the issues relating to cultural heritage and ‘contested history’ in museums, archives and libraries.

3.10 Conclusion This chapter is by no means an exhaustive exploration of the library concept and its various dimensions, or of the various theoretical frameworks in which libraries and information agencies can be considered for purposes of international and comparative research. Other theoretical frameworks such as political

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economy, postcolonial and feminist theories, and institutionalism, come to mind. Some are touched on in later chapters and will be encountered in the literature. The single most important thing to retain here is that libraries are multidimensional, and being embedded in their multiple contexts, can take on many different shapes. This makes international and comparative studies of libraries and related agencies both challenging and fascinating.

Part II: Method

4 Preparing for research: metatheoretical considerations “Go and be somethingological directly.” – Mrs Gradgrind to her children, in Charles Dickens’s ‘Hard Times’ (Dickens [1854] 1996, 56). Paradigm issues are crucial; no inquirer, we maintain, ought to go about the business of inquiry without being clear about just what paradigm informs and guides his or her approach (Guba and Lincoln 1994, 116). There is no denying that what follows is a Cook’s tour of complicated philosophies that demand more detailed attention in their own right. . . (Schwandt 2000, 190).

Outline 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10 4.11 4.12

Introduction 163 Method, methodology and metatheory 164 Metatheory, methodology and methods: the Iceberg Model Metatheoretical dimensions 168 Major research paradigms 169 The sociological dimension 177 The teleological dimension 192 The ontological dimension 200 The epistemological dimension 210 The ethical dimension 217 Evaluation of metatheoretical assumptions 225 Towards methodology 228

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4.1 Introduction Following on the historical and conceptual basis laid in Part I, Part II deals with method, broadly understood as including considerations of metatheory, methodology and methods. It is intended to address the methodological weakness of many comparative and international studies as identified in Chapter 2. In the hope that this will contribute to more thoughtfully considered methodology, an attempt is made here to bring to the surface and clarify methodological issues that are often overlooked. While Part II has grown out of reflection on method in comparative librarianship, most of what is covered here also applies to both research and practice in international

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librarianship. In Part II a tripartite division is followed, a chapter being devoted to each of metatheory, methodology and methods. Extensive use is made here of literature from other comparative fields, especially comparative education, which was a major early influence on comparative librarianship. This chapter1 starts by distinguishing between metatheory, methodology and method, before discussing metatheory in more detail. It concludes with a checklist for the evaluation of the metatheoretical assumptions in comparative and international studies.

4.2 Method, methodology and metatheory Students of Ancient or Koine Greek will know that the preposition μετά (meta), which is embedded in each of these three terms, can express many relationships. Meta can mean, inter alia, ‘in the midst of,’ ‘among,’ ‘after,’ and ‘in pursuit of.’ Combined with ὁδός (hodós, ”way, motion, journey”) it gives ‘method,’ denoting a process or a way of doing something. With –ology’’ added to express the notion of science or discipline, it gives ‘methodology,’ denoting the study of method. In ‘metatheory’ the prefix meta means ‘after,’ ‘beyond,’ or ‘transcending,’ hence in English, theory about or above theory.2 In this book these three terms are used with distinct meanings and are conceived of in a hierarchical relationship.

4.2.1 Methods and methodology Methods, in the plural, is used here to refer to procedures and techniques of research, the contents of the research ‘toolkit,’ such as sampling, interviewing, surveying, observations, data analysis and their associated instruments, such as questionnaires, interview schedules and observation protocols. Typically, a large proportion of research method texts in LIS is devoted to methods. In most research reports the methods used are described and a motivation is provided for their selection. Collectively, methods and methodology may be referred to by the singular, method – which will be avoided here.

1 In this chapter I make extensive use of an article published in Journal of documentation (Lor 2014). 2 The use of meta in ‘metatheory’ is attributed to an erroneous interpretation of ‘metaphysics.’ Online etymology dictionary, https://www.etymonline.com/word/meta-, accessed 2018-09-05.

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Methodology, originally ‘the study of method,’ is now widely used to refer to a set of methods, a description of the methods used in a study, an elaborate method, or simply as a grand word for a method. In this book, I use ‘methodology’ in a more specialized sense to refer to high-level decisions on research approaches, strategy and research design. These decisions are fundamental to the selection of the specific methods to be employed.

4.2.2 Metatheory Of the three terms, metatheory is the least known and it is infrequently mentioned in research articles and reports in our field. It refers to assumptions which underpin researchers’ decisions on methodology and methods for specific projects, assumptions of which they may or may not be aware. Such assumptions do not apply only to research but are also worth bringing to the surface in the context of international activities and relations in LIS. International initiatives that are undertaken without reflection on the assumptions held by the partners, risk unanticipated difficulties. This applies to such activities as library development aid, the education and training of librarians from other countries, and the introduction of new systems and technologies ‘borrowed’ from other countries. Dervin defined metatheory as presuppositions which provide general perspectives or ways of looking, based on assumptions about the nature of reality and human beings (ontology), the nature of knowing (epistemology), the purposes of theory and research (teleology); values and ethics (axiology); and the nature of power (ideology) (Dervin 2003, 136).

A complementary view of metatheory was provided by Hjørland: Metatheories are broader and less specific than theories. They are more or less conscious or unconscious assumptions behind theoretical, empirical and practical work. Metatheoretical assumptions are connected to philosophical views, and are often part of interdisciplinary trends, which again can be connected to the Zeitgeist (Hjørland 1998, 607).

Various terms are used for these high-level theoretical points of departure for research. Here I use ‘metatheory’ as a collective noun, and ‘paradigm‘ for the specific metatheoretical perspectives or worldviews, for example, positivist or constructivist paradigms. For our purposes a paradigm is a more or less coherent set of metatheoretical assumptions ― a worldview ― held by like-minded scholars across a number of disciplines.

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4.3 Metatheory, methodology and methods: the Iceberg Model It is widely thought that there is an order of precedence, or a hierarchical relationship, between methods, methodology and metatheory. As a general principle, researchers should first clarify their metatheoretical assumptions and then consider methodological decisions, before selecting and developing methods. In distinguishing between metatheory, methodology and method, Dervin (2003, 136–37) placed metatheory before methodology and method, so that methodology serves as a bridge between the other two. Similarly, Pickard (2007, xv-xvii) proposed the following “research hierarchy”: – Research paradigm (positivist, interpretivist) – Research methodology (qualitative or quantitative) – Research method (survey, case study, Delphi study, etc.) – Research technique (questionnaire, experiment, interview) – Research instrument (human, pencil & paper, etc.). A somewhat similar scheme is found in Mouton (1996, 36–37), who identified “three levels of the methodological dimension”: research techniques, research methods and methodological paradigms, the latter being related to epistemological and ontological assumptions, whereas the methodological paradigms comprise quantitative, qualitative and participatory action paradigms. Here I follow Dervin’s tripartite division, relating it to Pickard’s and Mouton’s categories as set out in Table 4.1: Table 4.1: Research hierarchy according to Dervin, Pickard and Mouton. Dervin ()

Pickard ()

Mouton ()

Metatheory

Research paradigm

Methodology

Research methodology Research method (or strategy) Research technique Research instrument

Epistemological and ontological assumptions Methodological paradigm Research method Research technique

Method

A floating iceberg can serve as a metaphor for the relative visibility and significance of metatheory, methodology and methods. Because the specific gravity of ice is less than that of water, icebergs float, but approximately 90% of an iceberg is below the water. In Figure 4.1 metatheory, methodology and methods are depicted at different levels of a floating iceberg.

4.3 Metatheory, methodology and methods: the Iceberg Model

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Method Explicit decisions

Methodology

sion dimen

Unexamined assumptions

(Sociological, teleological, ontological, and epistemological, & ethical dimensions)

l Ethica

Metatheory

waterline

Figure 4.1: The “Iceberg Model“ of research assumptions and decisions.

Metatheory corresponds to the submerged part of the iceberg and comprises the less visible dimensions of social science research, which are discussed in this chapter. They are pictured as below the surface since key assumptions concerning where we are coming from as researchers (the sociological dimension of research), what we want to achieve through our research (the teleological dimension), what is an appropriate object for study (the ontological dimension), and how we can come to knowledge of it (the epistemological dimension), are often left unexamined and unchallenged, and they are not often discussed in reports of research. An exception to this generalization is the ethical dimension, which I classify under metatheory. Since the mid-twentieth century, following the exposure of a number of serious ethical violations, it has become standard practice to discuss explicitly ethical issues in research dealing with human beings, hence ethics appears above the “waterline” in this figure. In the much smaller part of the iceberg which is above the waterline, we find those research decisions which are more frequently discussed in reports of research: methodology and methods. Methodology is dealt with in Chapter 5, where it is delimited as being concerned with decisions relating to research strategy (e.g. the choice of quantitative, qualitative or mixed methods approaches and, in comparative research, the strategy or logic of comparison). Decisions on methodology should be taken in light of metatheoretical considerations. Methodological decisions may or may not be dealt with explicitly in the ‘methodology’ sections of research reports. Inspection of the literature shows that in international and comparative librarianship not all methodological decisions are the subject of conscious reflection – or if they are, they are not explicitly reported.

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At the very tip of the iceberg is methods. This refers to the specific procedures and techniques that can be applied in international and comparative studies, but that are not peculiar to them. They form part of the general ‘toolkit’ of LIS research, but for each project they should be selected in light of methodological decisions. In the ‘methodology’ sections of research reports, these decisions receive most attention. If any explicit rationale is provided, researchers generally give an account of the specific procedures and techniques they used. Students writing theses and dissertations spend much time weighing their decisions on procedures and techniques, and in the resulting work a chapter is usually devoted to motivating their selection and to a detailed description of them.

4.4 Metatheoretical dimensions In the preceding section, I mentioned five dimensions of metatheory: the sociological, teleological, ontological, epistemological, and ethical. These are dealt with in more detail in Sections 4.6 to 4.10 of this chapter. A further dimension, the axiological dimension, which is concerned with the theory of value, including values in ethics and aesthetics, will also be encountered in the literature (e.g. Heron and Reason 1997; Chilisa and Kawulich 2012, chap. 4). The notion of dimensions of research and of research paradigms occurs frequently in the literature on social science research. These dimensions may also be referred to as characteristics, stances or positions. In a frequently cited chapter in the first edition of the Handbook of qualitative research, Guba and Lincoln (1994) used ontological, epistemological and methodological “positions” to characterize major paradigms, expanding these to refer also to paradigm positions on aims, values and ethics, the nature of the knowledge generated and how it accumulates, and the ‘voice’ or overt role of scientists (1994, 112–16). This was expanded in a later edition (Guba and Lincoln 2005), giving greater prominence to axiology. In a discussion of domains of knowledge Hjørland and Hartel (2003) discussed the ontological, epistemological and sociological dimensions. Chilisa and Kawulich (2012) used the ontological, epistemological, axiological and methodological dimensions as a framework for characterizing major groups of research paradigm in LIS. The approach used in the sections that follow is derived and adapted from the five ‘dimensions of social science research’ distinguished by Mouton and Marais (1990, 7–20). They identified five dimensions: sociological, ontological, teleological, epistemological and methodological. In a later book, Mouton (1996, chaps 6–9) reduced the number of dimensions he dealt with to four: epistemological, methodological, sociological, and ontological. However, I have found the

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original five dimensions useful as a framework for discussing metatheoretical issues. I have adapted the sequence of the dimensions slightly and added a sixth, the ethical dimension, which Mouton and Marais (1990, 10) subsumed under the sociological dimension. I omit the methodological dimension here and cover it separately, in Chapter 5. The five dimensions are used as a framework for the second half of this chapter (sections 4.6 to 4.10), where they are dealt with one by one. First, however, it is necessary to give a brief general overview of the major research paradigms in the social sciences.

4.5 Major research paradigms Metatheory underpins methodological decisions. Researchers hold various metatheoretical positions, referred to most widely as paradigms. Guba and Lincoln (1994, 105) defined a paradigm as “a basic belief system or worldview that guides the investigator, not only in choices of method but in ontologically and epistemologically fundamental ways.” Paradigms are sets of basic beliefs that deal with first principles. A paradigm “represents a worldview that defines, for its holder, the nature of the ‘world,’ the individual’s place in it, and the range of possible relationships to that world and its parts, as, for example, cosmologies and theologies do.” They are belief systems in the sense that their ultimate truthfulness cannot be established. Authors in the field of LIS do not generally state their research paradigm, but often their paradigm can be inferred from their methodological decisions, their choice of methods, and from their rhetoric. For example, researchers working within the positivist paradigm will tend to adopt quantitative methodologies, use ‘instruments’ to collect data from research ‘subjects,’ refer to their use of data collection instruments as ‘measurement,’ present data using numerous tables and graphs, and test hypotheses using inferential statistics. For more examples, see Chilisa and Kawulich (2012, 59–60). There are many research paradigms. New paradigms are continually evolving and the boundaries between the newer paradigms are fluid (Guba and Lincoln 2005, 191–92). This makes classifying them difficult. In a chapter of the SAGE handbook of qualitative research on the epistemological stances of three strands of qualitative metatheory, Schwandt (2000, 190) apologized for his cursory treatment of “complicated philosophies that demand more detailed attention in their own right,” and for “leaving the philosophicallyminded aghast at the incompleteness of the treatment.” What follows is even more simplified. My aim is to alert and sensitize researchers in international

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and comparative LIS to the diversity of metatheoretical stances relevant to the field. In so doing I necessarily group together a diversity of metatheoretical positions in a manner which is bound to leave the philosophically-minded much more aghast than Schwandt’s chapter. Following the route of extreme simplification, we can make a binary distinction between positivism (possibly including postpositivism) and all the others. Positivism was long the default paradigm of social science research. Since the last quarter of the previous century, this has been changing. Most sermons on sin are preached by those against it. Similarly, most discussions of positivism that readers will encounter in the literature of research methodology, have been written by those who reject it. In their overview of major research paradigms, Guba and Lincoln (2005) distinguished between positivism, postpositivism, critical theory and related paradigms, constructivism, and participatory paradigms. Creswell (2009, 5–11), who used the term ‘philosophical worldview’ to refer to metatheory, described four successors or alternatives to positivism: postpositivism, constructivism, an advocacy/participatory worldview and a pragmatic worldview. Mertens (1998, 7–15) offered a threefold division into positivist/postpositivist, interpretive/constructivist and emancipatory paradigms. In a LIS research method text written from a developing country perspective, Chilisa and Kawulich (2012, chap. 4) grouped together the positivist and postpositivist paradigm, and the constructivist and interpretivist paradigm, and added a transformative/emancipatory paradigm and a postcolonial/ indigenous research paradigm. In a research method text for information studies, Pickard (2013, 5–13) simplified the field by restricting her comparison to three paradigms: positivism, postpositivism, and interpretivism, the latter essentially combining those of critical theory and constructivism. In the brief characterizations that follow, I have adopted Pickard’s analysis, using her work and Guba and Lincoln (2005) as my main sources. This mostly suffices for our purposes, but I refer briefly to some of the others as appropriate.

4.5.1 Positivism Much as Monsieur Jourdain, the lead personage in Molière’s play Le bourgeois gentilhomme, was surprised to learn that he was speaking in prose, so many librarian-researchers may be surprised to find that they are positivists. Positivism comprises diverse strands and may be used as a general label to refer to a cluster of related schools of thought and approaches such as empiricism, scientism, determinism and reductionism. Budd (2001:95–102) subsumes it under “deterministic scientism.”

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Positivist social science aims at the framing of general laws as in the natural sciences. Such laws are formulated within a ruling paradigm, and in positivist science only one paradigm is valid at any given time and place. Applied to social science, it is assumed that a single paradigm applies across cultures. If culture is not a relevant factor, there is no inherent reason why, for example, a White Australian could not arrive at valid results when studying the social structure of an Aboriginal group. Scientific laws must explain the phenomenon investigated and make it possible to predict and control it. For example, the laws of optics explain the refraction of light, which makes it possible to predict how light will behave when it passes through different media, such as lenses with different curvatures and of different thicknesses. This makes it possible to exercise control, for example by constructing telescopes or manufacturing spectacles to correct short-sightedness or astigmatism. As suggested by the example from optics, it is believed that reality exists outside of the observer; hence the two are independent of each other: if the observation is set up correctly, it is thought that the behaviour of the light wave is not affected by the presence of an observer. Applied to social research, this means that the roles of investigators and subjects are clearly demarcated. It is thought that it is possible for an investigator to be a ‘neutral’ observer. Thus, in a comparative study, it is not seen as a problem if a comparison of LIS in two countries is conducted by a researcher from one of them ― an asymmetric comparison. In terms of research ethics, this implies that the relationship between the researcher and the researched is seen to be governed by relatively straightforward ethical principles. In positivist science, experimentation is the methodology of choice, because in experiments the investigator controls the situation to determine the relationship between a limited number of variables, trying to eliminate or rule out other factors (extraneous and confounding variables) which may affect the outcome of the experiment. Characteristics of positivism that have been much criticized are reductionism and determinism. Reductionism implies that highly complex human phenomena can ultimately be explained in terms of much more general laws such as those of physics. An extreme example of reductionism would be to explain Handel’s Messiah in terms of electro-chemical reactions taking place in the composer’s brain. (The reactions were of course necessary for the functioning of Handel’s brain, but cannot explain the result.) Determinism implies that general laws can be formulated to apply to human behaviour and institutions and that, if the conditions specified in the laws are met, certain effects must follow. Such deterministic thinking is widespread in policy and strategizing in LIS. For example, it underlies a great deal of aid to developing countries and particularly the emphasis on access to information technology and to the internet, in the belief that connectivity will automatically lead to benefits such as economic

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development or democracy. The notion that widespread use of social networking services such as Twitter will spell the end of dictatorships is an example of naive technological determinism (Economist 2011). Although many social scientists have distanced themselves from it, not everyone has followed suit. For example, in his text on comparative politics, Landman (2008, xix) appeared to take an unabashed positivist stance3: This book assumes that there are observable political events, actors, interests, structures, and outcomes about which political scientists can make reasoned, informed, and intelligent analytical statements. . .. This style of political science concentrates on observable political behaviour and events, and assumes that explanations of that behaviour are ‘susceptible to empirical testing’. . . It is thus grounded in the position that the ultimate objects of comparative politics exist for the most part independent of and prior to their investigation.

This statement embodies a number of assumptions typical of the positivist paradigm, for example, that social reality exists independently of the observer (an ontological stance labelled as ‘naive realism’), that observers can be neutral and that complex human behaviour can be explained with the help of experimental methods (‘empirical testing’). All of this may look perfectly unobjectionable to most beginning LIS researchers until they have been exposed to critiques such as those summarized by Hjørland (2005, 143–44), Dick (1991a, 1999) or Gregor (2005). Indeed, positivism has been, as it were, the default paradigm of LIS. Dick (1999, 312) wrote that “in LIS, science primarily implies positivist epistemologies.” Positivism continues to exert a considerable influence in LIS (cf. Dick 1991a), in part because it is so pervasive that we are not aware of it. Budd (2001) has critically traced the influence of positivism in LIS and has analysed illustrative examples. Hjørland (2005, 133) referred to positivism as “the invisible philosophy of science” and pointed to the empiricist and positivist undertones of the evidence-based practice movement in LIS (pp.142–143). In international and comparative librarianship, George Bereday’s (1964) manual, The comparative method in education, which embodied the unselfconscious positivism of his time, exerted a strong influence. This is evident in the writings of early theorists in comparative librarianship such as Danton (1973), Simsova and Mackee (1970, 1975), Collings (1971), Krzys (1974a), J.F. Harvey (1973), and Krzys and Litton (1983). The systematic and prescriptive ‘recipe-book’ approach found in some of these works (particularly in Krzys and Simsova) is based on a conception of science which emphasizes the use of formal hypotheses

3 However, Landman (2008, 18) qualified this and placed his position “somewhere in between” the extreme positivist and interpretivist positions.

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and which has the ultimate aim of formulating scientific laws, as found in Bereday. The difficulties experienced by librarians attempting to conduct comparative library studies following the positivist paradigm are evident from the somewhat pessimistic and wistful tone of an essay by A.D. Burnett (1973), clearly written at a time when the empiricist mind-set of the natural sciences was taken for granted but was also seen as an impossible ideal. The sterile results of a formulaic positivist approach are also illustrated in comparative librarianship texts by Simsova and Mackee (1970, 1975) and Krzys and Litton (1983). While A.C. Lin (1998) argued for combining positivist and interpretivist research, many are convinced that positivism in the social sciences is obsolete or overtaken (Gregor 2005). Whether this is true or not, a huge and confusing variety of alternative and partly-overlapping paradigms is on offer in the place of positivism. Often, they are referred to as epistemologies, although their scope may well extend to ontology and other dimensions.

4.5.2 Postpositivism Postpositivism is variously regarded as a reaction to positivism, an adaptation of it, an alternative to it, or an umbrella term for all the alternatives. Here postpositivism is seen as an adaptation of positivism. It is helpful to consider postpositivism against the background of the major paradigmatic shifts that occurred in the natural sciences (the model that positivists in the social sciences were trying to emulate) in the first half of the twentieth century. In physics Einstein’s theory of relativity, Planck’s quantum theory and Heisenberg’s uncertainty principle all contributed to a realization that a mechanistic and deterministic approach to understanding the universe was no longer appropriate. Given the complexity of dealing with human beings and human society, this was a fortiori true of the social sciences. Postpositivism shares with positivism the aim of explanation, prediction and control, adherence to a single paradigm, and the assumption that a single reality exists that is external to the observer. However, it is much more nuanced in its truth claims: simplistically stated, in the social sciences truth is not absolute but probabilistic and provisional; observers are fallible, they can misinterpret and be influenced by what they observe, a position known as ‘critical realism’. This implies that the scientist can never prove a hypothesized relationship with absolute certainty, but can only disprove hypotheses, disproving the null hypothesis (“there is no relationship between A and B”) rather than proving the substantive hypothesis (“there is a relationship between A and B”), a principle known as ‘falsification.’ For methodology this implies that it is

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important to counter potential error and bias by rigorous and standardized research techniques as well as by triangulation, the use of more than one research technique in a study to ensure that the phenomenon is looked at from more than one angle (Guba and Lincoln 1994, 110; Pickard 2007, 9–11). While there remains a reliance on experimentation and hypothesis testing and an emphasis on quantitative methodology, postpositivism accepts qualitative approaches to some extent.

4.5.3 Interpretivism What is the alternative to positivism? In the social sciences, we often find interpretivism used as an umbrella term for a variety of alternative paradigms put forward in opposition to positivism. Interpretivism underpins much of qualitative research, and differences between interpretivism and positivism are highlighted in some social science research methodology texts when qualitative and quantitative methods are compared (e.g. Mouton and Marais 1990, 159–71; Guba and Lincoln 1994; J. Mason 1996). (The choice between quantitative and qualitative research strategies is essentially a matter of methodology and is dealt with in Chapter 5.) R. Weber (2004), citing unpublished lecture notes by Jörgen Sandberg, has contrasted the sets of metatheoretical assumptions held by adherents of positivism and interpretivism. For example, while positivists see the researcher and what is being researched as separate, interpretivists see them as inseparable ― what we observe is bound up with our life experience. For positivists, objective reality exists outside the human mind, whereas for interpretivists knowledge of the world is the result of an intentional process, on the part of the researcher, of making sense of the world. Thus, in a comparison of LIS in two countries, an interpretivist approach would be for the study to be designed, carried out and reported jointly by researchers from those two countries engaging with one another. A fundamental difference between interpretivism on the one hand and positivism and postpositivism on the other is to be found in interpretivist ontology: in the social sciences, interpretivists do not see a single universal reality, but many realities that are created by their social contexts. Therefore, the reality as experienced by a particular group in society, for example, unemployed young people in poor neighbourhoods who have been involved in burning down community libraries, is not to be dismissed as naive or misguided, as the work of ‘agitators,’ as a manifestation of class struggle ― all explanations that ‘explain away’ what has happened. Instead the researcher should seek to understand such events from the point of view of that group ― recognizing their reality, of

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course without necessarily approving of their actions. The recognition of multiple co-existing realities reflects a basic ontological stance of relativism. This opens the door for the role of values in social research ― research is not valuefree; neutrality is not achievable or even desirable. Researchers may be motivated, not by a need to understand or explain, but by a desire to effect change in society ― a point of view anathema to the positivist scholar who adheres to a tenet of strict neutrality. Recognition of multiple realities implies that research methodology will require, not just “being on the outside looking in” but getting much more deeply involved with the people in the situation. Researchers need to negotiate their understanding of a social phenomenon in interaction with the group or groups involved, using ethnographic methods, hermeneutics, phenomenology, etc. Understanding is a key concept in the various interpretivist paradigms, even though they may differ somewhat on what they mean by it. The emphasis on understanding (in German Verstehen) goes back to the late nineteenth century German sociologists, who rejected the positivist point of departure that research in all the sciences was to be conducted following the same methodologies with the aim of arriving at causal explanations. These German sociologists such as Wilhelm Dilthey put forward the notion of human sciences (Geisteswissenschaften) which were fundamentally different from the natural sciences and aimed to understand human action. This further implies that meaning is a central concept in interpretivist social science: From an interpretivist point of view, what distinguishes human (social) action from the movement of physical objects is that the former is inherently meaningful. Thus, to understand a particular social action (e.g., friendship, voting, marrying, teaching), the inquirer must grasp the meanings that constitute that action (Schwandt 2000, 191).

Methods such as in-depth interviewing and participant observation involve intensive interaction, so that the relationship of the researcher to the participants (not ‘subjects’) becomes more complex, involving self-questioning by the researcher of her own beliefs and values. The interaction also poses more complex ethical issues, such as the researcher’s possible complicity in morally questionable, subversive, or criminal activities of the group being studied.

4.5.4 Other current paradigms As noted earlier, some authors regard interpretivism as a generic term for the whole range of non-positivist paradigms. Others regard interpretivism as just one of many non-positivist paradigms. A host of paradigms have received

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attention in the literature of LIS, for example hermeneutics (Hansson 2005), critical realism (Wikgren 2005), phenomenology (Budd 2005), critical realist phenomenology (Budd, Hill, and Shannon 2010), constructivism, collectivism and constructionism (Talja, Tuominen, and Savolainen 2005), and critical theory, including feminist theory, queer theory, and various ‘post-isms’ such as postmodernism and postolonial theory (Leckie and Buschman 2010). Sweeting (2005, 30–31) provided brief, acerbic characterizations of Marxism/critical theory, dependency theory/world systems analysis, poststructuralism, postmodernism, postcolonialism, feminism, and neoliberalism as applied to the history of education. The Stanford encyclopedia of philosophy offers a useful history and general overview of critical theory (Bohman 2016). For useful discussions of “postfoundational“approaches (postmodernisms, postructuralisms and postcolonialisms) in comparative education, see also Ninnes and Mehta (2004) and Ninnes and Burnett (2004). Rust (1991) offered an accessible introduction to postmodernism and related concepts in the context of comparative education. In their comparison of social research paradigms, Guba and Lincoln (2005, 194–97) grouped the non-positivist paradigms under critical theory and related paradigms, constructivism, and (prompted by the critique of Heron and Reason 1997) participatory paradigms. Rejecting the label of “critical theory” proposed by Guba and Lincoln, Mertens (1998, 15–23) put forward the “emancipatory paradigm“ as a third paradigm. This encompasses the thinking of various groups, including critical theorists, participatory action researchers, Marxists, feminists, ethnic minorities, and persons with disabilities, for whom the interpretivist paradigm does not go far enough in dealing with political issues in research. They argue that more should be done to redress the balance between the “relatively small group of powerful experts” and the “larger number of relatively powerless research subjects.” This implies relinquishing control of the research to the marginalized groups. In a similar vein, in a chapter in a globally oriented book on social research, Chilisa and Kawulich (2012, 54) distinguished a “transformative/emancipatory paradigm,” and a “post-colonial/indigenous research paradigm.” They stated that the aim of the transformative/emancipatory paradigm is to “destroy myths and empower people to change society radically,” whilst the aim of the “postcolonial/indigenous research paradigm“ is to “challenge deficit thinking and pathological descriptions of the former colonized and reconstruct a body of knowledge that carries hope and promotes transformation and social change among the historically oppressed.” This takes us quite far from the presumed neutral stance of the positivist researcher ― a shift to the left, towards engagement and taking sides with those seen as historically oppressed and marginalized. Their brief characterization (p.58) of the postcolonial

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indigenous research paradigm provides some useful references to writings on indigenous ontology, epistemology and axiology (values).4 Table 4.2, derived mainly from Pickard (2013, 7), summarizes the characterization of the three major paradigms. In order to bring this table into line with the five dimensions that are discussed in this chapter, I have changed the order of rows and added rows for the sociological and ethical dimensions, which should be considered conjectural. I replaced the word ‘stance’ with ‘dimension’ and renamed Pickard’s ‘purpose’ the ‘teleological’ dimension. My changes and additions are in italics. More details on the stances of these paradigms regarding the five metatheoretical dimensions are provided in Sections 4.6 to 4.10 below, where their implications for international and comparative librarianship are pointed out. The use of these dimensions as a framework for the discussion of metatheoretical issues is admittedly somewhat simplistic. Many issues cut across more than one dimension. In particular, ontological and epistemological questions are interrelated.

4.6 The sociological dimension The essence of this dimension has been summarized as follows by Mouton (1996, 41): Social research is a social practice. This means that social scientists belong to various organisations or groups and institutions that both constrain and enable their behaviour in various ways.

Note that this dimension is primarily concerned with the context of the researcher or research team, rather than with the context of the study or the phenomenon being studied. Here I use the term ‘sociological’ very broadly to encompass not only social but also economic, political, cultural and linguistic factors that influence the conduct of research. A useful way to summarize the various contexts, or systems within which social scientists are situated, is found in a conceptual framework proposed by Paisley (1968) for the study of information needs and uses. Paisley depicted these systems as a set of roughly concentric circles. The inner circle, “the scientist within his own head,” is concerned with the scientist’s individual motivational, personality and cognitive factors. From this, moving outwards, the systems successively refer to the

4 For more background on postcolonial objections to the dominance of Western science and to Western dismissal of indigenous ways of knowing, see Chilisa (2005).

Objectivist/dualist Investigator and investigated are independent of each other.

Epistemological

Transactional/subjectivist The results of the investigation are a product of interaction between the subject (study participant) and the investigator. What can be known is the result of the interaction.

Belief in multiple constructed realities that cannot exist outside the social contexts that create them. Realities are time and context bound.

‘Critical realism’ Belief in a social reality but acceptance that knowing this reality will always be inhibited by imperfections as a result of human fallibility.

‘Realism’ Belief in a tangible social reality, existing independently of those ‘creating’ the reality. A social reality can exist just as a natural reality exists.

Ontological

Modified dualist/objectivist Acceptance that independence is not possible, but objectivity is seen as the goal and demonstrated by external verification.

Understanding/ reconstruction Transfer of findings.

Multiple paradigms Cultural relativism Symmetrical multinational projects

Interpretivism

Prediction/control/ explanation Generalizations.

Single paradigm Risk of cultural bias Asymmetrical multinational projects

Postpositivism

Prediction/control/ explanation Framing of general laws.

Positivism

Teleological (Purpose)

Sociological

Dimensions

Paradigms

Table 4.2: Characteristics of major research paradigms. Table adapted from Pickard (2007, 7); text in italics added.

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Sharp distinction between investigator and subjects General ethical principles

Experimental/ Manipulative Hypothesis testing, variables identified before the investigation. Empirical testing is conducted in order to establish the ‘truth’ of a proposition. Predominantly quantitative Analysis by variables.

Ethical

Methodological

Immersion of investigator in the lifeworld of study participants can present ethical challenges. Ethics more situational and culturally determined. Empathetic interaction Investigator interacts with the object of the investigation. Each construction of reality is investigated in its own right and is interpreted by the investigator. Qualitative, including hermeneutics and dialectic interchanges. Analysis by case.

Intermediate position, with emphasis on general ethical principles.

Modified experimental/ Manipulative Hypothesis testing but more emphasis placed on context. Quantitative and qualitative. Analysis by variables.

4.6 The sociological dimension

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scientist within a work team, a formal organization, an invisible college, a reference group, a membership group, a political system, his culture, a legal/economic system, and a formal information system (Paisley 1968, 3–6). Ignoring the inner circle (the “scientist within his own head,” including the potential influence of the researcher’s origins, interests, and background) and the “formal information system,” which is not so relevant here, I propose to consider the influence of the researcher’s work situation (as an employee working with others or as a student enrolled in an academic programme), in a discipline and paradigm, and in political-economic and cultural contexts. How are these relevant to research in international and comparative librarianship?5

4.6.1 The work team Referring to “the scientist within a work team,” Paisley (1968, 6) described this as a system that is rich in informal sources of information. With some notable exceptions, such as the now defunct International Library Information Center at the University of Pittsburgh (Krzys 1974b), and small teams assembled from time to time by research consultancies for specific programmes, international and comparative LIS research has generally been a solitary endeavour. Academics teaching courses in this field are sparsely distributed and find it difficult to recruit enough PhD students to form an international and comparative research group. Something approaching this occurred at the University of Wisconsin (Madison) in the 1970s, under Professor William Williamson, who edited two conference proceedings which included work done by his students (W. L. Williamson 1971, 1976). Multinational teams are dealt with separately below.

4.6.2 The formal organization The system to which Paisley (1968, 6) refers as “the scientist within a formal organisation,” provides an enabling structure, and its policies determine channels of information that are opened or blocked. Most research in the field is produced by individuals employed in academic and research organizations, including

5 Mouton (1996, chap. 10), presenting an “integrated model of social science,” depicted the context in which social science is conducted as five concentric circles, labelled from the centre outwards: Research project, Discipline, Institution/Organisation, National system, and Global system. The latter refers to the globalization of knowledge and various aspects of the global community of scientists.

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university libraries as well as academic departments, in government agencies such as aid agencies, and in non-governmental and intergovernmental organizations. Each institution has its own research culture, policy and traditions. Mouton (1996, 42) drew attention to the “large-scale institutionalisation of the empirical social sciences” that started in the mid-nineteenth century and gathered momentum after the Second World War. The organizations employing researchers provide resources (remuneration, infrastructure, access to information, opportunities to travel, etc.) but also impose constraints, especially on those individuals not specifically employed to teach and undertake research. The priorities of their jobs may leave them limited time and resources for research. Constraints may also arise from the missions and policies of their organizations, which may discourage or censor research on unsuccessful projects or politically sensitive themes or suppress costly recommendations.6 When employed in academic positions in which research is encouraged and intellectual freedom is respected, constraints may be subtler. Disciplinary paradigms that are regarded as acceptable in the researcher’s work environment, the academic reward system (e.g. pressure to publish and to win substantial research grants), and the availability of funding all exert influence (cf. Budd 2001, 138–39). Someone has to pay for research; there are no “free lunches.” For PhD students, sources of funding, the strengths and traditions of the graduate school, the influence of professors and mentors, and the possibilities of publishing the research in a respected journal may well influence methodological decisions. Pressures to produce a report or complete a PhD project, or sometimes sheer convenience, may determine the choice of a research problem or of the countries being compared. In the USA, it is not uncommon for PhD students from other countries to undertake studies in which they compare some or other aspect of librarianship or information work in their own countries with conditions in the USA. One has to ask whether the members of the American dissertation committee have the necessary background to supervise the research (cf. Buckland and Gathegi 1991, 67–68). In the case of foreign students undertaking comparative research, how well equipped are the American, British or other European faculty members who supervise them to look at the research problem from a perspective other than that of their North American or European environment?

6 An interesting recent example, albeit not from our field, is the suppression of all mentions of Australia (where there is great concern about the effects of global warming on the Great Barrier Reef) from the final version of a UN report on climate change. The Guardian. “Australia scrubbed from UN climate change report after government intervention,” https://www.theguar dian.com/environment/2016/may/27/australia-scrubbed-from-un-climate-change-report-aftergovernment-intervention, accessed 2018-04-26.

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4.6.3 Disciplinary and paradigmatic influences Social scientists work within a research community which has shared goals and values, exercises control, and recognizes contributions. The community operates within economic, political and ideological frameworks. Writing about the rise of qualitative inquiry, Schwandt (2000, 190) drew attention to the “considerable academic and professional politics” that this movement entailed, such as “struggles over departmental organization, interdisciplinary alliances, what constitutes ‘legitimate’ research, who controls the editorship of key journals,” etc. Paisley’s model recognized three systems that are relevant here. One is “the scientist within a membership group,” referring to the professional membership group such as a professional society which provides and controls information channels, lays down ethical codes, and conveys recognition. The second is “the scientist within a reference group,” which is composed of scholars who have similar specializations and training, but who do not necessarily belong to the same membership group. The third, which is a subsystem of the preceding, is “the scientist within an invisible college,” a somewhat elitist group of scholars who “know each other and share information directly” even though they may be widely scattered geographically (Paisley 1968, 3–4). A research community regulates a reward system in which original contributions are recognized by fellow researchers. Mouton (1996, 41–43) has drawn attention to the social control that is imposed on individual researchers by these scientific communities through review systems, rules for recognizing contributions, rules on membership of scientific organizations, including codes of conduct, and rules recognizing prior contributions. He pointed out that those in positions of authority wield immense power. The organized scientific community may adhere to dominant paradigms, which lay down the parameters for discourse. Paradigms are both enabling and limiting. They are enabling in so far as they incorporate shared assumptions which obviate the need for lengthy preliminary explanations. They are also limiting in that they delimit what is a proper object of study and in that they incorporate biases, which may blind the adherent to error. This has been called ‘disciplinary ethnocentrism‘ (Warwick 1983a, 294) and ‘epistemological ethnocentrism‘ (Reagan 2005, 5). The latter is not concerned with individual biases, but with the assumptions and biases of an entire field of study, as in Kuhn’s (1970) paradigms. In the case of education, according to Reagan, this is manifested by an almost exclusive focus on a single educational tradition, so that educationists ignore traditional, indigenous educational practices and leave these to anthropologists. This is because Western scholars have tended to equate education with schooling and literacy, in the absence of which educational practices of indigenous peoples

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are not seen as relevant. Transposing this example from education to LIS, we can see that Western notions of librarianship have tended to limit our understanding of libraries to formal institutions collecting printed or otherwise recorded materials for use by literate people and have induced us to regard the provision of information services beyond library walls to non-literate communities as a curiosity.7 Except possibly for a brief period in the 1970s and 1980s, and then only to a limited extent, the field of international and comparative librarianship has not had a research community of its own to provide impetus and facilitate communication on the one hand, or to exercise quality control on the other. Applying the theory of the intellectual and social organization of scientific fields of Richard Whitley (2000), Nolin and Åström (2010) have characterized LIS as a ‘fragmented adhocracy,’ a field characterized by multiple paradigms, which is dependent on other disciplines for theory and methodology, and within which there are multiple sources of authority. The implication is that LIS researchers have a relatively free hand as to what to study and how, but at the risk of undertaking idiosyncratic work, the results of which are of little use to other researchers. Indeed, while most LIS researchers belong to professional associations such as the ALA, the Association for Information Science and Technology (ASIST), or the Association for Library and Information Science Education (ALISE), these associations do not exercise significant control of information channels. The major constraints are those exercised by journal editors and referees. Since there is no core group of authoritative journals for international and comparative librarianship, researchers in our field have a wide choice of where to publish. This helps to explain the failure of workers in comparative librarianship to develop a coherent body of theory, as mentioned in Section 2.5 and Section 3.2.

4.6.4 The political system Writing about “the scientist within a political system”, Paisley (1968, 3–4) referred to contemporary political factors then affecting scientists in the USA, such as scientific nationalism and the dominance of federal and defence-related funding. Here I extend it to the wider national and international political and political-economic context within which the

7 It may also help to explain why literacy education holds such a marginal place in libraries in many countries.

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researcher is situated. This includes national policies on science, technology and innovation, national socio-economic and development priorities, the country’s geopolitical location (Mouton 1996, 55) and historical, linguistic and cultural relations. In Chapter 2 I referred to the impetus given to international and comparative librarianship after the Second World War by such factors as Cold War competition. G.P. Kelly, Altbach and Arnove (1982, 506) observed that “comparative education has often been tied to foreign assistance programs and the intellectual and ideological orientations of the aid-giving agencies.” They also provided an interesting description of the ‘clientele’ of comparative education research (pp.524– 526). In the context of British grant funding for comparative research in education, Cowen (2006, 562–63) wrote scathingly about government ministries’ requirements for research that is “robust and relevant,” implying that what is required is research that will support governmental policy agendas and not raise too many awkward theoretical questions. Cowen placed this in the context of government policy on university research and what politicians regard as “good academic production.” The discussion by A. Rubin & Babbie (1993, 77–86) of the political aspects of social work research, from a US perspective and a decade earlier, remains of interest, while Punch (1994) dealt quite comprehensively with the ‘political’ aspects of qualitative social research. Intergovernmental organizations such as UNESCO have also been known to censor or redact consultants’ reports which might cause the organization embarrassment, or which did not conform to its policies. For examples, see I.M. Johnson (2016a, vol. 2, 433–35; 495–99).

4.6.5 Culture Under this heading I extend the scope of Paisley’s “the scientist within his culture“ to refer not only to the tradition and spirit that determines the scientist’s community ― for example the importance of priority of discovery, the role of philanthropic foundations, and the support of universities (Paisley 1968, 3) ― but also to national research styles and traditions, more general cultural influences, ethnocentricity, and issues of language. In the humanities and social sciences, particular research approaches, which affect the selection of research topics and methodological decisions, are often associated with circles of scholars located in or centred on particular countries or cities during a particular period, for example, the Prague school of linguistics, the Chicago school of sociology, or the Austrian school of

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economics.8 Since the formation of the European Union, issues of national research styles and traditions have come to the fore in large-scale cross-national social surveys undertaken in Europe. Writing about what was learned in the course of the European Social Survey (ESS), Jowell, Kaase, Fitzgerald and Eva (2007, 1) pointed out that cross-national comparative studies have to deal with “competing cultural norms and national methodological preferences that single-nation studies do not begin to face.” They identified challenges such as “country-specific differences in methodological and procedural habits” (p.7). These include modes of interviewing, preferences for sampling models and procedures, training of interviewers and coders, socio-demographic classifications, and “conceptualisations of cleavages” such as left–right, and liberal–conservative, which are interpreted differently in different countries. At a more general level we need to consider the influence of the researcher’s own cultural background. No researcher comes to international or comparative studies in LIS with a blank slate. For example, a trained LIS professional from the USA will have been socialized into a profession with particular ideals and values. In addition to having absorbed from childhood some pervasive notions of patriotism and American exceptionalism, this American librarian may have internalized laudable values and assumptions about freedom of expression, the role of the public library in promoting democracy, universal access to education, free and equal access to information, etc. These assumptions give rise to expectations as to what she will find when visiting or studying libraries in other countries. Thus, she may be dismayed by the low rank afforded that iconic value of American librarianship, freedom of expression, in countries where more utilitarian or existential concerns (such as putting food on the table) are more pressing. In other countries, the hierarchy of values may be different, and this may be reflected inter alia in human resource management. For example, in many cultures, loyalty to kinsfolk, clan, cohort or tribe may give rise to situations which westerners would see as nepotism. Visiting national libraries in some similar middle-ranking developing countries, I was surprised to find staff establishments numbering into the thousands, many times more than I had at my disposal in South Africa. In one case, the library had a bank of several elevators. In each of them sat a staff member, employed full-time to press the buttons. It is easy, but wrong to attribute such observations to lack of a

8 National research traditions are not limited to the social sciences. In a fascinating study of the reception in four countries of Einstein’s Theory of Special Relativity, Goldberg (1970) showed how the British physics establishment, wedded to the concept of ether and dominated by Cambridge University and luminaries such as Lord Kelvin, rejected Einstein’s theory far longer than their overseas colleagues.

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‘work ethic.’ Various other factors may play a part. For example, in some countries, government-run bodies may be seen as job creation establishments and as instruments of political patronage. When the expectations of the visiting scholar or consultant are not met, ‘culture shock’ may result (Asheim 1966, 2). This raises the issue of ethnocentrism, discussed below. Particular challenges arise when a Western researcher studies indigenous communities that have survived colonialism as distinct groups with their languages and belief systems still alive (L. T. Smith 2005). But cultural challenges are not limited to interactions between persons from developed and developing countries. Hopkinson (2014, 60) recounted a workshop held to “help British committee members to better understand other cultures in order to conduct themselves better at meetings.” Here it was explained that, for the British, having a meeting with Germans is harder than one would imagine. Germans think that the British do not say what they mean. The British say ‘Not bad’ when they mean it is neither good nor bad. They are not straightforward when they make criticisms as they regard it as rude to be too direct in those circumstances. What about the French? Apparently they prefer to use meetings to gain information rather than to make decisions and would rather have the delegate return to report to colleagues to discuss the issues with them and then report back. If the British have such difficulties with the Germans and apparently the French who are closely related and relatively near and equivalent in their wealth, how much more difficulties must there surely be with countries further away in distance and in level of development.

As mentioned in Section 3.8, observations of this nature have been the subject of studies by Geert Hofstede, a Dutch social psychologist, who developed a theory of cultural dimensions which has been widely used in studies of organizational culture in multi-national organizations (Hofstede 1980, 1980; Hofstede, Hofstede, and Minkov 2010). A considerable literature has developed around multi-cultural management issues.

4.6.6 Ethnocentrism In a text on research method in comparative education, David Phillips and Schweisfurth (2008, 93) wrote: A problem faced by comparativists at every stage of an investigation is that of ethnocentricity. It is important to recognize that we come with many preconceptions based on long personal experience of a particular way of looking at things in education, and thus try to create a kind of neutrality in attempting to understand other systems of education

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and the issues that are of interest or concern to them. Seeing things through an ethnocentric filter can have distorting effects as far as our understanding of educational phenomena in other countries is concerned.

We can substitute ‘LIS’ for ‘education’ and ‘educational’ without loss of meaning. No less than the managers of multicultural organizations, social scientists need to be sensitive to ethnocentrism,9 defined as “a belief that the norms, values, ideology, customs, and traditions of one’s own culture or subculture are superior to those characterizing other cultural settings” (S. E. Brown 2007, 1478). Brown suggested that ethnocentrism may be considered as falling on a continuum. At the one end is extreme ethnocentrism, characterized by stereotyping of other groups, intolerance, and even violence. At the other end is weak ethnocentrism, which is characterized by cultural and moral relativism. Cultural relativism, touched on in Chapter 3, is essential to social research, but does not preclude the application of moral criteria when examining other cultures: Cultural relativism . . . does not mean that the sociologist cannot apply any moral criteria to the examination of cultures. It only means that one should not blindly apply the values and standards of one culture to another. Practices within a culture should be analyzed within their own cultural context and moral judgment held in abeyance until their meaning is identified (S. E. Brown 2007, 1479).

Reagan (2005, 4–7) distinguished two forms of ethnocentrism: cultural ethnocentrism and epistemological ethnocentrism. Cultural ethnocentrism can arise from the individual researcher’s socio-cultural context and take the form of unconscious bias such as racism, sexism and linguicism, which may influence the choice of research topics, questions, hypotheses, etc. Epistemological ethnocentrism is concerned with the assumptions and biases common to a field of study, as typically found in a research paradigm. Here the ethnos is the scientific culture. This has been dealt with above under disciplinary and paradigmatic influences. A high degree of ethnocentrism would obviously be inimical to valid comparative studies. To counteract blind ethnocentrism, in the words of David Phillips and Schweisfurth (2008, 94), we need to be “aware of ourselves looking at” phenomena in other countries, and we have to “neutralize as far as possible the preconceptions our individual backgrounds have formed in us.” Landman (2008, 45), a political scientist, discussed ethnocentrism under the rubric of “value bias,” where the researcher’s personal cultural and other predispositions 9 I consider ‘ethnocentricity’ (used by David Phillips and Schweisfurth in the above quotation) to be synonymous with my preferred term, ‘ethnocentrism.’

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put the validity of comparisons at risk. He advised that while this cannot be ruled out completely, the researcher should as far as possible be open about the judgements that have been made. Intercultural comparative studies should not be undertaken lightly or naively, as described by Hofstede, Hofstede and Minkov (2010, 48): A common approach is for a master’s or doctoral student to take an instrument (mostly a paper-and-pencil questionnaire) developed in one country, usually in the United States by a U.S. scholar who tested it on U.S. respondents, and to have it administered to respondents in one or more other countries. Unfortunately, such instruments cover only issues considered relevant in the society in which they were developed, and they exclude questions unrecognized by the designer because they do not occur in his or her society. Such questions are precisely the ones most interesting from a cultural point of view. The hidden ethnocentrism in this type of research leads to trivial results.

Referring to research in international and comparative librarianship, Danton (1973, 145–46) discussed the avoidance of bias, while Stueart (1997, 130–31) pointed out that “the cultural barrier is the most serious obstacle to meaningful research, with the real complexities of cultural differences being below the surface and not readily visible at first inspection.” In the USA, there has been a growing awareness of the need for librarians to be competent in dealing with users from many different cultural backgrounds, including members of minorities, immigrants, and foreign visitors. This has led to interest in “cultural competence,” defined in 1989 as “a set of congruent behaviors, attitudes, and policies that come together in a system, agency or among professionals and enable that system, agency or those professions to work effectively in cross-cultural situations” (Cross et al. 1989; cited in National Center for Cultural Competence n.d.). Initially developed in education, social services, and health environments, the concept has spread to LIS (e.g. Overall 2009) and should also be relevant to LIS scholars working in multi-cultural and foreign settings. UNESCO prefers the term “intercultural competences” and has provided a useful “conceptual vocabulary” of key concepts relevant to the development of such competences (UNESCO 2013a, 10–21).

4.6.7 Multinational research Considering the above, questions arise about who can do research about other nations, societies and cultures, and who can compare LIS phenomena in them. Can a valid comparative study of two countries be undertaken by a researcher from one of the countries being compared? A French scholar, Émilie Bettega

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(2008, 137), compared public libraries in relation to cultural policy in France, Italy and Spain, and noted that as a French researcher she risked looking at the Italian and Spanish libraries “through binoculars” while examining the French libraries “through a microscope.” Would it therefore be better for a study of this nature to be undertaken by a researcher from a third country? (Such a modus operandi would reflect a positivist assumption that the appropriate place of the researcher is outside or separate from the object of study.) Or should it be done by a team of researchers from all the countries being studied? Hantrais (2009, 15) distinguished between asymmetrical and symmetrical social science research. In asymmetrical studies, the research program was typically developed by a team of researchers in one country (often the USA), using “established concepts and technical procedures that it dispatched to other participating countries with a view to collecting, analysing and interpreting data, without necessarily seeking the cooperation of researchers in the countries concerned.”10 Such studies were vulnerable to cultural bias and critics labelled them as ‘imperialist’ or ‘colonialist.’ On the other hand, symmetrical studies are conducted by teams from both or all of the countries being compared, using collaboratively designed instruments and techniques. Under the influence of the European Centre for the Coordination of Research and Documentation in the Social Sciences set up in Vienna in 1963 by UNESCO, a more ‘symmetrical’ model was adopted, in which attempts were made to ensure the equal representation and involvement of all national groups throughout the research process (Hantrais 2009, 15). Very difficult problems were encountered in comparative studies involving countries in Eastern Europe (then still part of the Soviet bloc) and Western Europe. The problems included ideological and cultural differences in respect of research practices, the understanding of concepts and the interpretations of findings. International comparative research relies on teamwork, requiring collaboration by individuals with different ideologies and interests, coming from more or less subtly differing research paradigms, or more fundamentally, adhering to different national “intellectual styles” (Galtung 1982, 24–29). The Eastward expansion of the European Union following the collapse of the Soviet Union stimulated international comparative social studies research within Europe, and concomitant methodological reflection. An example is the European Social Survey, where a combination of multinational collaborative planning, centralized coordination, and decentralized execution by national agencies achieved considerable success (Jowell, Roberts, et al. 2007). Hantrais (2009, 144–54) discussed various issues that

10 This illustrates the comment by Hofstede and colleagues that was cited above.

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arise in the management of multinational research teams, including differing intellectual styles and contrasting national research cultures. In comparative studies in which authors from more than one country have collaborated, they should describe the collaborative process and how they dealt with cultural differences and differences in their intellectual styles. In comparative studies in LIS, it is unusual for authors to deal explicitly with the challenges of intercultural understanding, cultural bias and cultural relativism, but there are exceptions. Henri, Hay and Oberg (2002) studied the role of school principals in developing school library programmes in seven countries. The three authors were from different countries and enlisted an ‘International Research Reference Group’ representing each of the seven countries to provide input and advice on survey instruments and to plan and administer the research procedures, from data collection and analysis to reporting. A study by Aarek, Järvelin, Kajberg et al. (1992) of LIS research in Nordic countries provided brief but insightful comments on the multicultural research team, consisting of researchers from four Nordic countries, which undertook their research, also reported by Järvelin and Vakkari (1990, 1992, 1993). They commented that their project yielded knowledge concerning the international research process (Aarek et al. 1992, 42). Studies by Vakkari and colleagues on the perceived benefits of public libraries in Finland, Norway, the Netherlands, South Korea and the USA took a Finnish survey instrument as their point of departure, but local investigators were added and the survey design was adapted as the study was replicated in other countries, all the investigators being recognized as co-authors of the resulting publications (Vakkari et al. 2014, 2016).11 Reporting on a study of public perceptions of public libraries in 25 developing countries, E. Gould and Gomez (2010) gave a comprehensive account of the use and coordination of local research teams from these countries. In an article about a collaborative research project on information literacy undertaken by Canadian and Ethiopian researchers, Asselin (2011, 19) emphasized the need for developing countries to “develop their own praxis-focused endogenous research culture.” The agendas and traditions of Western scholars should not be imposed on them. Chilisa (2005) wrote an angry critique of collaborative research involving teams made up of researchers from developed

11 Some counter-examples of asymmetric comparisons are comparisons of Sweden and other Nordic public libraries (Torstensson 1993), scholarly journal use in Taiwan and the USA (M.-L. Wang 2010), and electronic legal deposit in France and other European countries (Stirling et al. 2012).

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and developing countries, in which Third World researchers are invariably given subordinate roles reminiscent of their status in colonial times (p.676). Such deeply-rooted mind-sets are not lightly overcome. At the very least, Western scholars venturing into non-Western environments need to invest enough time in building relationships and acquiring understanding of the cultural context. They need to design research that respects the cultural and research traditions of the local collaborators (Asselin 2011, 20) and employ strategies to build local research capacity. Asselin described how this was done in the collaborative research project in which she was involved. Y.Q. Liu (2008a) described a set of research techniques developed to facilitate communication and collaboration among a group consisting of Chinese and ChineseAmerican researchers based in China and the USA respectively, emphasizing that researchers in such a group need to participate on an equal footing. Such reflection is not common in our field, however.

4.6.8 Language Language and culture are inextricably intertwined. A potent part of our background is the language(s) we speak. Language can constitute a formidable, but often underestimated, barrier to international and comparative research. English-speaking librarians visiting Paris discover that a librairie is a bookshop, not a library, and that a libraire is not a colleague but a bookseller. A high school and a German Hochschule are quite different institutions. Such faux amis (‘false friends’) and other instances of spurious lexical equivalence hold pitfalls for unwary researchers conducting survey research in more than one country. Unsuspected terminological differences also impede communication between speakers of the same language spoken in different countries, as in U.S., British, Australian, South African, or Indian English. American researchers naively assume that all English-speakers will understand what is meant by K-12, while Indian librarians will blithely tell visitors how many lahks (hundreds of thousands) of volumes their libraries hold, without realizing that the use of lahk and crore (tens of millions) is restricted to the Indian subcontinent. At a more fundamental level, in comparative studies we have to be aware of the role of language in shaping the way we think, so that people speaking different languages may not only delimit concepts differently, but also have different ways of thinking about space, time, number, etc. The Sapir-Whorf hypothesis (also known as the linguistic relativity theory) states that language influences perception and thought, so that speakers of different languages do not build identical images of the world:

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Linguistic patterns themselves determine what the individual perceives and how he thinks about it. Because these patterns vary widely, the ways of thinking and perceiving in groups using different linguistic systems will produce basically different world views. In short, according to Whorf, language shapes our ideas rather than merely expressing them (I. D. Currie 1970, 404).

Although this appears to make intuitive sense to those of us who have had the privilege of interacting with individuals from widely diverse language groups, or have had to edit journal articles contributed by scholars speaking different languages (cf. Stilwell, Bats, and Lor 2016, 104), the hypothesis of language “shaping” ideas has been widely criticized and rejected by leading scholars (cf. Pinker 2007, 124–51). However, it has not gone away altogether and a ‘neoWhorfianist’ school has emerged which follows a modified version of the hypothesis (Kenneally 2008). Today the ‘strong hypothesis,’ that the structure of our language causally determines how we think (linguistic determinism) is generally rejected. However, a weaker hypothesis, known as linguistic relativism, which posits that language does influence (but does not determine) how we think, has been supported by research in cognitive psychology conducted since the 1990s. The debate continues.12 Regardless of the outcome, language is a significant factor in comparative research. Hantrais (2009, 87–90) provided a useful discussion of the linguistic context of concepts and pointed to the positivist nature of the notion that concepts are transportable across national boundaries. More attention is paid to the practical implications of language issues in Chapter 6.

4.7 The teleological dimension “Teleology is the study of purposes, goals, ends and function” (Woodfield 2005, 1012). Mouton and Marais (1990, 8) included teleology as one of their five dimensions, since research is “intentional and goal-directed.” In his later work, Mouton (1996) omitted this dimension. In Pickard (2013, 6–13) it features as “purpose”; in Guba and Lincoln (2005, 194–98) as “inquiry aim” and to some extent under “axiology.” By whatever name we refer to it, researchers’ metatheoretical orientations influence their purposes and the goals they set for their research. Here I follow the threefold division as summarized in Table 4.2.

12 A helpful general account of the status quaestionis can be found in Wikipedia, https://en. wikipedia.org/wiki/Linguistic_relativity, accessed 2018-04-16.

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4.7.1 Positivism and postpositivism The scientific goals of explanation, prediction and control were emphasized in traditional positivist educational research methodology texts (e.g. Van Dalen 1973, 26–30). Explanation of phenomena by means of empirically determined regularities and relations of cause and effect (‘scientific laws’) allows us, it was thought, to make reliable predictions and enables us to exercise a degree of control over our environment (e.g. nuclear power generation) or at least to prepare for what we cannot control (e.g. tropical cyclones). The postpositivist aim of generalization is somewhat more modest than that of formulating general laws. Early advocates for comparative librarianship argued that comparisons of library conditions between countries, studying these within their social, political and cultural contexts, would enable librarians to gain a deeper understanding of professional problems, the functions of libraries and their role in society (e.g. Dane 1954a; Shores 1966a, 1970; Collings 1971). Thus Dane (1954a, 141) suggested that one of the benefits of comparative librarianship would be to enable librarians to re-evaluate their “philosophy” and “sharpen their thinking about some of the fundamental problems of their profession.” A more ‘scientific’ aim gradually emerged: to enable us to build theories to explain the conditions under which libraries evolve the way they do, where ‘scientific’ generally referred to what was seen as the norm in the natural sciences. This aim was stated by J. Periam Danton in the definition of comparative librarianship cited in Chapter 3, where the ultimate aim is stated as “trying to arrive at valid generalizations and principles” (Danton 1973, 52). This can be taken to imply that the social researcher adopts the stance of a neutral, disinterested observer whose only aim is to add to the ‘building blocks’ of knowledge, without exercising value judgements or wanting to intervene in the situation. Thus, in a comparative study of innovations such as institutional repositories or research commons in a number of countries, the aim might be to develop general principles describing the variables and mechanisms that account for their development or failure to develop. The study could contribute to a model or theory which could predict under which circumstances institutional repositories or research commons would function successfully. Such knowledge would be useful in providing guidance for their management.

4.7.2 Interpretivism Turning now to the interpretivist paradigms, a very different aim characterizes critical theory and related paradigms. Here the aim of inquiry is the critique

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and transformation of the social, political, cultural, economic, ethnic, and gender structures that constrain and exploit humankind, by engagement in confrontation, even conflict (Guba and Lincoln 1994, 113). An example from comparative education is the position taken by Hickling-Hudson (2006) on using a postcolonial perspective in researching Eurocentric education and its effects. The advocacy and activism implied here contrast strongly with the neutral, uninvolved observer role envisaged in the positivist and postpositivist paradigms. Describing the “advocacy and participatory worldview” (which largely corresponds to Guba and Lincoln’s critical theory), Creswell (2009, 9–10) points to its concern with marginalized individuals, social justice, participation and emancipation. Leckie and Buschman (2010, x–xi) describe critical theory as having both a scholarly purpose (questioning accepted beliefs, situating “human action and structures within culture and history”) and a normative purpose (uncovering unjust, unreasonable and irrational societal contradictions that make wars, poverty and servitude possible). They further suggested that critical theory should “encourage sophisticated adaptation and enable articulate responses to current issues facing the field,” for example responding to managerialism and neoliberal market beliefs (2010, xi). They noted that critical theory can provide useful approaches in respect of LIS issues such as national information policies, equitable access to information, and the inclusion of marginalized communities (2010, xiii). In the context of international and comparative librarianship this would translate, for example, to a postcolonialist perspective on such issues as the development of public libraries, book aid, digitization of cultural heritage, and the impact of international intellectual property regimes in developing countries, where the researcher would not be limited to an uninvolved, neutral stance, describing what exists, but would contribute to a process aimed at a more just and equitable outcome. Such an approach is illustrated by the African Copyright and Access to Knowledge (ACA2K) project, which studied the impact of copyright legislation in eight African countries: The project’s objectives demonstrate that the intention was not to conduct abstract or theoretical research into copyright. The ACA2K project was, from the outset, geared towards practical, applied research. All project activities were conducted with a specific purpose in mind: to provide empirical evidence that could contribute positively towards copyright reform processes throughout the continent and internationally. The focus on capacitybuilding recognizes that this project is merely the beginning of a long-term engagement (Armstrong et al. 2010, 8).

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The language used here (“reform,” “capacity-building,” “engagement”) implies that the research was also intended as an intervention in the situation being studied.13 The reference to “practical, applied research” deserves further attention and I return to it below.

4.7.3 Applied research Earlier, reference was made to ‘practical, applied research.’ Mouton and Marais (1990, 13) referred to the duality of striving for knowledge for its own sake and striving for knowledge as a source of power which opens up possibilities for change. Thus, they distinguished between theoretical and practical research aims. These should not be seen as a dichotomy, but as points on a continuum. Given the nature of our field, it is safe to say that much of our scholarly research is not far removed from its application in professional practice. We tend to import much of our theory from other disciplines. Moreover, since some metatheoretical perspectives integrate research and action, the distinction made by Mouton and Marais between theoretical and practical research now comes across as a bit dated. In comparative studies a distinction can be made between empirical and normative studies. Empirical studies explore, describe and explain phenomena, while normative studies are concerned with what should be and how things can and should be improved through reform, emancipation or more rational public policy. In practical or applied research, the aim may be to improve systems, promote efficiency, enhance the quality of life of library clients or potential clients, solve management or technical problems, develop plans and policies, evaluate or advocate. In recent decades, international cooperation has become an important motivator for international research. Writing in the context of European comparative social research, Hantrais (2009, 11) pointed to the increasing use of international comparisons of policy as a means of informing policy, identifying common policy objectives, evaluating proposed solutions, drawing lessons about best practice, and assessing the transferability of policies between societies. The expansion of the European Union has created a significant demand for comparative studies for purposes of measuring demographic, economic and social trends and for coordinating national policies on a European level (Hantrais

13 ACA2K project reports and methodology guidelines are archived in the ACA2K Output Repository, at http://www.iplaw.uct.ac.za/ipu/research/aca2k_repository, accessed 2018-04-18.

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2009, 16–18). This is not limited to the European Union. Policy transfer (also referred to as policy borrowing and policy learning) is discussed in some detail in Chapter 9. Studies on the Europeanization of LIS education are referred to in Section 2.3.

4.7.4 Ameliorative studies Arnove, Kelly and Altbach (1982, 4) referred to the “ameliorative strain” in comparative education, the desire to improve practice in one’s own country, as distinct from the “theoretical-scientific” strain. In Section 2.5 mention was made of early comparative studies which were overtly aimed at prompting remedial action by generating awareness of their country’s relative backwardness or deficiencies in respect of LIS in comparison with other countries (e.g. Pellisson 1906; Morel 1908; Hassenforder 1967). Morel in particular adopted a polemical tone which was, by his own admission, aggressive (Morel 1908, 14). In South Africa, Overduin (1966) compared school librarianship in a number of European countries with a view to improving services in the Transvaal province. In Israel, Sever (1990) surveyed the acquisitions expenditure of university libraries in Israel, the U.S. and Great Britain, with a view to convincing the Israeli Grants Committee of the poor situation of acquisitions funding for libraries, vis-a-vis that of libraries in other countries ― a phenomenon which he saw as a threat to Israeli research capability. A study by Mortezaie and Naghshineh (2002) compared LIS education in the UK, the USA, India and Iran, with a heavy emphasis on identifying deficiencies that needed to be addressed in Iran. Kigongo-Bukenya (2003) compared data from LIS schools in Wales, Botswana and South Africa in order to make recommendations for improving curricula and other aspects of LIS education at the East African School of Library and Information Science.14 Students from developing countries often want to compare the situation in their own country with that in the country in which they are studying (e.g. the USA or UK). Such a study might compare very unequal entities and yield little theoretical insight but may be motivated by the desire to put forward proposals for improving matters back home. Nowak (1977, 5–6) called this the “diagnostic-therapeutical“ approach. Indeed, comparative studies are often used for advocacy. By demonstrating that the resources allocated for

14 Many more examples can be cited, e.g. from China (Pong and Cheung 2006), France (Desbuquois 2002), Italy (Lobina 2006), Japan (Nakamura 2008) and Poland (Sapa 2005).

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certain library services in one’s own country are greatly inferior to those allocated for analogous services in other countries, one may hope to persuade politicians and government officials to be more generous. (On the other hand, if one’s own country stood out as a shining example, one might be less likely to bring this to their attention.) Since politicians and officials are unlikely to respond to comparisons of countries with widely differing conditions and resources, the choice of countries to be compared is important in such cases. An example of the “diagnostic-therapeutic” approach is a study by Van Zijl, Gericke and Machet (2006) in which a sadly under-resourced South African university of technology was compared with a New Zealand counterpart. This seems to have been aimed at jolting South African decision makers into rectifying the situation. International comparisons sometimes have a political sub-text. For example, a comparison of the national libraries of the UK and Italy (Vitiello 1994) provided ammunition in support of an argument against the continued existence of two national libraries in Italy. Conceivably, authors may have consciously propagandistic or unconsciously patriotic motives for a comparative study: the desire to demonstrate that the system of one’s own country is superior. Nowak (1977, 5–6) called this the “cosmetical” orientation, where the researcher may tend to select certain variables and operationalize them in such a way as to achieve the most ‘satisfactory’ result. This is a temptation in comparisons of all sorts, across the Atlantic, or between developed and developing countries. However, in our field studies in which the author undertakes a comparative study to demonstrate the superiority of LIS in his or her own country are rare today ― certainly, if done at all, it is not done explicitly. An article by Saur (1993), a German publisher, entitled “The best book trade organization in the world?” in which he compared the German and British book trade organizations, is the best example I could find of this genre. It is not strictly from our profession, where modesty, whether genuine or false, is expected. This was different during the Cold War. An article by a Czech academic comparing rural library services in a number of Western, Central and Eastern European countries (Irmler 1970) makes interesting reading when the Cold War context is taken into account and one bears in mind that the author would have had to tread a careful balance between toeing the party line and presenting an acceptable account for publication in an American journal. (Irmler singled out England and the Soviet Union as being most successful in extending rural library services, but his article tended to highlight the superiority of rural library policies in Central and Eastern Europe.)

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4.7.5 Benchmarking studies A quite common genre of comparative studies aimed at improving practice is that of benchmarking, defined as a “measurement of the quality of an organization’s policies, products, programs, strategies, etc., and their comparison with standard measurements, or similar measurements of its peers.”15 In the LIS literature we find many examples of benchmarking studies that are international in the sense that they concern libraries in more than one country. From Finland we have several examples, which include comparisons between a vocational college in Finland and two libraries in Iceland (Widenius 2001), quality management in university libraries in Finland and Spain (Balagué and Saarti 2009), and knowledge management in university libraries in Finland, Germany and Spain (Balagué, Düren, and Saarti 2016). Other examples come from the Barcelona Public Library (Oller and Creus 2009), the Graz University Library in Austria (Reichmann 2006), and various institutions in Australia (Hiller and Jilovsky 2005; MacKnight 2008; Jilovsky 2011). In these studies, the emphasis is on performance and quality assessment: what can be improved, how other libraries do things better, and what can be learned from them. Since the focus tends to be on practical matters in specific institutions, most studies of this type are of limited value as international comparisons.

4.7.6 “League tables” Related to benchmarking studies are studies generating international comparative tables in which countries or individual libraries are ranked according to one or more criteria. In a time of globalization various international intergovernmental and non-governmental organizations are involved in compiling comparative data. Many studies produce rankings of countries in terms of ease of doing business, corruption, educational achievement, teledensity, internet access, etc. There is considerable scope for misuse or at least misinterpretation of comparative studies (Pennings, Keman, and Kleinnijenhuis 1999, 3–4). Rankings inevitably embody a degree of over-simplification. International comparative tables contain decontextualized data; often many footnotes are needed to place the figures in perspective and allow sensible comparisons. As a general rule, the comparability of tabulated data is inversely proportional to the number of footnotes

15 “Benchmarking,” Business dictionary, http://www.businessdictionary.com/definition/ benchmarking.html, accessed 2018-04-16.

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needed. Not only are there serious pitfalls in making such comparisons, but the findings are liable to be misunderstood and misinterpreted in the media and used by politicians to score points and argue for policy changes, especially in education (Crossley 2002, 83; Steiner-Khamsi 2010, 328–29), where ‘league tables’ of student performance in subjects such as mathematics not infrequently hit the headlines. This can have negative consequences, as exemplified by controversy over the results of the PISA tests.16,17 Librarians also like to compare the resources and performance of their libraries with those of their colleagues. The LIBECON 2000 project, which was initially funded by Directorate General 13 (DG13) of the European Commission within the Telematics Applications Programme, from 1998 to 2004 under the Fifth Framework Programme, collected standardized aggregated data for 29 European countries using a questionnaire based on the ISO standards for library statistics (ISO 2789) and library performance indicators (ISO 11620). A LIBECON 2000 Millennium report was produced, which covered 29 European countries and provided statistical data on a large range of library indicators, including staff, materials, library usage, use of IT, service points, and finance. During the life of the project, a large database of library data was built up, to which data from countries outside Europe, including the USA and Japan, were also added (Ramsdale and Fuegi 1999; Fuegi 2000; Fuegi and Jennings 2004). Towards the end of the project Fuegi and Jennings (2004) reported on datasets of about forty countries (25 in the European Union and a number of other countries voluntarily participating in the LIBECON statistical database). The database was made available online,18 and lent itself to comparisons between countries and the

16 PISA, the Programme for International Student Assessment, is a programme of the Organisation for Economic Cooperation and Development (OECD), which measures academic achievements of 15-year old students in over 60 countries. For concerns raised by leading educationists, see “OECD and Pisa tests are damaging education worldwide – academics,” https://www.theguardian.com/education/2014/may/06/oecd-pisa-tests-damaging-educationacademics, accessed 2018-04-16. 17 In December 2010 reports that 15-year old students in Shanghai had outperformed those of all other participating countries on the PISA test caused consternation in the USA., where President Obama compared the poor showing of the American students to a “Sputnik moment,” reminiscent of the shock experienced when the USSR successfully launched the first earth satellite ahead of the USA. (New York Times, December 7, 2010, available http://www.nytimes. com/2010/12/07/education/07education.html?pagewanted=all, accessed 2018-04-16). 18 The LIBECON website, at www.libecon.org, is no longer accessible. It could also not be found using the Internet Archive’s Wayback Machine. Unfortunately, it is not unusual for the web pages of projects funded by the European Commission to disappear without trace. Researchers using these sources are advised to download them to their own workstations while they can.

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establishment of ranking tables (e.g. LibEcon 2004). Such usage was exemplified by an article entitled “Does Finland have the best public libraries? Can we identify the top ten countries?” published in the LIBECON newsletter.19 The project was terminated in 2004. The IFLA Metropolitan Library Section annually collects a large quantity of data on larger urban and regional public library services throughout the world. These annual statistical surveys are reported on the Section’s website.20 The statistical survey for 2010 contained a number of comparative graphs and some 25 ranking tables. Rankings of journals using bibliometric indices are widely used in the evaluation of research outputs. An example in our field is a citation study by Onyancha (2009) comparing the impact of 13 sub-Saharan LIS journals. To conclude this section, I note that an enormous amount of literature is generated by the need to publish, especially in the USA, where competition for tenured faculty positions is keen, and where academic librarians also aspire to faculty status. This may influence decisions on subject matter and methodology, for example a tendency to conduct minute quantitative investigations of topics of limited theoretical interest.

4.8 The ontological dimension Ontology is the philosophical study of being and reality. There are broadly speaking two kinds of ontological investigation: those that are concerned with the nature of being or existence (“what it is for something to exist?”), and those that are concerned with what exists (“what general sorts of things are there?”) (Craig 2005, 756). The latter area of investigation has given rise to the current, better-known use of the term ‘ontology’ in the context of computer science, artificial intelligence and knowledge organization, to refer to formal representations of knowledge. This section deals with ontology in both senses as a dimension of research paradigms. Ontology as the theory of being has implications for our conception of reality, and this has implications for our research decisions (Wikgren 2005, 11). In the social sciences questions about the nature of existence concern the nature of social reality, which forms the research domain of the social sciences. Associated with a social science research domain are domain assumptions: beliefs

19 Published online in LIBECON Newsletter no. 6, pp.1–3, 2004, but no longer accessible. The answer to both questions, in short, is “yes.” 20 “Annual statistical survey,” http://www.ifla.org/node/8106, accessed 2018-04-16. The latest annual survey is dated 2012 and does not include ranking tables.

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about the nature, structure and status of social phenomena. Much of the discussion in sections 3.5 and 3.6 of Chapter 3 is essentially ontological; each of Figures 3.8, 3.9, 3.11, and 3.14 embodies ontological assumptions which influence what investigators expect to find and will tend to look for. Social scientists study “humankind in all its diversity” (Mouton and Marais 1990, 11), a diversity which makes possible many different perspectives. Because of the diversity there are different schools of thought as to which phenomena are appropriate to study. For example, in comparative studies this implies that we need to reflect on the nature of the phenomenon being studied and on what can legitimately be compared. This is not common in comparative studies in LIS, but an exception is found in a comparative study of digital library development by Dalbello (2008, 376), who stated a number of such assumptions about national libraries.

4.8.1 Ontological stances Considering the first, more philosophical, of Craig’s two questions – what it is for something to exist –a fundamental question in the social sciences is to what extent the natural and social worlds are similar or comparable. This is a question which has long been debated, and which is answered differently in different paradigms (Mouton 1996, 46–47). Positivist ontology (also characterized as ‘naive realism‘) assumes that there is an “apprehendable reality” (Guba and Lincoln 1994, 109). Thus, it is believed that there exists an objective, stable and singular reality ‘out there’ which is independent of human perception and thinking. Such an ontology is ‘thin,’ in the sense that the historical development, the cultural context, and the meanings that people ascribe to their behaviour, are not of interest to the investigator. The assumption that reality can be fully apprehended and is not dependent on the human observer, implies that it is invariant, allowing for the determination of cause and effect and the formulation of scientific ‘laws.’ In the social sciences, this implies that a tangible social reality exists. Taking to extremes the notion that reality can only be discovered through observation (using the senses) means that things that cannot be observed, do not exist (Trochim 2006). This may appear to be appropriate in sciences dealing with physical phenomena (it is not), but is particularly problematic in the social sciences, including LIS. For example, in a bibliometric analysis which investigates the use of documents on the basis of citations, the reasons why an author cited each document, how much of a cited document was used (if at all) and how it was used (what it contributed to the author’s understanding and thinking)

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would typically not be taken into account. This simplifies the investigation in that much less interpretation is required, but it severely reduces what we can know about a complex human phenomenon. Postpositivist ontology is known as critical realism, because it is thought that “claims about reality must be subjected to the widest possible critical examination to facilitate apprehending reality as closely as possible” (Guba and Lincoln 1994, 110). (This ontology should not be confused with the paradigm known as critical theory.) As in positivist ontology, it is assumed that a reality external to human beings does exist independently, but there is less certainty about cause and effect relationships. We can determine relationships to be true with a high degree of probability, but human and technical limitations mean that our knowledge of such relationships is provisional and subject to revision. In the social sciences, such an ontological stance is obviously more appropriate than that of earlier positivism, since human behaviour is highly complex and there is much more uncertainty. Thus, extensive critical examination is needed to apprehend reality as closely as possible. Much if not most current research in LIS appears to be implicitly based on this assumption. Postpositivist ontology is relevant to comparative research because it implies that multiple studies conducted in different countries can be helpful in establishing and confirming observed relationships. Pickard (2013, 12) characterized the ontology of interpretivism as relativist. Central to interpretivism is the concept of ‘meaning.’ For Schwandt (2000, 191), cited in Section 4.5, human actions are intentional. The same action may have different meanings depending on the actor’s intentions, which have to be interpreted in relation to a historically and culturally embedded system of meanings. Such an ontology is ‘thick,’ in contrast with the ‘thin’ ontology of positivism. Under the interpretivist umbrella we need to consider the ontological stance of critical theory and its related paradigms, and that of constructivism, as delineated by Guba and Lincoln (1994, 107–11). In critical theory and related metatheories (historical realism) it is assumed that the reality that can be apprehended at a given point in time is the result of a range of historical factors (social, political, economic, cultural, ethnic and gender) that give rise to structures that constitute a virtual reality. The term ‘virtual reality’ is used here not in the modern technical sense of an apparent reality mediated by information technology, but as referring to an illusory reality which limits and constrains our thinking and needs to be challenged. Social phenomena are the results of processes that take place over time, creating structures that shape human experience at the same time that human action continuously changes those structures:

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Society and culture are the products of human activity, and are constantly elaborated or reinforced by human activity. However, at any given time these social and cultural structures are pre-existent, which gives them their autonomy as possible objects of investigation (Wikgren 2005, 15).

Since libraries are complex social and cultural institutions (itself an ontological assumption!) it makes sense for LIS to study them in their multiple contexts and not as isolated phenomena. This implies a historical perspective and not merely cross-sectional surveys of conditions existing at one point in time. It also implies a greater depth of analysis. Thus, from the perspective of critical theory a study of libraries in West Africa would need to place the institutions studied in the context of a range of factors, including the impact of colonialism and how colonial policies and racism framed policies about what was appropriate for subject peoples, how the then contemporary attitudes of the colonists had been shaped, and what was then the state of knowledge concerning the inhabitants of the colonies. Other relevant factors include literacy and orality, concepts of development aid, and north-south power relations as expressed, for example in international intellectual property treaties and agreements. The ACA2K report (Armstrong et al. 2010), which was referred to earlier, serves as an example of looking at the contextual reality – it added value by not merely analysing the copyright legislation, but looking at the total context of education, publishing, economic factors, etc. which influence enforcement and compliance. Also of interest are the dissertation of Bouri (1993), who analysed the failure of public library development in Egypt in the context of modernization theory and shifting international development discourse, and Maack’s (2001) study of books and libraries in cultural diplomacy in West Africa during the Cold War. Constructivist ontology (relativism) assumes multiple realities or meanings that are constructed by humans individually and in their social contexts. It has both psychological and social dimensions. Individual minds create knowledge structures through experience and observation, the mental process being “significantly informed by influences received from societal conventions, history and interaction with significant others” (Talja, Tuominen, and Savolainen 2005, 81). The realities thus created are not universal, as posited by positivism, but embedded in local and specific contexts, and they evolve over time. An extreme relativist position appears to be problematic. If all our concepts mean different things to different people, how can we make valid statements about anything? However, this stance implies that when studying a social or cultural phenomenon, we should allow the participants in the study to interpret their situation in their own ways using their own concepts, rather than, or in interaction with, those imposed by the investigator.

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This allows a richer texture of meanings to emerge from the study. It has obvious implications for comparative studies; especially those conducted in developing countries, where researchers must suppress their tendency to impose their own conceptual structures on the ‘other’ being studied and be prepared to negotiate meaning interactively. At another level, a constructivist approach opens up new ways of thinking about such projects as ‘access to knowledge’ (A2K). A2K can be seen as a dynamic process in which the intended beneficiaries are not passive recipients of knowledge ‘packages,’ but as active participants in constructing knowledge individually and within their communities (Lor and Britz 2010). The ontological stances of the “transformative/emancipatory paradigm” and the “post-colonial indigenous paradigm” have been briefly outlined by Chilisa and Kawulich (2012, 57–58). Regarding the latter, LIS scholars, practitioners and project managers need to be aware of how indigenous peoples see themselves in relation to their communities, their ancestors, and their animate and inanimate environment.

4.8.2 Some ontological assumptions In international studies and comparisons, it is necessary to be aware of ontological assumptions about countries. The issue of the nation state, the validity of which as the normal setting for comparative studies in the social sciences has been questioned, was dealt with in Section 2.9. The ontological question of when a country is a country, is reflected in some uncertainty encountered when one studies national libraries. The British Library is clearly a national library. What about the National Library of Scotland? Or the National Library of Quebec, Kosovo or Chechnya? Our answers will be determined in part by what, for the purposes of the comparison, we consider to constitute a ‘country.’ And this is simple compared to similar questions about what we might consider to be a ‘society,’ ‘culture,’ or ‘nation.’ In LIS, when we consider library development we also need to be aware of our assumptions about development itself as well as our assumptions about westernization and modernization. The latter is the assumption that all societies follow the same path to development, positing that societies constantly strive for economic and social rationality which maximizes productive resources. Social change is unidirectional and consists of the movement from simple to increasingly complex social organization; from functionally diffuse to functionally specific institutions; from lesser to greater divisions of labor; from social systems of

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stratification based on ascription to those based on individual achievement; from belief and legal systems that are particularistic and fatalistic to those that are universalistic and subject to human control (G. P. Kelly, Altbach, and Arnove 1982, 516).

An implication is that all societies are on the same developmental trajectory and that countries at different ‘stages’ or ‘levels’ of development are simply at different points along that trajectory (Arnove, Kelly, and Altbach 1982, 5). In comparative education, modernization theory was very influential but was overtaken by other approaches several decades ago. However, one may still discern traces of these assumptions in LIS, and similar ideas are embedded in notions such as ICT-enabled ‘leapfrogging,’ where developing countries are assumed to be able skip certain developmental steps such as infrastructure development (Alaoui 2014; Schumpeter [pseud.] 2016). Every philosophical school or paradigm proclaims its own ontology and epistemology. The systems approach and systemism discussed in Chapter 3 embody obvious ontological implications: here the very nature of being is seen as constituted by systems of systems. Such an ontology is of potential interest in international and comparative librarianship. Reihlen, Klaas-Wissing and Ringberg (2007, 56), writing about metatheories in management studies, summarized the ontology of systemism as formulated by Mario Bunge (1996, 267–68) as follows: 1. Society is a system of changing subsystems. 2. Being a system, society has systemic, or global properties. While some of these are resultant (or reducible), others are emergent, though rooted in the individual components and their interplay. 3. Interaction between two social systems is an individual-individual affair, where each individual acts on behalf of the system he or she represents. The members of a social system can act severally upon a single individual, and the behaviour of each individual is determined by the place he holds in society, as well as by his genetic endowment, experience, and expectations. And every social change is a change in the structure of a society, hence a change at both the social and the individual levels.

This is relevant for comparative studies and for studies of LIS relations among countries, and particularly relevant when relations of influence are studied.21 Influence can be adequately explained neither by the actions of influential individuals (such as innovators or gatekeepers) nor by structural forces in the relevant societies alone.

21 Influence is the subject of Part IV of this book.

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4.8.3 Some implications Given the multiple roots of LIS, some of our most fundamental concepts are ontologically indeterminate, for example, the concepts of data, information and knowledge, touched on in Section 3.3 (cf. Saab and Riss 2011). One’s ontological scheme will determine what one considers legitimate objects of study. In a study of information literacy, for example, an extreme (behaviourist) positivist approach would be to ignore anything other than test scores collected in controlled circumstances. Students’ search strategies, assumptions, rationalizations, and emotional responses to the information-seeking task – of interest in a cognitive approach – would be dismissed as subjective and impossible to measure accurately. In a study comparing information literacy in different countries, the units of analysis would differ depending on the different ontological schemes. Looking ahead to chapters 5 and 6, another distinction may be made between atomist and holistic approaches. These are not absolutes, but rather the poles of a continuum. For example, a holistic approach in which school libraries are seen as embedded in their contexts would require that the development of school libraries in different countries be compared in the context of educational policy and governance, curricula, schooling and teacher education, etc. along with the influence of political ideologies, as well as geographic, demographic, economic, social, cultural, linguistic and linguistic factors. A comparison by R. Knuth (1995a) of school library development in the UK and the USA comes close to the holistic pole, as does a study by Lauret (2006) comparing school libraries in France and Quebec. The study by Henri, Hay and Oberg (2002) of the influence of school principals on information services in schools is closer to the atomist pole. A hypothetical international comparison of the cataloguing rules or subject headings used in school libraries in different countries, would be at the atomist pole. Ontological assumptions underlie basic methodological choices discussed in Chapter 5, for example, between quantitative and qualitative approaches. According to Goertz and Mahoney (2012) differences in the way quantitative and qualitative researchers deal with concepts are basically ontological in nature. Quantitative researchers see concepts of interest as being dependent on other concepts, which they use as indicators, whereas qualitative researchers take a semantic approach in constructing concepts by identifying essential attributes. These assumptions also have implications for research strategies, e.g. the choice between case studies and surveys. A relevant assumption in quantitative comparative studies is that a concept can “travel” (that is, be understood identically in different countries so that questioning or measurement will yield comparable results). That this reflects a questionable ontological assumption is

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evident from a perusal of the country responses to the surveys reported in the World Report22 published by IFLA’s Freedom of Access to Information and Freedom of Expression (FAIFE) core activity. A comparison of the country reports suggests that there is very wide variation in the way respondents understand the concept of freedom of expression ― this concept does not travel well. If social reality is seen as essentially relational, constituted by a network of complex and nuanced human relationships, a qualitative comparative researcher may well prefer a case study to a survey approach in an attempt to understand what freedom of expression means in different countries. Ontology is fundamental to research design. A frequent ontological problem is confusion about what is being studied. For example, Galuzzi (2014) analysed newspaper coverage (newspaper articles about libraries) in Europe as a means of studying “public perceptions” of libraries. This made an assumption that what journalists write in major newspapers is an accurate reflection of public perceptions. Ontologically, public perceptions and the newspaper articles are in two quite different categories.

4.8.4 Ontology as classification or typology The second of Craig’s questions, “what general sorts of things are there?” offers another angle from which to consider the ontological dimension of international and comparative research in LIS, an angle which is more closely aligned with the meaning of ontology as classification. According to Mouton and Marais (1990, 11), social scientists study “humankind in all its diversity, which would include human activities, characteristics, institutions, behaviour, products, and so on.” This is very diverse and makes possible many different perspectives. We could classify phenomena as observable and unobservable, verbal and non-verbal, individual and collective, human behaviour and products of human behaviour, etc. Mouton (1996, 46–50) provided a typology of social entities or objects. In listing them, I note the possible relevance of some of them in international and comparative librarianship: – Individuals – Collectives (here Mouton included geographical, political and cultural entities including tribes and nations)

22 IFLA, “World reports series,” https://www.ifla.org/faife/world-report, accessed 2018-04-26. For more details see Chapter 6, Section 6.17.

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– Organizations (formal and informal; this could include intergovernmental and non-governmental organizations, foundations, corporations, universities, and libraries) – Institutions (here Mouton followed Peter Berger in understanding institutions as “regulatory patterns” rather than as organizations, hence institutions would include language and science; but there is some confusing overlap with organizations) – Social actions and events (various sub-categories were mentioned: face-toface interaction, collective or group action, patterned social action, and political or structural action; these could include innovation and policy borrowing) – Cultural objects (these include all the products or outcomes of human behaviour; in our field, one thinks of books, citations, and heritage artefacts) – Interventions (these include structured and patterned human actions such as programmes, policies, and systems; in our field one thinks of resource sharing, networking, digitization programmes, open access, etc.) J. Mason (1996, 11–12) provided a much longer list of “ontological properties” (also referred to as “ontological elements”) which might be seen as constituting social reality. She pointed out that, depending on a researcher’s ontological perspective, social reality can be seen as being made up of different subsets of these properties or elements. One cannot simply pick and choose elements eclectically, since some of them may be incompatible or disputed. The following are some examples that appear relevant to LIS: – People, social actors – Understandings, interpretations, motivations, ideas – Attitudes, beliefs, views – Experiences, accounts – Representations, cultural and social constructions – Actions, reactions, behaviours, events – Interactions, situations, social relations – Institutions, structures, markets – Underlying mechanisms In a chapter on the implications of ontology for methodology in comparative politics, Hall interpreted ‘ontology’ to refer not so much to entities or objects but to causal relationships: “an ontology consists of premises about the deep causal structures of the world from which analysis begins and without which theories about the social world would not make sense” (Hall 2003, 374). Hall insisted that methodological decisions should be informed by ontology. The

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ontological assumptions of researchers about the nature of causal relations in their research domain should therefore be reflected in their decisions on research design. For example, if it is believed that outcomes of political processes are determined in a fairly straightforward way by a limited number of independent variables, statistical studies employing regression analysis23 may be appropriate. If, on the other hand, it is believed that contemporary outcomes may be the result of many different factors, interacting in complex ways over a long period of time, where the conjuncture or co-occurrence of given factors may have a significant impact, other research designs should be considered. Here much more would be learned from in-depth case studies, such as I.M. Johnson’s (2016a) study of the evolution of LIS education in Iraq, or in comparisons using few cases (small-N studies) such Dalbello’s (2008, 2009) study of cultural factors in digital library development in a number of European national libraries. In LIS the set of Functional Requirements for Bibliographic Records (FRBR) (IFLA Study Group on the Functional Requirements for Bibliographic Records 2009) has been described both as a model and as an ontology. It identities entities, attributes associated with each of the entities, and relationships. In distinguishing, inter alia, between works, expressions of works, manifestations of works, and items, it provides high-level categories that are useful not only in developing standards for various cataloguing tools but also in more general thinking about movable cultural heritage and the contents of libraries. An ontology can be a powerful tool for analysis. Various classifications of phenomena have been proposed in the literature of international and comparative librarianship. The entry by Krzys (1974b, 333–34) on research methodology for international and comparative librarianship in the first edition of the Encyclopedia of library and information science included a checklist for the comparison of library phenomena. In her “Outline for the study of a foreign library system,” Simsova (1982, 83–86) provided a very similar checklist covering background factors (geography, climate, population, etc.) as well as the components and aspects of the library system (types of libraries, services, personnel, developmental factors). Parker (1983a, 10) listed seven sets of concepts as part of a “systematic framework” for planning library and information services. In their attempt to construct a “world librarianship,” Krzys and Litton (1983) devised a grid with areas (e.g. the Middle East, Africa, and Western Europe) on one axis and “aspects of librarianship” on the other. They identified eleven aspects, including bibliographic control,

23 Regression analysis: a statistical procedure for estimating relationships among multiple variables.

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legislation, the profession, and literature (1983, 47). A systematic analysis of each of the cells in the grid would, they thought, result in a theory of world librarianship. The analysis would be carried out by asking questions of each aspect. Checklists such as these can be very useful, but they reflect significant ontological assumptions. As such, they can have the effect of framing research in such a way that other, unlisted and unanticipated aspects or dimensions may be overlooked or disregarded as irrelevant.

4.9 The epistemological dimension 4.9.1 Knowledge as justified true belief Epistemology is the theory of knowledge. It is concerned with “the nature, sources and limits of knowledge” (Klein 2005, 224). From the time of Plato, knowledge has traditionally been defined as “justified true belief” (Ichikawa and Steup 2016, sec. 1). This “JTB theory”24 gives rise to quite technical questions about each of the three components, belief, truth and justification, the grounds on which belief is based. In the context of research method, the latter is particularly important. The first key question can then be phrased as, “what must be added to true beliefs to convert them into knowledge?” (Klein 2005, 224). In the social sciences, this translates into questions about how well statements we make fit the entities or “social reality“ that we investigate: if we describe relationships among entities we observe, are our statements valid, and can we make further valid statements about relationships among other similar entities? Issues of validity (internal and external) are important in the experimental and comparative methods and will be touched on later. Validity is not the only criterion for knowledge claims, however. Mouton argues that the “truth” of scientific knowledge claims can be expressed as “plausibility” (in respect of complex theoretical frameworks), “goodness of fit” (in respect of middle-range theories), or “correspondence” (in respect of empirical statements). In science, rules of evidence and validation, notions of objectivity and rigour, and control mechanisms such as peer evaluation, are of critical importance in the pursuit of truth, which is the “epistemic imperative” of the scientific community (Mouton 1996, 30–31). Various research paradigms apply somewhat different criteria in evaluating knowledge statements.

24 The JTB theory is by no means universally adhered to by contemporary epistemologists.

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Whilst epistemological assumptions determine our methodological approach (Dick 1991b, 77), epistemology, which is concerned with the nature of knowledge, should not be confused with methodology, which is concerned with how knowledge is arrived at. Arriving at knowledge implies a human actor, an investigator, who seeks to know. This gives rise to a second key epistemological question, which focuses on “the relationship between the knower and the would-be known” (Mertens 1998, 8). In the various research paradigms, there are different beliefs about this relationship, particularly concerning the cognitive and affective distance that can and should be kept between the investigator and what is investigated. This is especially relevant in the social sciences. Investigators of social phenomena are themselves part of society. Before proceeding to these questions, I note that there is a close relationship between epistemology and ontology. Sometimes they are conflated as “onto-epistemology” with or without the hyphen. This has complex philosophical and political overtones. Regardless of these, the epistemological stance should be congruent with the ontological components that the researcher has identified as central (J. Mason 2002, 13–14). An example of such congruence is found in the use of institutional theory, which provides an ontological basis, and qualitative comparative case studies, in a comparison by Audunson (1997) of turbulent change in metropolitan library systems in three European counties. For a quantitative example, see the study of job satisfaction of librarians in Denmark and the UK by Pors (2003).

4.9.2 Positivism and postpositivism In conjunction with the ontological assumption that reality exists independently of the observer (dualism), a positivist epistemology assumes that the investigator is detached from the object of study and can assume an objective stance towards it (objectivism). In postpositivism the assumption of dualism is largely abandoned, and it is accepted that it is not humanly possible to maintain the independence of the investigator and what is studied. There is a greater awareness of the investigator’s limitations, but a concomitant emphasis on the use of rigorous, standardized methods to prevent the investigator’s bias or values from possibly influencing the findings (Mertens 1998, 7–10). Formal testing of hypotheses developed in the context of a theory is characteristic of this stance; however, as mentioned in Section 4.5, it is not the substantive hypothesis that is tested, but the null hypothesis. If the latter is rejected, it provides confirmation of the substantive hypothesis. However, substantive hypotheses are never definitely ‘proven’; there always remains a possibility that an alternative explanation will be found (Pickard 2007, 10).

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The assumption that the investigator is detached from the object of study provides the basis for the procedures of control and manipulation of the object of study that are characteristic of experiments. In an experiment the investigator aims for a high degree of validity. Therefore, the investigator will typically draw a known probability sample of ‘research subjects’ from a population, to ensure that the sample is representative of the population so that findings can be generalized to the whole population. This generalizability is, roughly, what is meant by external validity. The investigator will also randomly divide the sample into experimental and control groups which are subjected to different ‘treatments,’ that is, different values of an independent variable, while other variables are held constant, or ‘controlled.’ This is to ensure that the effects observed are the result of the manipulation and not of other, extraneous factors. This is, roughly, what is meant by internal validity (Pickard 2013, 22).25 In order to demonstrate experimentally a relationship between the chosen variables, the number of variables that comes into play must be limited. In the social sciences, where we deal with human beings, these procedures are difficult to carry out with sufficient control to ensure internal validity. Attempts to exercise experimental control give rise to artificial situations, which constitute a threat to external validity. In the social sciences, one of the alternatives to the experimental method is the comparative method. This is deal with in Chapter 5. At the risk of oversimplification, one may say that the positivist paradigm generally employs a thin ontology, which focuses on variables, rather than a thick ontology in which the details of particular cases, are of primary interest. Given certain assumptions of the positivist paradigm, this has implications for positivist epistemology. These are the assumptions that (a) objectivity is possible because there is a considerable distance between the investigator and what is investigated, (b) human behaviour is subject to universally valid mechanisms, and (c) the methods of the natural sciences are appropriate for the social sciences. The corollary is a strong emphasis on the formulation of general laws that are capable of explaining social behaviour.

25 External and internal validity are forms of validity specifically relating to research design, mainly in relation to experimental and related designs. The literature of research method distinguishes various other forms of validity. See for example Connaway and Powell (2010, 60–63) and Mouton (1996, 108–13).

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4.9.3 Interpretivism Pickard (2013, 12) stated that in interpretivist epistemology the results of the investigation are produced by the interaction between the subject and the investigator. Both are simultaneously changed by this interaction, so that the knowledge that results from the process is not universally valid but contextual and restricted to the particular time of the interaction. While positivist and postpositivist epistemology utilizes the “conventional benchmarks of ‘rigor,’ internal and external validity, reliability and objectivity” (Guba and Lincoln 2005, 194), interpretivist epistemology puts more emphasis on fairness and various criteria for authenticity that have moral and ethical overtones. An example of such a criterion is “catalytic and tactical authenticity,” which refers to the potential of the research to promote action and empower research participants or communities to embark on emancipative community action. Related to this is the category of “voice” (Guba and Lincoln 2005, 209), which implies, in interpretive epistemology, a move away from the disembodied observer outside the investigation towards allowing research participants to speak for themselves ― something worth emulating in comparative studies in LIS. A wide variety of theoretical perspectives, many of them embodying an interpretivist epistemology, is under discussion in comparative education, as discussed for example by Crossley (2002), by Dale (2005) particularly in response to globalization and the knowledge economy, by Klees (2008b), and in the volume edited by Schriewer (2012). Various strands of interpretivist epistemology, particularly critical theory, have achieved widespread acceptance in comparative education. However, they have yet to make an explicit appearance in comparative LIS. Under the broad umbrella of interpretivism, Guba and Lincoln (1994, 110–11) distinguished between critical theory and constructivism, characterizing their respective epistemological positions as follows: Critical theory and related paradigms: transactional/subjectivist; value-mediated findings – there is an inevitable, value-laden link between the investigator and the ‘object’ of the investigation, which influences the findings, thereby blurring the line between ontology and epistemology. Constructivism: transactional/subjectivist; created findings – the investigator and the ‘object’ of the investigation are interactively linked and the findings are developed or ‘created’ in the course of the investigation through the interaction of a particular investigator and the ‘object’ of investigation. Here too the line between ontology and epistemology is blurred.

Interpretivist epistemologies are generally associated with thick ontologies. Attention is focused holistically on the phenomenon or case as a whole in its particularity, complexity and detail. This is in contrast with the positivist and postpositivist

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epistemologies, which tend to look at reality in terms of variables and where the need to operationalize concepts for purposes of ‘measurement’ (collecting quantitative data) and the testing of hypotheses, leads to simplification and loss of detail. Generally, interpretivist epistemology gives more weight to hypothesis generation. It takes contextual factors into account, and for this reason is sometimes referred to as “culturalist” (Hantrais 2009, 38). It pays attention to the evolution of the phenomenon over time, which gives rise to another label, ‘historicist.’ Writing from an information retrieval science perspective, Hjørland (1998, 607–9) expressed a preference for the ‘historicist’ approach, which accepts that humans are social and cultural beings and that psychological processes such as logical thinking, memory and decision making are culturally determined. Such a point of departure seems appropriate for international and comparative librarianship, where it is sensible to try to understand library development and conditions in terms of cultural and other contextual factors. In fact, this is commonly the case, even when authors may not necessarily subscribe to the interpretivist paradigm (e.g. Juznic and Badovinac 2005; Shachaf, Meho, and Hara 2006; Mutula 2008; Foster and McMenemy 2012). In Section 4.8 I referred to comments by Schwandt (2000, 191) on the importance of meaning in interpretivist ontology. This implies that understanding of social phenomena requires a process of interpretation: “To find meaning in an action, or to say one understands what a particular action means, requires that one interpret in a particular way what the actors are doing.” This calls for a process of “interpretive understanding,” known by the German term Verstehen. Verstehen implies “empathic identification,” requiring “psychological re-enactment – getting inside the head of an actor” (p.192), or phenomenological analysis and related approaches. The important thing is that interpretivist epistemology concerns itself with meaning. Heron and Reason (1997), proposing an extension of the set of basic paradigms summarized by Guba and Lincoln (1994), argued for a “participative worldview,” with a subjective-objective notion of reality, to which they refer as “critical subjectivity” (n.p.). This requires a self-reflexive awareness of four ways of knowing: experiential (direct encounter, both sensory and spiritual, of people, places and things), presentational (symbolic and metaphoric reliving of experiential knowing), propositional (expressed in statements and theories), and practical (knowing how to do things). 4.9.4 Non-Western epistemologies The emancipatory paradigms referred to in Section 4.5 above put forward various alternative epistemologies. Some scholars in developing countries object to

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the ‘hegemony’ of Western epistemological approaches. Writing from an African indigenous perspective, Chilisa (2005, 662) criticized the “mainstream [Western] research epistemologies and their assumed universal validity in assembling, analysing, and interpreting and producing knowledge which remains a highly foreign and colonizing instrument.” In recent decades, interest in the worldviews or “cosmovisions” of traditional or indigenous peoples has increased greatly. In spite of colonialism, these worldviews continue to coexist with Western science and technology (Millar and Dittoh 2004). They are often relational, comprising the spiritual, the natural and the human “constellations,” rather than being compartmentalized into different categories, as in the West. Writing about traditional people in northern Ghana, Millar (2007, 295), himself an African scholar, has stated that for his people, “gods, spirits, ancestors, spiritual and political leaders, sacred groves, lands and shrines, ritual crops and animals, food items and cash crops are all interrelated.” There are many African worldviews. Millar has attempted to build a general model of African knowledge, incorporating epistemological elements. He pointed out that: Some of this knowledge can be, and indeed is, expressed outwardly for expanded learning and sharing, but most of it is ‘internally’ locked up and requires ‘different sets of tools for scientification.’ These tools include empathy, immersing/embedding, initiation and just being born into it, tutelage/apprenticeship, experiencing/experiential learning and a calling (Millar 2007, 301).

Of course, indigenous worldviews are not limited to Africa (e.g. Escóbar 2007; Haverkort 2007; S. Rist et al. 2007 in the same volume). A sympathetic understanding of indigenous epistemologies can be very relevant to LIS workers engaged in LIS development or aid projects and in comparative research.

4.9.5 Nomothetic and idiographic research Earlier I touched on the implications of thin and thick ontologies for positivist and interpretivist epistemologies respectively. In this connection it is useful to refer to the distinction between nomothetic and idiographic research, a distinction introduced by the German philosopher and historian of philosophy, Wilhelm Windelband ([1894] 1980).26 In a widely cited lecture, which should be seen

26 This topic could also have been dealt with under Teleology. However, I choose to deal with it here because Windelband himself originated the distinction in the context of his theory of knowledge. In any case, this distinction is highly relevant to the discussion of case-oriented vs. variable-oriented studies in the next chapter.

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against the background of the rise of logical positivism in the nineteenth century (Oakes 1980), Windelband addressed what he considered to be the misleading distinction made between the natural sciences (Naturwissenschaften) and the sciences of the mind (Geisteswissenschaften), and proposed replacing the contentbased distinction by a methodological distinction (Staiti 2013, sec. 3). Although Windelband himself did not use the distinction in quite this way (Lamiell 1998), the two terms, nomothetic and idiographic have come to refer to general approaches to scientific research. Nomothetic refers to research aimed at establishing general regularities or laws27 through the formal testing of hypotheses. Idiographic research, on the other hand, is more concerned with comprehensive understanding of a phenomenon in itself, in depth, in its uniqueness and in its context (Mouton & Marais 1990:48–50).28 Heinrich Rickert, a student of Windelband, introduced the terms generalizing and individualizing as preferable to nomothetic and idiographic respectively (Staiti 2013, sec. 3). The rise of the nomothetic approach in the social sciences has been attributed to the desire of social scientists for ‘scientific’ respectability (Hantrais 2009, 43). In comparative education, the 1960s saw a big push to develop a nomothetic ‘science’ of comparative education using methodologies derived from the social sciences, emphasizing the formal testing of hypotheses using statistical techniques. Bereday’s (1964) pioneering work and the text by Noah and Eckstein (1969), which emphasized empirical and quantitative methods, exerted great influence in our field too. Bereday’s methodology29 provided the basic structure for the well-regarded comparison by Hassenforder (1967) of public library development in France, Great Britain and the USA. As mentioned in Section 2.3, it also formed the basis for the research methodology set out by Krzys and Litton (1983) for “world study in librarianship,” which aimed at “the formulation of theoretical knowledge that underlies librarianship.” Basing their work on the assumption of “a basic immutability of human nature” (p.6), Kryz and Litton proposed four “laws of world librarianship,” which reflect a progression from context-dependent national variants, through partial convergence across

27 Nomothetic derives from the Greek νόμος, nómos, ‘law.’ 28 Idiographic (frequently misspelled ideographic) derives from the Greek ἴδιος, idios, own, private, which also appears in the words ‘idiosyncratic,’ ‘idiopathic’ and ‘idiot.’ Curiously, the term was misspelled by Mouton & Marais (1990). In his later book, Mouton (1996, 133) persisted in spelling “idiographic” incorrectly. 29 Rust et al. (1999, 86) have pointed out that Bereday remained true to earlier educational comparativists in his use of induction, with observation and classification preceding the formulation of hypotheses.

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national boundaries, to global standardization, formulated as follows in the fourth law, the “Law of Total Convergence”: Eventually all world variants of librarianship will, through standardization, converge to form a global librarianship. The success of the global librarianship will be controlled by the preciseness by which all elements of world librarianship are standardized (Krzys and Litton 1983, 197).

The project of Krzys and Litton illustrates the nomothetic approach that is associated with positivist epistemology. In addition, one could hardly wish for a more vivid illustration of universalism, the desire to demonstrate the universality of social phenomena (cf. Hantrais 2009, 28), than this aim.30

4.9.6 Importance of epistemology Epistemology is not only relevant to researchers. In a thoughtful study of the significance of epistemology for research and practice in LIS, Dick (1999) identified specific epistemological problems in LIS and explored both general and specific difficulties encountered in studying the epistemological frameworks within which LIS practitioners carry out tasks such as book selection and classification, but of which they are generally unaware. In a later article he pleaded for recognition of alternative, indigenous epistemology, “an alternative way of knowing and constructing reality at work in indigenous knowledge” (Dick 2013, 9).

4.10 The ethical dimension Ethics, also known as ‘moral philosophy’ is the branch of philosophy that studies the rights and wrongs of human behaviour, the moral choices people make, and how they try to justify them (M. Thompson 2008, 1). It comprises studies of ethical theory and applied ethics. The word ‘ethics’ is often used to refer to “a code or set of principles by which people live” (Popkin and Stroll 1993, 1), for example, in medical, legal or business ethics. These fall within the scope of applied ethics, which also includes research ethics. Generally, research ethics deals with principles for the conduct of researchers in relation to the persons,

30 Krzys and Litton appear to have confused scientific laws, which are intended to explain, with normative laws, which lay down how things should be done.

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communities and artefacts they study, the wider society, the researchers’ colleagues, and the wider scientific community. There are various schools of ethical thinking. Depending on whether the motives of the actor, the consequences of the action, or the nature of the action are emphasized, ethical theories are described respectively as motivist, consequence (or consequentialist), or deontological theories (Popkin and Stroll 1993, 47–48). Under these broad headings there are many strands. In research ethics, the consequentialist theory known as utilitarian ethics has been very influential. In utilitarian ethics, the anticipated costs and benefits to the people involved are weighed. This has been put crudely as attempting to ensure “the greatest happiness for the greatest number of people” (M. Thompson 2008, 82). All three schools have been labelled as ‘universalist’ in that it is assumed that, although they are based on Western values, they are appropriate for all cultures. However, this assumption is increasingly challenged today, and a number of new non-universalist ethical theories have emerged.

4.10.1 The “biomedical” ethical model In the English-speaking world and in many other countries in which social research has been influenced by U.S. practice, the most widely-used ethical framework is one which arose out of revulsion occasioned by a number of highly publicized ethical scandals, such as the Nazi medical experiments, the Tuskegee Syphilis Study, and (arguably unfairly) the Milgram experiments (Cave and Holm 2003). It is worth noting that these concerned medical and psychological experiments undertaken along positivist lines. Disturbing research projects such as these resulted in the formulation by professional associations and government agencies of guidelines, codes and regulations governing research with human subjects. In the USA, the Federal Government requires universities to establish institutional review boards (IRBs) to which staff and students wishing to undertake research involving human subjects have to submit their projects for approval before they may proceed. IRBs were established under the U.S. Federal policy for the protection of human subjects, known as the “Common Rule.”31 Today, similar research policies are required by funding agencies in most countries, for example, by UK Research and Innovation, the

31 US. Office for Human Research Protections, https://www.hhs.gov/ohrp/regulations-andpolicy/regulations/common-rule/, accessed 2018-04-17.

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body which controls the awarding of government-funded research grants and doctoral scholarships in the UK.32 Most social science research methodology texts have a chapter or section on research ethics, covering the canonical ethical principles of respect, beneficence and justice in research with human subjects. These usually include such aspects as refraining from harming participants and from deception, ensuring only voluntary participation and obtaining prior informed consent,,33 and ensuring anonymity and confidentiality (A. Rubin and Babbie 1993, 57–64; Pickard 2013, chap. 7; Creswell 2009, 87–92; Connaway and Powell 2010, 88–93). Much of this derives from problems encountered in experimental biomedical and psychological research – hence its label in some quarters as the “biomedical model of ethics” (Denzin and Lincoln 2005b, 37). Other ethical aspects of academic and scholarly conduct (e.g. integrity in reporting and publishing research, objectivity in peer review, and respect for intellectual property) are often dealt with in such texts, and usually feature in the ethical codes of professional associations of social scientists such as that of the American Sociological Association (1999).

4.10.2 Interpretivist critique of the “biomedical model” The “biomedical model” has come in for much criticism from social scientists using qualitative methodologies within interpretivist and related paradigms, particularly from those working with indigenous34 communities. Denzin and Lincoln (2005b, 36) criticized what they called “the deception-based, utilitarian IRB system” and cited a long list of deficiencies in the IRBs identified by the American Association of University Professors (pp. 37–38). In a discussion of ethics in qualitative research, Punch (1994, 88–94) pointed to the moral dilemmas that researchers may face when working within an interpretive paradigm, for example within the framework of critical theory, where the researcher’s relationship with marginalized or downtrodden groups

32 UK Research and Innovation, “Research integrity,” https://www.ukri.org/about-us/poli cies-and-standards/research-integrity/, accessed 2018-09-06. 33 Informed consent is the centre-piece of the Common Rule. The basic elements of informed consent are specified in the document (page CRS-75). 34 Linda Smith (2005, 86) has defined indigenous peoples as “the assembly of those who have witnessed, been excluded from, and have survived modernity and colonialism. . . They remain culturally distinct, some with their native languages and belief systems still alive. They are minorities in territories and states over which they once held sovereignty.”

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and his commitment to them may be seen as justifying the exercise of deception vis-à-vis dominant groups or authorities. A decade later, Christians (2005) and Markham (2005) took a much more critical stance towards the conventional concepts of research ethics, which they attributed to a positivist paradigm. They were particularly critical of the institutional review boards, which they saw as imposing inappropriate and stifling constraints on interpretivist research. They indicated that positivist and interpretivist scholars pose quite different ethical questions (cf. also Lincoln 2005). Linda Smith (2005), a New Zealand educationist of Maori origin, commented that “most ethical codes are top down in the sense of ‘moral’ philosophy framing the meaning of ethics and in the sense that the powerful still make decisions for the powerless.” In these codes, principles such as respect and informed consent are dealt with in an abstract manner, “partly through a process of wrapping up the principle in a legal and procedural framework” (p.98). Ethics codes are mainly underpinned by human rights, which emphasize the protection of the individual, not the collective. The composition of ethics committees or boards is narrow and does not reflect the broader society. Generally, the codes assume “ethical universalism,” and have an “atomistic focus” (concerned with individuals rather than communities). They do not readily accommodate “emerging methodologies” or indigenous perspectives (L. T. Smith 2005, 98–101).

4.10.3 Non-utilitarian approaches Various alternatives to the “biomedical model” of research ethics have been proposed. These include indigenous, postcolonial, participative, feminist and communitarian ethics among others. The editors of the third edition of the SAGE handbook of qualitative research (Denzin and Lincoln 2005b, 36, 40) explicitly endorsed a “feminist, communitarian ethic”: We endorse a feminist, communitarian ethic, that calls. . . for collaborative, trusting, nonoppressive relationships between researchers and those studied. Such an ethic presumes that investigators are committed to stressing personal accountability, caring, the value of individual expressiveness, the capacity for empathy, and the sharing of emotionality. (p.40)35

35 Italics by the cited authors, who cited P. H. Collins (2000, 216) as their source.

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This ethic was described in more detail in the chapter by Christians (2005, 151–55), who attributed the label “feminist communitarianism” to Denzin (1997). He saw it as “an antidote to individualist utilitarianism,” since it placed much emphasis on social commitments and the interconnection of personal autonomy with “communal well-being,” and the participation of communities in decision making on all facets of the conduct of research. Moral rules that are grounded in the community should be negotiated bottom-up; those imposed top-down should not be accepted. It is also an ethic of care36 and one concerned with social justice.

4.10.4 Ethics in research involving indigenous people While much of the discourse on alternatives to the utilitarian approaches appears somewhat abstract and very evangelistic, more concrete insights into what this may amount to in the actual conduct of research may be gained from discussions of ethics in cross-cultural research and research involving indigenous people. Moral and ethical aspects of cross-cultural research have been dealt with in some detail by Liamputtong (2010, chaps 1–2). She proposed that the research approach should embody a “healing methodology” based on love, compassion and reciprocity, and be based on “relational ethics,” based on mutual respect and community consultation. In a discussion of psychoeducational research on minority youth in Canada, A. Marshall and Batten (2003) identified a range of ethical issues arising from work with culturally diverse populations. Inappropriate approaches to cross-cultural research may arise from attempts to apply what are “largely European Western values, ethics, and norms” (p.140). These may be incongruent with the values, worldview, beliefs, aspirations, and expectations of the groups in question. There may be cultural differences in the understanding and interpretation of concepts such as privacy, confidentiality and informed consent. According to ethical research norms, individual informed consent is required prior to inclusion of each participant in a study and it is typically given when the participant signs a standard letter of consent. Marshall and Batten comment: In some cultures, ethics is a more fluid concept that requires constant re-examination and redefinition, with informed consent viewed and implemented as an on-going process.

36 Some feminists have reservations about the link between feminism and the ethic of care, rejecting the essentialist notion that women are “natural carers.” See Olesen (2005, 254–56).

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What this means is that consent must be asked for and given at almost every step of the research process to assure that it is valid and that the participants remain fully informed and cognizant of each aspect of the research proceedings. The standard letter of consent that participants read and sign is only one part of this process, and indeed, can act as a barrier to truly informed participation unless fully explained in understandable language (A. Marshall and Batten 2003, 143).

Whereas in Western societies much emphasis is placed on individual freedoms, in many societies in the developing world the orientation may be more collectivist. In such cases, the extended family, the village or the community structures may need to give consent, rather than the individual research participant. To gain access to a community, the researcher must understand its structure and dynamics. Failure to respect the norms, values, and knowledge of local communities can have serious consequences. Chilisa (2005, 672) asserted that such failure is itself unethical, warning that it may lead to the dissemination and perpetuation of outsider prejudices: Research knowledge authorizes views and perceptions about the researched. An accumulated body of knowledge on the researched becomes the point of reference for legitimizing new knowledge. The problem of giving legitimacy to research knowledge is that most of the accessible research was not carried out by the researched.

Uninformed research can lead to bad planning decisions in developing countries. Chilisa accused Western approaches to research on the HIV/AIDS epidemic in Botswana of exacerbating the problem by dismissing local understandings of disease, asserting that it is unethical of researchers to present information which is incomplete, out of context and misleading, given that this information is used by health planners to design interventions for combating the disease. Linda Smith pointed out that research on indigenous peoples is rooted in colonialism. The history of research ethics with indigenous peoples is a study of how societies, institutions, disciplines, and individuals authorize, describe, settle and rule. It is a study of historical imperialism, racism, and patriarchy and the new formation of these systems in contemporary relations of power (L. T. Smith 2005, 101).

Ethical principles for research with indigenous groups have been formulated by various bodies, including the Australian Institute of Aboriginal and Torres Strait Islander Studies, which has published Guidelines for ethical research in indigenous studies (Australian Institute of Aboriginal and Torres Strait Islander Studies 2012). It stated fourteen principles, grouped into six broad categories:

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rights, respect and recognition; negotiation, consultation, agreement and mutual understanding; participation, collaboration and partnership; benefits, outcomes and giving back; managing research: use, storage and access; and reporting and compliance. (p.3)

In the USA, the African Studies Association (ASA) published ASA ethical conduct guidelines (African Studies Association 2005) which are “designed to orient members to the issues involved in research and other professional endeavors across cultures and nations and especially where there is highly unequal access to the means for engaging in them.”

4.10.5 Ethics in cross-national and cross-cultural research collaboration Hantrais (2009, 146–49) discussed research ethics in international comparative social research, with particular emphasis on the maintenance of scientific standards in international projects. As mentioned earlier, within a cross-national or cross-cultural research team there may be cultural differences in the understanding and interpretation of key ethical concepts. Social researchers working across national borders should not assume that their ethical stance is shared by their counterparts in other countries, even countries with a shared Western heritage and comparable socio-economic conditions. For example, whereas the utilitarian philosophy is dominant in American ethical discourse, which tends to be legalistic, researchers in continental Europe, especially the Nordic countries, tend to take a deontological stance in which ethical decisions are taken in interaction with the human subjects (Markham 2005, 814). In any case, the ethical codes of national professional associations and regulatory agencies differ from country to country. Thus, in cross-national and cross-cultural team research, ethical issues need to be clarified at the initial stages, and attention must be paid to such issues as the ownership and ultimate disposition of data, reporting, and dissemination of results. In the case of research conducted in or on countries with undemocratic regimes, particular care must be taken with access to research data so as to protect the identities of research participants and informants. Citing even quite innocuous-looking facts or reproducing mildly unfavourable comments, if these can be traced to a local informant, can have very serious consequences for that person. In collaborative research in developing countries researchers should expect to encounter issues arising from asymmetric power relations. When projects are

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undertaken in developing countries in collaboration with local partners, the local partner may be at a disadvantage in respect of resources, skills, experience, language competence, etc. Warwick (1983b, 325) asserted that “the single most frequent topic in discussions of cross-cultural research ethics has been the relationship between foreign scholars and local collaborators in developing countries.” Asselin (2011, 21) warned that “in international contexts . . . power relations between the researchers and participants, and between local and foreign researchers, can be misused, intentionally or unintentionally.” Researchers from developed countries need to be aware of their privileged position and occupy this “unstable space” responsibly. Liamputtong (2010, 137–49) discussed the involvement of “bicultural” researchers in qualitative cross-cultural research. Referring to local field workers, translators and interpreters, she pointed out that involving them as partners on a more equal basis can contribute much to the success of a project. Chilisa (2005, 676) highlighted the practices of international donor organizations that fund research in developing countries, pointing out that their grant contracts invariably place Third World researchers in a subordinate position (p.676), the First World researchers being giving the positions of leadership and the responsibility for producing the final report. She attributed this to persistent colonial attitudes.

4.10.6 Knowledge sharing In international and comparative LIS research, we need to consider the ethics of international knowledge sharing and information flows. This applies particularly to comparative research involving developing countries (or for that matter any LIS research in such countries) where asymmetries may exist in respect of power relations and information flows. People, communities and institutions should not be exploited as ‘fodder for research.’ The autonomy and dignity of research participants and collaborators should be respected. It is important that the authentic voices of those studied in other countries and societies be heard. Therefore, the flow of information should be reciprocal, encompassing South-North as well as North-South flows. At the conclusion of the research project feedback should be given to communities that were studied and that provided research data, so that they too can benefit fully from information and insights gained (Britz and Lor 2003; Lor and Britz 2004a). Researchers have a moral responsibility to provide feedback to the community

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from which their research participants were drawn. This can be done in various ways (Liamputtong 2010, 222–33). One should not assume that writing up the research in a scholarly journal will ensure that local scholars and the studied community gain access to the findings. Access may be impeded by intellectual property issues. Chilisa (2005, 676) pointed out that copyright in the intellectual property created by a collaborative research project that is undertaken in a developing country typically vests in the donor agency. Researchers should insist that reports and publications arising from the research be made readily available in the country or countries where the research was carried out, ideally on open access. Attention also needs to be paid to the disposition of research data for access by the community or country concerned, provided that this does not conflict with requirements for confidentiality.

4.11 Evaluation of metatheoretical assumptions By way of a summary, this section lists a set of questions for each dimension. These questions may serve to characterize and evaluate a given piece of research. The focus is on comparative research, but they are also relevant to other international work.

4.11.1 Sociological dimension – Who is/are the author(s)? – From which countries? (From countries on/in which research was conducted or from a third country?) – Do they explicitly deal with the challenges of intercultural understanding and cultural relativism? – If comparative, was the study, with its instruments and techniques, designed in both/all of the countries being compared (symmetrical), or in one of the countries (asymmetrical)? – Is there a possibility that the authors could have been affected by bias? – What measures were taken to avoid cultural bias and methodological nationalism? – If authors from more than one country collaborated, do they describe the collaborative process and how they dealt with cultural differences and differences in their intellectual styles?

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4.11.2 Teleological dimension – What is the overarching purpose of the research: basic and theoretical, or aimed at practical application? – If practical, is it aimed at applying findings to evaluate, change or improve institutions, systems, processes or products through comparative rankings, benchmarking, adaptation, innovation, etc.? – Is the research aimed at policy borrowing or advocacy?

4.11.3 Ontological dimension – What is investigated – what kind of phenomenon? (E.g. human characteristics, attitudes, perceptions, behaviour, cognitive activity, institutions, processes, products of human activities.) – Is the phenomenon something that exists ‘out there’ in external reality and can be observed (naive realism) or something that exists in external reality but of which the relations are more difficult to pin down (critical realism)? – Is the ontology thin (concerned with decontextualized phenomena, taken at face value) or thick (taking into account history, culture and meaning of human action as seen by the actors)? – Is there an explicit or implicit ontological framework such as a systems approach or an underlying ecological or evolutionary metaphor? – Are nation states assumed as necessary units of analysis?

4.11.4 Epistemological dimension – How do the authors see themselves in relation to the phenomenon that was studied: completely detached and independent from it (positivism), imperfectly detached from it but striving for objectivity (postpositivism), or in a continuous interaction with it (interpretivism)? – How critical is objectivity and how acceptable is a subjective element? – What role do values play in the research: are they rigorously excluded, or included as a formative element? – What is the nature of the knowledge envisaged: is it a conventional ‘scientific’ accretion of verified or non-falsified hypotheses, or is there a less conventional concept of knowledge, e.g. critical revision and reinterpretation of accepted structures, or emphasis on authenticity, experiential or transformative knowledge?

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– Do the authors adopt a nomothetic approach emphasizing explanation, prediction and control and striving to arrive at valid generalizations, or an idiographic approach striving to arrive at a deeper, more comprehensive understanding of the phenomenon in its uniqueness and complexity?

4.11.5 Ethical dimension Here I list questions relating to international and cross-cultural research. The range of issues in research ethics that are potentially to be addressed in any research project in LIS is of course much greater. See, for example, those cited by Connaway and Powell (2010, 87–93). – Do the authors demonstrate an awareness of potential national and cultural differences in the understanding of concepts such as beneficence, privacy, confidentiality, informed consent, the right to withdraw from the study, and the re-use of data? – In cases where research was conducted in developing countries, did the authors demonstrate care for the autonomy and dignity of research participants who may have been disadvantaged in terms of language, literacy, poverty, etc.? – In cases where research was conducted in developing countries, did the authors deal appropriately with potential asymmetries in respect of power relations and information flows among members of the research team? I.e. were team members in all participating countries treated with respect and fully involved in decision making? – Was provision made for debriefing or feedback to groups in the countries that were compared, to ensure dissemination of information to enhance understanding and promote development?

4.11.6 General metatheoretical/paradigmatic stance To the above we can add some general evaluative questions: – Do the authors explicitly identify the paradigm within which they work, e.g. cognitive, constructivist, Marxist, feminist, postcolonial, etc.? – If not, do the authors give any evidence of awareness of metatheoretical issues? (If there is no such evidence, their stance is most likely naive empiricism.)

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In practice, very few of the above questions are likely to be answered explicitly in shorter reports, such as conference papers or journal articles. More explicit answers will be found in longer reports such as academic dissertations. However, in the case of each of the metatheoretical dimensions, there are two key criteria for evaluation: a. Did the author(s) explicitly answer (some of) the above questions? b. Did they show an awareness of the impact of their decisions? When we look at the methodological decisions (considered in Chapter 5), we will need to consider whether these were taken in alignment with the above decisions.

4.12 Towards methodology Whilst (to my knowledge) metatheoretical reflection in comparative librarianship failed to progress beyond positivist and postpositivist assumptions, such reflection continued in other disciplines. In comparative education in the 1970s and 1980s a growing interest in educational outcomes and the experiences of different groups and minorities, a concern with social inequalities, and greater awareness of the socio-economic and political context of education gave rise to controversies over the nature of comparative education (Altbach and Kelly 1986, 6–7). It also led to the importation of new perspectives from anthropology, feminism, and postcoloniality, among others (Cowen 2006, 568). The diversity of approaches is currently such that Hantrais (2009, 42) has characterized comparative education as “fragmented.” Similarly, Sartori (1991) deplored the state of confusion in comparative politics. It appears that the general trend in comparative studies has been towards a greater acceptance of epistemological stances associated with what Pickard has grouped under interpretivism: not only critical theory and associated paradigms, and constructivism, but also stances labelled as culturalism or historicism, depending on the discipline. In this overview of metatheoretical considerations, reference is made to many metatheoretical “isms.” Impatience is sometimes expressed with metatheoretical concerns. Referring more specifically to epistemological and ontological assumptions, Mouton (1996, 39) has taken a nuanced view: while some metatheoretical assumptions about the social world are incompatible, . . .depending on the research problem, most social scientists can happily tolerate a range of seemingly conflicting assumptions about the social world. . . most social scientists are quite happy to leave . . . metascientific issues to the philosophers and get on with the job!

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The main points to be retained here by those considering comparative and international studies in LIS are that our thinking may well be slanted positivistically without our realizing it; that there is a rich variety of alternatives to positivism; and that whatever paradigm we adopt, knowingly or unknowingly, will have implications for our methodology, which is the subject of the next chapter.

5 Methodological decisions Comparisons are odorous (Dogberry, in William Shakespeare’s ‘Much ado about nothing,’ Act 3, Scene 5). Comparison is the basis of almost all fields of human inquiry (M. Bray & Thomas 1995:472).

Outline 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 5.11 5.12 5.13 5.14 5.15

Introduction 230 Methodological decisions and metatheory 231 Quantitative and qualitative methodologies 232 Mixed methods 236 The comparative method 239 Theory and mechanics of comparison 245 Terminology 252 Comparative strategy 258 Comparative research designs 261 Selection of countries 271 Typologies and country groupings 277 Selecting an appropriate level of analysis 280 The time dimension 282 Evaluation of methodology 285 Conclusion 287

5.1 Introduction In Section 4.3, the relationship between metatheory, methodology and method was examined. Following Dervin (2003, 136–37) and Pickard (2007, xv–xvii), I proposed to consider methodology as the bridge between metatheory, the general higher-level assumptions (also referred to as paradigms or world views) that underlie researchers’ work, and method, the specific practical procedures they use in collecting, analysing and interpreting data. This chapter deals with methodology in the sense outlined there. As noted in Section 2.5, there has been ongoing methodological rethinking and discussion in other comparative social science fields, such as in comparative education, law, politics, social policy, and comparative social research generally as well as in cross-cultural studies such as cross-cultural social work (Tran 2009). This chapter draws on methodological writings in these comparative fields, with

https://doi.org/10.1515/9783110267990-005

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emphasis on comparative politics and comparative education. In this I follow in the footsteps of Foskett (1977), who provided the LIS profession with an overview of comparative studies in other disciplines at a time when there was much new interest in comparative librarianship. Not all the considerations set out in these texts can be readily transposed to our field. It must be borne in mind that concepts and methodological practices differ widely between the social sciences, so that an attempt to synthesize methodological guidelines from the literature of a wide range of disciplines is a hazardous undertaking. Nevertheless, we have much to learn from other disciplines. Whilst Sections 5.1 to 5.4 are of general import, the remaining sections of this chapter focus on comparative librarianship. Much of what is said there will also be found relevant to non-comparative research in international librarianship or to research into library and information phenomena more generally in other countries.

5.2 Methodological decisions and metatheory Pickard (2007, xvi) echoes a fairly common standpoint that there are only two basic methodologies: quantitative and qualitative. The choice between these two is the highest level methodological decision. However, in international comparative studies there are two further areas of decision making which in my view belong to methodology rather than to method as understood in the Iceberg Model. I therefore distinguish two further levels of decision making: comparative strategy (Section 5.8), and comparative research design (Section 5.9). The metatheoretical assumptions discussed in the previous chapter have a strong influence on the first methodological choice, between quantitative and qualitative approaches. Quantitative methodology is usually associated with a positivist or postpositivist metatheoretical stance, and qualitative methodology with an interpretivist or allied metatheoretical stance (cf. Hantrais 2009, 57–59). These in turn affect decisions on comparative strategy and research design. Figure 5.1 depicts the relationship between the three main metatheoretical positions that were discussed in the previous chapter, and the more common methodological choices in comparative studies. To remain within the Iceberg Model (Section 2.4), the diagram should be read from the bottom (the metatheoretical level) upwards. I therefore start with the choice to be made between quantitative and qualitative approaches and the option of a mixed methods approach, before dealing with comparative strategy and research design.

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Comparative research design

Comparative Strategy

General Methodology

Metatheory

Many-country comparison

Few-country comparison

Variable-oriented

Quantitative

Positivism

Single-country study

Case-oriented

Mixed methods

Postpositivism

Qualitative

Interpretivism

Figure 5.1: Relationship of comparative methodological choices to metatheory.

5.3 Quantitative and qualitative methodologies In most general social science research methods texts, including texts in LIS, the majority of chapters are devoted to quantitative methods, with the emphasis on the formulation of hypotheses, operationalization of concepts, measurement (a metaphor derived from the physical sciences), the development of instruments (a similar metaphor), the design of experiments or surveys, sampling, and the statistical testing of hypotheses. In such texts, quantitative methods are regarded as the standard or default approach. Often a single chapter is devoted to qualitative (also called naturalistic or ethnographic) methodology. We may find here that qualitative approaches are subsumed under a positivist methodology. This seems to be the case in the political science texts of Pennings, Keman and Kleinnijenhuis (1999) and Landman (2008, 7). Landman considers what he calls “conceptual description” to be the first “objective” (where ‘objective’ refers to a step, activity or procedure) in a process leading to quantitatively conceived hypothesis testing and prediction. However, whereas in the past political scientists tended to see qualitative methodology as a last resort, only to be used when quantitative methods were not feasible, the distinctive advantages of qualitative methods are now increasingly appreciated (Mahoney 2007, 122). In comparative education positivism inspired a drive for the use of educational data from a large number of countries, on the assumption that large-scale studies would be more ‘scientifically’ reliable.However, as a counter-trend this period saw a move towards more interpretivist methodology, including phenomenology and ethnography, in comparative education

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(Hayhoe and Mundy 2008, 10–13). The trend towards more use of qualitative methodology is also visible in other social science disciplines. Liamputtong (2010) has dealt extensively with the use of qualitative methods in cross-cultural research dealing with indigenous and marginalized groups. In their introduction to the Handbook of qualitative research, Denzin and Lincoln (1994, 3–4) offer the following definition of qualitative research: Qualitative research is an interdisciplinary, transdisciplinary, and sometimes counterdisciplinary field. It crosscuts the humanities and the social and physical sciences. Qualitative research is many things at the same time. It is multiparadigmatic in focus. Its practitioners are sensitive to the value of the multimethod approach. They are committed to the naturalistic perspective, and to the interpretive understanding of human experience. At the same time the field is inherently political and shaped by multiple ethical and political positions.

From the overview given by Denzin and Lincoln in their introduction, a picture emerges of an extremely diverse methodology with a confusing array of competing paradigms. Many texts (e.g. Mouton and Marais 1990, 160–62; Creswell 2009, 12–17; Hantrais 2009, 98) present tables contrasting quantitative and qualitative methodology. It is hardly necessary to add to this discussion, but for the convenience of the reader, Table 5.1 summarizes some important characteristics. Terms used in the table and not encountered in Chapter 4, are explained in the course of this chapter. There is a huge literature discussing the pros and cons of quantitative versus qualitative approaches. It is routinely dealt with in current social science research methodology texts. It is also reflected in debates among comparativists about the respective merits of large surveys in many countries, in-depth comparisons of few countries, and single-country case studies – dealt with in Section 5.9. In this connection, it is worth noting the distinction that is made in psychology and various social sciences between emic and etic approaches.1 An emic approach focuses on the unique issues and phenomena that are found within a single cultural or national group. It emphasizes the variations within groups. An etic approach emphasizes differences among groups. It “studies behavior, attitudes and social values based on the assumption that they are

1 It is helpful to remember that the word ‘emic’ derives from the linguistic term ‘phonemic’ and ‘etic’ from ‘phonetic.’ A phoneme is a speech sound which in a specific language distinguishes one word from another, as in ‘got’ and ‘hot,’ the initial sounds of which are distinguished in English, but not in all languages. Phonetics is the study of speech sounds generally, not limited to any specific language. In the International Phonetic Alphabet (IPA) the same symbols are used for different languages.

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Table 5.1: Characteristics of quantitative and qualitative methodology. Characteristic

Quantitative

Qualitative

Metatheory

Positivist, Postpositivist

Interpretivist

Nature of reality

Singular, stable, independent of observer; external reality

Multifarious, culturally determined, socially constructed; holistic reality

Relation of investigator to what is studied

External, observing from the outside; in artificial setting

In the study setting, observing from within; in real-life setting

Relation to social phenomenon

Neutral Empirical

Engaged Normative

Research aim

Nomothetic; hypothesis testing; generalizing Structured; theory-derived variables identified beforehand; controls; operationalization & measurement

Idiographic; hypothesis generating; contextualizing Unstructured; open-ended, theory developed during research; concepts that are rich in meaning

Typical methods

Experiments, surveys

Participant observation, case studies

Criteria for judging research

Validity & reliability; objectivity

Credibility, transferability, dependability; authenticity

Strategies

universal” (Tran 2009:7) and thus incurs the risk of imposing external concepts on the group being studied. On the other hand, the emic approach, taken to extremes, would make cross-cultural or cross-national comparisons impossible. Contrasts between emic and etic, relativist and universalist, interpretivist and positivist recur in the literature of comparative method, with emic, qualitative, relativist and interpretivist approaches, and etic, quantitative, universalist and positivist approaches respectively being frequently but not automatically associated (cf. Denzin and Lincoln 2005a, 12; Olive 2014, 2–3). An inspection of literature in comparative LIS suggests that it can be divided into six categories on the basis of two criteria: (1) whether the approach is quantitative, qualitative or mixed methods; and (2) whether this approach is adopted in a conscious, sophisticated and premeditated manner or in a ‘common-sense’ (naive or unreflective) manner.2

2 This analysis was carried out on a set of almost 200 articles, dissertations, books and book chapters purporting to be comparative studies or flagged as such in bibliographic databases, with emphasis on the period 2005–2012.

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Roughly two-thirds of the comparative studies in LIS are primarily of a qualitative nature, and by far the most of these are ‘common-sense’ descriptive or narrative accounts, without overt evidence of methodological reflection.3 This genre goes back many decades, and includes some fine studies, many of which were mentioned in Chapter 2, e.g. Munthe (1939), Danton (1963), and Hassenforder (1967). As time passed, the scope of these comparisons became narrower, being restricted to particular library and information phenomena, such as aspects of LIS education (e.g. Akinyotu 2003; Raju and Arsenault 2007), national LIS policies for school and children’s library development (e.g. R. Knuth 1993, 1995a, 1999), post-independence library development (e.g. A. J. E. Dean 1970; Maack 1982), disaster response (e.g. Baba 2007), and intellectual property (e.g. Fernandez-Molina and Chavez Guimarães 2010). These are just a few examples. Many of them include some statistical data (e.g. Danton 1963; A. J. E. Dean 1970). By premeditated qualitative studies I mean studies in which qualitative methods were chosen consciously, as evidenced by discussion of naturalistic or ethnographic methods, grounded theory, and methods for the judicious analysis of qualitative data. True qualitative comparative studies are infrequent. Studies such as those of Dalbello (2008, 2009), Ignatow et al. (2012), Shachaf (2003), Armstrong et al. (2010), Crews (2008) and Šauperl (2005) are exceptions in that they provide explicit rationales for, and descriptions of, the qualitative methods used. Around one third of comparative studies in LIS are primarily quantitative in nature. The majority of these are of the common-sense variety, lacking an explicit rationale. In most cases, they do not put forward and test formal hypotheses but rely on the presentation and comparison of averages and percentages in tables and graphs, e.g. interesting studies by Lauer (1984), Afaq and Mahmood (2005), and Rodríguez Gallardo (2007). There appears to be increasing use of content analysis, particularly of web sites, as for example in Chatfield and Alhujran (2009) and Švencionyte (2005), and LIS school curricula, e.g. Gardijan et al. (2009). The use of non-numeric data (e.g. text) does not necessarily indicate a qualitative study, as data derived from such content analyses are frequently processed, analysed and reported in quantitative terms. Of course, quantification does not preclude insightful comparative discussion, for example in Hermelbracht, Decker and Cüster (2006), who used a scenario development technique and analysis of secondary sources to develop alternative future scenarios which

3 This assessment may be a bit harsh. In LIS it is quite common for journal articles to be published without a rationale for, or description of, the methodology used. The absence of such rationale and description does not necessarily mean that authors did not reflect on their methodology.

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library executive respondents in five countries were required to evaluate. Their results were presented mainly quantitatively, but with significant discussion. Use of terms such as ‘measurement’ and ‘instruments’ usually signals a more rigorous, premeditated quantitative study. Such studies often test formal hypotheses using inferential statistical techniques. Examples are studies by Lau (1988, 1990), who used cluster analysis to examine the relationship between information development and social development; Tenopir et al. (2008), who studied the reading of electronic journal articles in three countries and applied statistical tests to differences between these countries; and Ignatow (2011), who used crisp set analysis to test hypotheses about the conditions under which public libraries are established in developing countries. Bibliometric studies can also be applied in comparative librarianship, for example Hua ([1997] 2008) and Onyancha (2009). In the mean time, promising statistical techniques have become available for exploring the causal relationships and impact among variables postulated in theoretical models, for example structural equation modelling using the partial least squares technique (e.g. Romo-González et al 2018). Somewhere between the two extremes of quantitative and qualitative comparisons is a study by Lauer (1984), who used published data from 14 European countries plus the USA and Canada, to explore why public libraries are used more heavily in some countries than in others. Lauer took the number of books loaned per inhabitant per year as his major dependent variable. A range of independent variables was considered. These included per capita Gross National Product (GNP), population density, percentage of the population employed in agriculture, length of the work week, amount of private book purchasing, newspaper circulation, expenditure on education, and the influence of religion (Protestants are thought to use libraries more heavily than Catholics). Several hypothesized independent variables proved difficult to measure, because good quality, comparable data were not available from all the countries studied. There was no attempt at statistical analysis, but interesting, potentially hypothesis-generating, insights emerged.

5.4 Mixed methods Given the strong contrasts drawn in the literature between quantitative and qualitative approaches, it may come as a surprise to see them combined in what is known as ‘mixed methods research.’ Ngulube (2010, 254–55) usefully cited and reviewed a sample of definitions of mixed methods research, arriving at the following summary:

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The views of the scholars are converging on the fact that MMR involves collecting, analyzing, integrating and interpreting qualitative and quantitative data concurrently or sequentially in a single study or in a series of studies investigating the same problem, irrespective of whichever research methodology is dominant, in order to exploit the benefits of combining them and to enhance the validity of the findings.

There has been a growing acceptance of ‘methodological pluralism’ in the social sciences generally and in comparative studies specifically. The use of mixed methods is now covered in many research methods texts (e.g. J. Mason 1996; Teddlie and Tashakkori 2003) and the topic has also been addressed in LIS (e.g. Creswell 2009; Pashaeizad 2009). Hantrais (2009, 109–13) dealt specifically with multiple methods in comparative social research, distinguishing between three approaches: – Triangulation: two or more different research strategies are used to investigate the same phenomenon so that findings or insights from one strategy can be corroborated by the other(s); specifically, quantitative and qualitative approaches are used in parallel. – Facilitation: more than one approach is used, but one of them is dominant and different techniques may be used sequentially (for example a qualitative study to generate hypotheses before a quantitative study is undertaken). – Complementarity: different approaches are integrated rather than used in parallel or sequentially, as when researchers shift repeatedly from the one to the other. Further types, based on their purpose, were identified by J.C. Greene, Caracelli and Graham (1989), who developed a conceptual framework in which five types were identified based on the purpose for which they were applied: triangulation, complementarity, development, initiation, and expansion. They recommended relevant research designs for each type. Hantrais (2009, 59; 103–8) pointed out that the quantitative/qualitative divide may have been exaggerated and that for many researchers it is no longer so important. According to Aldrich (2014), the qualitative/quantitative dichotomy fails to account for the breadth of collection and analysis techniques currently in use and perpetuates the belief that non-statistical approaches are less rigorous than statistical ones. Ngulube (2010, 252–53) asserted that the “paradigm wars” between the quantitative and qualitative camps have ended and that more “flexible and pragmatic” approaches are now in use in which quantitative and qualitative approaches are combined. However, while the quantitative and qualitative methodologies can be complementary and while there are advantages to combining them, some authors point to a risk that the results will be irreconcilable. Guba and Lincoln (2005, 200), labelled as “purists” by J.C. Greene, Caracelli and Graham (1989, 257), argued

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against what they call “accommodations,” while Goertz and Mahoney (2012) have pointed to significant ontological and epistemological differences in qualitative and quantitative approaches to concepts and measurement. In general, it seems that in most research one of the two approaches is dominant while the other is secondary and supplements it (Ragin 1987, 69–78). J. Mason (2006) has argued for a “qualitatively driven” approach to mixing methods, and for an approach which ultimately transcends the quantitative-qualitative divide. Problems can arise when mixed methods are used by researchers who are insufficiently aware of the metatheoretical implications of the methods they are using. J. Mason (1996, 79) advised that “a researcher must think strategically about the integration of multiple methods, rather than piecing them together in an ad hoc and eclectic way.” Therefore, researchers must be aware of the ontological, epistemological and other assumptions underlying their methodology.4 An implication of this is that the term ‘mixed methods’ should not be loosely applied to studies in which both quantitative and qualitative elements occur. As mentioned earlier, the use of non-numeric data such as text does not necessarily make a study a qualitative study. An example is a study by Galuzzi (2014), who carried out a comparative textual analysis of newspaper articles about current library issues. Her data were qualitative in nature (text), but the data processing and analysis were essentially quantitative, the findings being presented primarily in the form of percentages, tables and graphs. No quantitative study can stand by itself without some qualitative background, usually in the literature review and problem statement, and often in the discussion of findings and conclusions. The presence of these elements does not make it a qualitative study or a mixed methods study. Conversely, the presence of numerical data, for example in sketching the background to an essentially qualitative study, does not make it a mixed methods study. In current LIS research mixed methods are used quite widely, but often this seems to be done from a predominantly quantitative perspective. If under mixed methods we understand the thoughtful, premeditated use of both qualitative and quantitative methods, with some evidence of reflection on how and why they were used in combination, this leaves a relatively small number of studies in comparative LIS, for example the study by Henri, Hay and Oberg (2002) on the influences of school principals on school library effectiveness, and one by Luyt (2006) comparing the newspaper coverage of internet access in public libraries in Canada and Singapore.

4 In comparative political science, Peter Hall (2003) has contributed a useful analysis of the relationship between ontology and methodology.

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5.5 The comparative method 5.5.1 Historical development The Biblical scholar comparing fragments of ancient papyri, the lepidopterist comparing a collected moth specimen with a field handbook, and the palaeontologist comparing growth rings of petrified trees to determine climatic conditions in the distant past, all illustrate the truth that comparison is fundamental to all scholarly and scientific activity, for identification, classification and establishing relationships. The comparative method is of venerable antiquity. Hayhoe and Mundy (2008, 2–3) traced the origins of comparative education to Plato’s The Republic, Xenophon, and Cicero, while Macridis (1978, 18) identified Aristotle as the “first student of comparative politics.” The origins of modern comparative science have been traced to the anatomical studies of Edward Tyson (1651–1708), who systematically catalogued the anatomical differences between humans and chimpanzees and described his findings in 1699, contributing to the establishment of comparative anatomy as a field of study and to the eventual development of the theory of evolution (Carpi and Egger 2008). The introduction of the comparative method was a significant feature of the rise of modern empirical science and the emergence of academic disciplines. During the late eighteenth and the nineteenth centuries the comparative method became the method of choice for generating and analysing empirical data, especially in life sciences. The comparative method was soon adapted in the human sciences: The project of establishing scholarly fields devoted to the comparative study of language, law, religion, political constitutions, and, eventually, education is one of the earliest and most prominent examples of the transference of a successful methodological approach from the natural sciences – particularly the life sciences – to the human and social sciences (Schriewer 2000, 308).

This led to the comparative study of fields such as languages, law, religion, political systems and education.5 In fact, early comparative work was foundational in several disciplines such as the science of education. The seminal work on comparative education by Marc-Antoine Jullien (1817), which contained several hundred comparative questions, was also the first to introduce the concept of ‘science of education’ in France (Schriewer 2000, 308–9).

5 R. Edwards (1970, 245–47) has outlined what is meant by ‘comparative’ in several of these fields, showing that ‘comparison’ may be understood differently, and function differently, in them.

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Also during the first half of the nineteenth century, in 1843 John Stuart Mill ([1843] 1882) published his influential work, A system of logic, ratiocinative and inductive, setting out his “eliminative methods of induction,” known today as the five methods of experimental inquiry (Mackie 1967). These methods laid the basis for the experimental method – a method which involves a great deal of comparison – as the primary method for establishing causation. Experimentation “involves the controlled manipulation of the subject under study in an effort to isolate causal factors” (Landman 2008, 14). Simplistically stated, in an experiment, we seek to establish that a given factor (or independent variable), and no other, is the sole and necessary cause of an effect that is under investigation.6 All other factors (confounding variables, or confounders) that could cause the effect, must be ruled out. The experimenter intervenes in this artificial situation by manipulating the independent variable and observing to see whether the expected effect occurs. Thus, observations or measurements before and after the intervention (pre-test and post-test) are compared. In a true experimental design, further control measures are introduced. Experimentation is therefore characterized by interventions, control, observation and before-after and between-group comparison.7 However, in many situations it is not possible to intervene through manipulation and to exercise strict control over all the possible confounding variables. In research dealing with human subjects there may be ethical objections, or the phenomenon being observed may develop over a very long time-scale, as in politics. During the nineteenth century the foundations of sociology and the social sciences were laid by pioneers such as Auguste Comte (1798–1857), Karl Marx (1818–1883), Herbert Spencer (1820–1903), Émile Durkheim (1858–1917) and Max Weber (1864–1920), who undertook pioneering comparative and historical studies encompassing sociology, economics, and political economy (Hantrais 2009, 24–25). Seeking to approximate the scientific method, pioneers in the social sciences saw comparative research as a suitable alternative to experimental research (Arnove, Kelly, and Altbach 1982, 35; Mabbett and Bolderson 1999;

6 In some studies the effects of combinations of such factors are investigated. 7 In a typical true experimental design, subjects are assigned to experimental and control groups randomly to ensure that they are equivalent, and in an elaborate design such as the Solomon four-group design there may be four such randomly assigned groups: two are given pre-tests and post-tests and two are given post-tests only, to ensure that the possible influence of the pre-test can be assessed. One of the two pre-test-only groups and one of the two pretest-post-test groups are subjected to the intervention. Such an experiment includes a good deal of comparison, between pre-test-only and pre-test-post-test groups, before and after the intervention (cf. Connaway and Powell 2010, 198–99).

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Hantrais 2009, 26). Since it is not possible to manipulate nations, societies or cultures and control the variables impacting on them as in an experiment, an alternative is to compare existing nations, societies and cultures, seeking cases where particular conditions exist or do not exist. Émile Durkheim expressed this as follows: We have only one way of demonstrating that one phenomenon is the cause of another. This is to compare the cases where they are both simultaneously present or absent, so as to discover whether the variations they display in these different combinations of circumstances provide evidence that one depends on the other. When the phenomenon can be artificially produced at will by the observer, the method is that of experimentation proper. When, on the other hand, the production of facts is something beyond our power to command, and we can only bring them together as they have been spontaneously produced, the method used is one of indirect experimentation, or the comparative method (Durkheim 1982, 147).

Such a situation could be likened to a ‘natural experiment.’ In recent years natural experiments have become quite popular in social science, but currently the term is used in a somewhat narrower sense to refer to research designs in which social or political processes create situations that approximate experiments.8 An example is the use of a lottery to determine randomly which young men are drafted for military service and which are left to continue their careers uninterrupted. The subsequent careers, income, etc., can later be compared as if they had been selected by an experimenter (Dunning 2012, 8–9). From an overview of approaches to comparative studies in a range of disciplines in the social and human sciences (Hantrais 2009, 22–44), it would seem that in the course of the twentieth century there was a general movement from humanistic and conceptual origins (including the use of typologies or ideal types for classification and explanation) towards a more pronounced positivist epistemological stance. As comparativists strove for academic and scientific respectability they increasingly adopted empiricist and quantitative approaches.9 In comparative politics the trend was exemplified by the following definition:

8 These are situations “in which social and political processes, or clever research-design innovations, create situations that approximate true experiments. Here, we find observational settings in which causes are randomly, or as good as randomly, assigned among some set of units, such as individuals, towns, districts, or even countries. Simple comparisons across units exposed to the presence or the absence of a cause can then provide credible evidence for causal effects, because random or as-if assignment obviates confounding” (Dunning 2012, 2–3). 9 Hantrais (2009:44) cautions that the pattern of epistemological preferences was by no means uniform. There was considerable variation among the disciplines, the boundaries of which were in any case in a state of flux.

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The comparative study of political institutions and systems. . . entails the comparison of variables against a background of uniformity, either actual or analytical, for the purpose of discovering causal factors that account for variations. More generally, it has a threefold function: (1) to explain such variables in the light of analytical schemes and to develop a body of verified knowledge; (2) to appraise policy measures and to identify problem areas and trends; (3) to reach a stage where prediction of the institutional trends or processes is possible (Macridis 1978, 18).

This is a typical statement of the goals of explanation and prediction pursued by social scientists in emulation of their colleagues in the natural sciences, striving to contribute to knowledge by building a scientific edifice of general laws explaining social phenomena. Comparative studies have reflected the paradigmatic shifts in the social sciences. During the twentieth century, under the influence of positivism, comparativists in the social sciences migrated from idiographic to nomothetic approaches and increasingly sought to emulate the research designs used in the natural sciences. More recently, there has been a shift back towards more idiographic approaches. Thus, in comparative studies, efforts to establish causation first shifted from in-depth (idiographic) comparisons of small numbers of countries to statistical (nomothetic) studies of large numbers of countries, and, more recently, back again to idiographic approaches. For example, in modern comparative politics a “comparative method” using studies of small numbers of countries and based on Mills’ methods of agreement and difference, came into its own in the 1960s and 1970s. These comparisons entailed in-depth studies of the selected countries. Because of the limitations of such studies, comparativists turned to comparisons of many countries using statistical techniques such as regression analysis to explore relationships among variables. However, as recognition grew that these procedures entail arguably untenable assumptions about the nature of the causal relations being examined, there has been renewed interest in more sophisticated methods for comparing small numbers of countries (Hall 2003, 376–83). With the qualitative turn of the late twentieth century, in comparative politics studies of small numbers of countries were no longer necessarily seen as a last resort when studies of many countries were not feasible, but as a strategy in its own right, and one which could be combined with others (Mahoney 2007, 122).

5.5.2 Is there such a thing as “the comparative method”? There is little agreement in the social sciences today on whether the comparative method as applied in a given discipline should be considered a distinct subfield

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and an area of content (as suggested by terms such as ‘comparative education’ or ‘comparative politics’) or as a methodology – or even, whether there is such a thing as the ‘comparative method.’10 In an influential article on comparative politics, Lijphart (1971, 682), a political scientist, situated the comparative method as a basic method in its own right, alongside the experimental, statistical and case study methods. Farrell (1979, 4), a scholar in comparative education, stated his point of departure that “there is no such thing as comparative methodology. There are comparative data, to which a variety of analytical tools may be applied, the whole enterprise being constrained by the requirements of the scientific method.” Øyen (1990b, 4–6) pointed out that social research is essentially comparative in that it implies implicit and explicit comparisons, and posed the question, “whether comparisons across national boundaries represent a new or different set of theoretical, methodological, and epistemological challenges, or whether this kind of research can be treated just as another variant of comparative problems already embedded in sociological research” (p.4). Different groups of sociologists answer this question differently: “purists” believe that there is no difference between cross-national and any other kinds of studies; “ignorants” give no thought to the possibility that comparison across national borders may add to the complexity of interpreting their results; “totalists” are aware of the problems and complexities but push on regardless, unwilling to get bogged down by intractable problems; finally, “comparativists”11 recognize the problems and insist that it is necessary to address the distinctive characteristics and challenges of cross-national research (pp.5–6). Sartori (1991, 243), a political scientist, stated categorically that comparative politics is a “field characterized by a method.” However, this did not end the disagreement as to the status of the comparative method. More recently, Mabbett and Bolderson (1999, 34) stated that many of the issues surrounding the theories and methods in comparative work are not exclusive to cross-national studies. . . There is no distinct social science ‘cross-national method’ although such research highlights some of the issues in making scientific as opposed to impressionistic comparisons.

10 Many comparative methodology texts present at least a brief discussion of this issue (e.g. Kennett and Yeates 2001, 41–43; Pennings, Keman, and Kleinnijenhuis 1999, 21–26; Hantrais 2009, 5–9). G.P. Kelly, Altbach and Arnove (1982, 511–15) discussed in some detail the question whether comparative education is a method or an area of content. 11 I use the term ‘comparativist’ generally to refer to scholars undertaking cross-national, cross-cultural and cross-societal comparative studies, not in the narrower sense in which it used here by Øyen.

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I note in passing that the idea that comparative social science is no different from any other form of social science and that it does not have any unique methodological issues, is attractive from a positivist perspective because it suggests that all social sciences use basically the same methods and because it underlines the ‘scientific’ nature of comparative social science (cf. Ragin 1987, 2).

5.5.3 The significance of “large macrosocial units” Ragin (1987, 1–6) pointed to significant differences between the orientations of most comparativists and most “noncomparativists.” These differences have methodological implications. The distinctive orientation of comparative social science is that it is concerned with what he called “large macrosocial units”, a term he used to refer to countries, nations and other larger political entities. Although all social scientists claim to study societies or things that happen in society, most do not feel the need to define the macrosocial units within which their research is conducted, and they are not much concerned with the properties of these units. They can take their existence for granted. This is different for comparativists, because they compare macrosocial units as such: At a very general level, comparativists are interested in identifying the similarities and differences among macrosocial units. This knowledge provides the key to understanding, explaining and interpreting diverse historical outcomes and processes and their significance for current institutional arrangements. Cross-societal similarities and differences. . . constitute the most significant feature of the social landscape, and, consequently, these researchers have an unmistakable preference for explanations that cite macrosocial phenomena. . . Most comparativists. . . are interested in the cases themselves, their different historical experiences in particular, not simply in relations between variables characterizing broad categories of cases (Ragin 1987, 6).

Similarly, Pennings, Keman and Kleinnijenhuis (1999, 50) argued that comparisons are made across political and social systems that are defined in relation to territorial space. Arnove, Kelly and Altbach (1982, 2) discussed disagreement in comparative education on whether sub-units of national systems can be utilized as units of comparison in addition to the national systems themselves, and whether these can be compared at different points in time. There are advantages and disadvantages to selecting countries as ‘comparators‘ (the units being compared). One disadvantage is that sometimes within-country differences are obscured. In some national units, e.g. comparing post-unification Germany, internal diversity may be greater than the diversity observed when comparing countries with one another, e.g. Germany with other EU countries (Hantrais 2009, 54).

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Snyder (2001) discussed the benefits of “scaling down” and comparing “subnational units.” Teune (1990, 50–51) has pointed out how the relative significance for purposes of comparative analysis of countries, regions and cities has shifted over time. Lijphart (1975, 166–67) critically discussed the issue of “whole-nation bias” and the arguments for and against the focus on countries. A wide-ranging and conceptually rich discussion of the concept ‘nation’ is found in Galtung (1982). In their work on the impact of national cultures on organizations, Hofstede, Hofstede and Minkov (2010, 20–22) also discussed the distinction between states, nations and societies and pointed out that in research on cultural differences it is far easier to obtain data on nations than on societies. Hence using nations is a matter of expediency, but this should be done circumspectly. In comparative education the assumption, called “methodological nationalism”, that “nation-states and their boundaries are the ‘natural’ containers of societies and hence the appropriate unit of analysis for social sciences” has been problematized by R. Dale (2005, 124–28). Methodological nationalism was discussed in Section 2.9. In this chapter, I follow the approach that emphasizes comparisons between territorially distinct macrosocial units, i.e. international (or cross-national)12 comparisons. However, much of the discussion is also relevant to comparisons of cultural, societal or linguistic groups that are distributed within or across countries. I further adopt the perspective that comparative studies are sufficiently distinct to justify considering the comparative method at the level of methodology as defined in Chapter 4.

5.6 Theory and mechanics of comparison Comparison is an essential element of daily life. In every conscious moment we compare what we perceive around us. Objects perceived through visual, auditory, olfactory, tactile and other senses are compared with one another, with past experiences and with generalized or imaginary experiences. Thinking without comparisons is unthinkable. And, in the absence of comparisons, so is all scientific thought and all scientific research. No one should be surprised that

12 For a discussion of the terms ‘international,’ ‘cross-national,’ etc. see Section 2.7. It would seem that an ‘international comparison’ may imply a comparison of two or more countries, and a ‘cross-national comparison’ a comparison of entities in two or more countries, and not the countries as such. However, these terms are not used consistently across disciplines and are treated here as more or less synonymous.

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comparisons, implicit and explicit, pervade the work of social scientists. . . (G. E. Swanson 1973, 145).

But what happens when we compare? The nature of comparison has been the subject of study by philosophers and psychologists. Philosophers such as Hume and Locke discussed comparison as an operation of the mind, in which differences and agreement (similarity) are discovered. Some philosophers went further to propose that comparison is goal-directed: comparisons serve practical ends and only those differences and similarities which are relevant to a particular decision or problem are considered while the others are ignored. Generally, philosophers were interested in what happens in the mind when we apprehend or discern similarities or differences, or when we assign objects to classes and form types in typologies. Psychologists, on the other hand, were more interested in the relation between the strength of physical stimuli and the intensity of perceived sensations and in quantifying these differences by means of scales and other measuring instruments. They saw comparison not as a “deliberative act, but as an attribute of behavior” (R. Edwards 1970, 242–45). This, of course, was written when behaviourism was the dominant paradigm in psychology. Fundamental questions about what happens when we compare objects A and B concern processes of abstraction and concept formation. One such question is how we decide what warrants our attention. If a standard or a set of criteria for comparison is applied, how is it arrived at? Is this simply a checklist listing which of the attributes of A and B are to be attended to? Or is it a hypothesis? Do we come to the comparison with an a priori list, or is it developed a posteriori following inspection of A and B? In other words, to what extent is the comparison theory-driven in the sense that it is determined by a conceptual framework? This question arose in early texts in comparative education and comparative librarianship. Here it worth looking at the method proposed by George Z.F. Bereday (1964), whose book, Comparative method in education, was frequently cited by comparativists in LIS. In his book Bereday set out a four-step method for a comparative study: First description, the systematic collection of pedagogical information in one country, then interpretation, the analysis in terms of social sciences, then juxtaposition, a simultaneous review of several systems to determine the framework in which to compare them, and finally comparison, first of select problems and then of the total relevance of education in several countries (Bereday 1964, 27–28).

The four-step method was depicted by a diagram reproduced here as Figure 5.2, and illustrated by a worked example in which Bereday compared educational reform in France and Turkey (1964, chap. 2).

5.6 Theory and mechanics of comparison

I. DESCRIPTION

II. INTERPRETATION

Library Data Only

Evaluation of Library Data

Country A

A

Country B

B

III. JUXTAPOSITION

Historical Political Economic Social Historical Political Economic Social

IV. COMPARISON

Establishing Similarities and Differences

Simultaneous comparison Hypothesis

Criteria of comparability

A

247

A

B

B

Hypothesis for

Conclusion

comparative analysis

Figure 5.2: Bereday’s four-step method. Adapted for LIS from Bereday (1964, 28) © 1964 South-Western, a part of Cengage, Inc. Reproduced by permission. www.cengage.com/ permissions.

The first two steps, description and interpretation, are carried out separately for each country. Description should be based on systematic data gathering, carried out following “carefully thought out and matched plans of research,” and data should be presented as far as possible in tabular form, tables being “constructed according to preconceived analytical categories” rather than the exhaustive checklists used by earlier comparativists (Bereday 1964, 17). This suggests a process which, at least to some degree, is guided by a conceptual framework. In the interpretation step the collected data have to be interpreted “in terms of other social sciences” (p.19) such as sociology, anthropology and political science, and other scientific disciplines, among which Bereday counted philosophy, psychology, [natural] science, history and economics (p.20). In the last two steps, juxtaposition and comparison, we arrive at comparative education proper. While in the first two steps, the countries being compared are

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treated sequentially, one after the other, in the last two steps they are dealt with side by side or tabulated under a set of rubrics following the sequence: Theme 1, Country A, Country B; Theme 2, Country A, Country B; Theme 3. . . Bereday paid much attention to the structure of the comparative process, to the extent that both his description of the procedure and his illustrative examples appear excessively mechanical. In this respect, he was followed in the work of Krzys and Litton, referred to in Chapter 2. These authors followed Bereday’s procedure very closely and described a systematic process which entailed a great deal of awkward repetition (Krzys and Litton 1983, 37–41). The mechanistic approach is also seen in the worked examples devised by Simsova (1982), who had also been much influenced by Bereday, in her Primer of comparative librarianship. Juxtaposition was described by Bereday as “a preliminary confrontation of data from different countries. . . done for the purpose of establishing the tertium comparationis, the criterion upon which a valid comparison can be made and the hypothesis for which it is to be made” (Bereday 1964, 9–10).13 As discussed by Marín Ibáñez (1988) the term tertium comparationis has been used in different ways in comparative education, and it is unclear whether it is an a priori or a posteriori criterion, a set of criteria, or a check list of elements to be compared. Raivola (1986, 270) interpreted Bereday’s tertium comparationis as an a posteriori theory, and objected that “theory and hypotheses are what form the comparative dimension in comparative research, not the raw material itself.” In Raivola’s view similarity and difference depend on the relationship between the observer and the data, and therefore we cannot expect that some “comparison dimensions will emerge from [the data] automatically.” Farrell (1979, 11–12) also criticized Bereday’s assertions regarding juxtaposition. He commented that similarity is not

13 Tertium comparationis, Latin for the third [part] of the comparison; in rhetoric it refers to that element that two things being compared have in common. It is commonly found in metaphors and similes. For example, in the expression ‘information explosion’ what information and an explosion have in common (the tertium comparationis) is a rapid and uncontrollable expansion. (See Wikipedia, “Tertium comparationis,” https://en.wikipedia.org/wiki/Tertium_ comparationis, accessed 2018-04-26.) Bereday’s use of this term is confusing. He appears to use it to refer both to his proposed hypothesis and to the criterion for comparison. For a study to be comparative, Bereday required it to be “prefaced by a defining statement under which the material is to be compared” (p.22). This defining statement was also referred to as a “theme,” and it was said to be “summed up in a hypothesis stating the gist of the comparative analysis that is to be finally undertaken (p.22).” Thus, the hypothesis appears to be arrived at inductively from the juxtaposition of the data (p.42).

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a sort of preordained or inherent characteristic, which is somehow obvious to the discerning observer. This is simply not true. Similarity is not something which inheres in the data. It is a characteristic of the relationship between the observer and the data, and depends upon the conceptual structures within the mind of the observer.

The final step is comparison, described by Bereday as “a simultaneous analysis of education across national frontiers” (p.10). It is guided by the hypothesis that was formulated in the previous step. Bereday was rather vague on what comparison entails: The comparison entails a simultaneous treatment of several and all countries studied to prove the hypothesis derived from the juxtaposition. A comparison is in a final analysis an ordering process; it means not laying out but highlighting educational materials previously processed (p.22). [Bereday’s italics]

Typically, Bereday paid more attention to the presentation of the results than to the mental process that is involved. He proposed a “system of continued alternation” in which the countries must be dealt with simultaneously, so that “a reference to one country must elicit an instantaneous comparison to the other” (p.46). Underlying this insistence is the principle that simply describing educational phenomena in a number of countries sequentially does not constitute true comparative education. Inspection of his illustrative examples show that the comparison step is concerned with pointing out similarities and differences between the countries and explaining them in terms of the contextual (social sciences) factors identified in the second step. Early authors in comparative librarianship (e.g. Danton 1973; Krzys 1974a; Simsova and MacKee 1975; Simsova 1982; Krzys and Litton 1983) were at pains to emphasize that simply studying two or more cases is not enough. For true comparative research, we need to go beyond parallel studies and the juxtaposition of results. The researcher has to proceed to the identification and analysis of observed similarities and differences, and thence to their explanation in terms of contextual factors and relevant theory. Only if this stage is reached can the study hope to contribute to the development of theory, the aim being to formulate “theories or laws of librarianship” (Krzys and Litton 1983, 37–41). More recently, David Phillips (2006, 289–91) updated Bereday’s model of comparative inquiry, emphasizing the role of context and historical background. His scheme of comparative inquiry is reproduced in Figure 5.3. The scheme starts with the conceptualization of the issues to be addressed, but (as implied by the term “neutralization”) in general terms, not in a specific context. The issues are then analysed in depth in their respective contexts (historical, political, economic and social), as in Bereday. This is done for the

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Conceptualization Neutralization of questions to be addressed

Contextualization Description of issues against local background (Country 2)

Contextualization Description of issues against local background (Country 1)

Isolation of differences Analysis of variables

Explanation Development of hypotheses

Reconceptualization Contextualization of findings

Application Generalizability of findings Figure 5.3: Phillips’ Structure for comparative inquiry. Source: David Phillips (2006, Figure 16.5, 290), reproduced with permission of SAGE Publications.

countries in parallel. Differences and the variables that might account for them can then be identified. This is followed by an attempt to explain the differences against the background of their contexts, and hypotheses are developed. The original issues are then re-conceptualized, and an attempt is made to determine whether the analysis has yielded any features that are of more general applicability. In Phillips’ scheme the conceptualization that precedes the juxtaposition of data goes some way towards addressing Raivola’s objections. The emphasis placed on historical context is also noteworthy. There are many ways to

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schematize the comparative process. It is not necessary to follow a rigid procedure. The key points are that the phenomena or issues of interest (in our case, library phenomena) need to be considered in their contexts and that these contextualized phenomena should be subjected to systematic comparative analysis in order to identify similarities and differences for which the comparativist attempts to provide explanations. In LIS, the vast majority of studies in which data from more than one country are presented are not comparative. Tables are presented in which data from different countries are juxtaposed (put side by side) so that it can be seen that in some countries libraries are more numerous, larger, better-equipped, better staffed, etc., than in others, or in which differences between countries in regard to such matters as usage, attitudes of users, staff characteristics, leadership styles, information literacy, websites, cataloguing policies, etc., are evident. These are enumerative and/or descriptive reports on international surveys. But in most cases, they do not take the next step in the process of comparison, which is systematically to compare the data in relation to the historical, political, socioeconomic, cultural or other context of the countries concerned. This is the contextualization step, the penultimate step depicted in Phillips’ diagram. From the extensive literature on the comparative method it becomes clear that the method has been seen quite differently in the various disciplines and at different periods. A general observation by M. Mills, van de Bunt and de Bruijn (2006, 621) in which they contrast the search for similarity with the search for variance, is worth noting: The underlying goal of comparative analysis is to search for similarity and variance. Those searching for similarity. . . often apply a more general theory and search for universals or underlying general processes across different contexts. The ontology of social patterns is often assumed as universal and independent from time and space. However, it remains difficult to determine these universal patterns in social research. For this reason, comparative research is used to separate patterns that are more general and isolate regularities from the context-laden environment. Following Weber’s comparative sociology, the search for variance places more emphasis on context and difference in order to understand specificities. Comparisons not only uncover differences between social entities, but reveal unique aspects of a particular entity that would be virtually impossible to detect otherwise.

The comment reflects the duality of comparative studies, where qualitative, idiographic, emic, and contextual studies can be seen as positioned at one pole of a continuum and quantitative, nomothetic, etic, and survey studies respectively at the other. This is relevant to decisions on comparative strategy and comparative research design which are dealt with in Section 5.8 and 5.9 below. First, however, we need to clarify the terminology that will be used there.

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5.7 Terminology In this section I use the terminology commonly followed in quantitative research, where comparative politics and comparative social policy provide useful examples. The reader is warned that basic terms such as ‘case,’ ‘level of analysis’ and ‘unit of analysis’ may not be understood in the same way in every discipline, or even within the same discipline, and at different periods. Nevertheless, for the purpose of this chapter, a number of terms are defined and illustrated here.

5.7.1 A data matrix A useful way to start is to consider a data matrix as depicted in Table 5.2:

Table 5.2: Data matrix for six public libraries (hypothetical data). Variables

Cases

Library  Library  Library  Library  Library  Library 

A: Population served

B: Number of registered users

C: Number of books in stock

D: Number of loans per year

E: Type of governing authority

, , , , , ,

, , , , , ,

, , , , , ,

, , , , , ,

Village board Municipal council Village board County council Municipal council Village board

Table 5.2 presents a data matrix containing a set of data on six public libraries. Libraries constitute the unit of analysis.14 The unit of analysis is the category or

14 ‘Unit of analysis’ is a label for all the cases, hence used here in the singular. In the literature the term ‘unit of analysis’ may be used quite differently. Writing about a comparative education study of how school systems deal with ethnic minorities in situations of majority-minority conflict, Wirt (1980, 177–80) identified three “units of analysis,” the level of government, the ethnic group, and government education policy. Using the terminology set out in this book, these would be called variables. The purpose of this comment is not to argue that Wirt was wrong, but to illustrate that the consumer of research should be aware of possible misunderstandings arising from differences in terminology.

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type of entity that is being studied, about which, ultimately, we want to make statements or conclusions. In this case the researcher will want to make summary or comparative statements about the libraries (Mouton 1996, 92). Each library constitutes a case, also referred to as an ‘observation.’ In this table, each case occupies a row. The number of cases is often abbreviated using the capital letter N.15 Here N=6. For each library five categories of information have been collected. These categories are the variables, sometimes referred to as ‘units of variation.’ Here each variable occupies a column. The number of variables is sometimes abbreviated using the capital letter K. Here K=5. At the intersection of a case and a variable we find a data value (or ‘data point’).16 Hence for Library 3 the value for the number of registered users (variable B), namely 2,345, is found at cell B3. This data matrix has 6x5=30 data values. All this will be familiar to users of Excel and statistical analysis software. Note that there are sometimes missing values, and that values are not necessarily numeric, as illustrated by the nominal level variable in column E. Variables may be at different levels (or scales) of measurement (nominal, ordinal, interval and ratio), as routinely described in most LIS methodology texts, e.g. Connaway and Powell (2010, 65–66).17 Mouton (1996, 92) emphasized that it is necessary to distinguish between the unit of analysis and the data sources. In a comparative study these are not necessarily the same. For example, in a comparative study of cataloguing practice in different countries, the researcher might interview cataloguers or question them by means of self-administered questionnaires, inspect national cataloguing codes, and draw samples of entries from library catalogues.

5.7.2 Levels of analysis As has been argued in Section 2.7, in comparative librarianship we usually compare macrosocial units such as countries, societies or cultures. M. Bray and Thomas (1995, 471–73) identified seven levels of the geographic or locational dimension of comparative education: world regions or continents, countries, states/provinces, districts, schools, classrooms and individuals. In comparative studies, any phenomenon can be studied at various levels of analysis. For

15 Conventionally upper-case N is used to designate the number of cases in a population. Lower-case n designates the number of cases in a sample. 16 Landman (2008, 18–19) uses the term ‘observations’ for what I refer to as ‘values.’ 17 For a brief and lucid explanation of levels of measurement for comparative politics, see Pennings, Keman and Kleinnijenhuis (1999, 66–68).

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example, if information literacy education is studied, we could investigate aspects of such education at the level of countries, provinces, school districts, or individual schools, classes, teachers or students. At each level of analysis, different units of analysis might be appropriate. Table 5.3 lists some levels of analysis with a selection of appropriate units of analysis and variables for a hypothetical study of education for information literacy. The units of analysis in this example are the people, entities or objects about which data are to be collected (about which we want information); the variables are what we want to know about them. For example, for a study comparing information literacy education in a number of countries, a researcher could collect the relevant government policy documents from each country and assess their scope, comprehensiveness, how recent they are, the status they attribute to information literacy (integral to the curricula or a nice to have), and state of implementation. Table 5.3: Levels of analysis, units of analysis and variables in a study of information literacy (IL) education. Levels of analysis

Units of analysis (examples)

Variables (examples)

Country

Countrywide policies, curricula, syllabi, materials, standards; expenditure, resources; national performance reports

For policies: scope, comprehensiveness, date (how recent), status of IL, implementation For materials: age, attractiveness, readability, relevance For performance reports: aggregate student performance measures, international ranking

Province, School District

Provincial or district-wide policies, curricula, syllabi, materials, standards, resources; provincial/school district performance reports

For resources: number of teachers trained to teach IL; mean class size; mean hours per week devoted to IL For performance reports: aggregate student performance measures; national ranking

School

Year of schooling (grades, forms); teachers; classes in which instruction is given; materials; performance reports; provincial or district rankings

For year of schooling: classes in which instruction is given; number of hours of instruction; types of materials used For teachers: qualifications; training in IL education; attitudes For performance reports: aggregate student performance measures; provincial or school district ranking

Student

Age; gender, attitude; behaviour; performance

For performance: test scores; project outcomes

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Note that a picture at a higher level of analysis may be built up by aggregating data from a lower level. For example, the test scores of all the individual students in Grade 5 may be summarized using measures of central tendency (mean, median, etc.) and dispersion (range, standard deviation, etc.) by class, school, school district, province or country. At each higher level, we get further from the nitty-gritty detail and some information is sacrificed for the bigger picture. In the social sciences a distinction is to be made between individual data (data about individuals) and ecological data (or aggregated data), where data have been aggregated in larger units at higher levels of analysis, such as, in the above case, schools, districts, countries, etc. (cf. Landman 2008, 43). In multilevel studies researchers utilize data from different levels of analysis, which may have been acquired using different methods, to yield a richer, more complex understanding of the phenomenon. However, confusion about levels of analysis can lead to aggregate fallacies or ‘wrong level’ fallacies, which result from making inferences about units of analysis at one level based on observations of units of analysis at another level (Hantrais 2009, 55). This can happen in particular when data are collected about individual persons and about territorial units such as countries. There are two kinds of aggregate fallacy. The ecological fallacy occurs when we make inferences about individuals on the basis of data about larger units. To take a trivial example, the ecological fallacy would occur when we infer that Jessica, a student at Anytown Central High, has a low level of information literacy skills because the mean score on an information literacy test of students in her school’s school district is below the mean for her county or province. This is a trivial example, but more seriously, this kind of reasoning is behind much unwarranted generalization and prejudice. In statistical studies the ecological fallacy may occur when variables measured at different levels of analysis are correlated. For example, in an international study of the relationship between the state of school libraries and students’ ability to read, we might try to relate the performance of individual students on a reading assessment test (individual data) in each country to the percentage of schools in that country that have a school library (ecological data). Such a correlation must be regarded with caution. The opposite of the ecological fallacy is called the individualistic fallacy, also called the ‘exception fallacy’. Here individual level data are used for drawing inferences about phenomena at the aggregate level. For example, it would be inappropriate to arrive at conclusions about the school district’s policies on teaching information literacy simply on the basis of test scores from Jessica’s class at Central High. Further examples are found in comparative social sciences texts, such as Landman (2008, 43) and Hantrais (2009, 55).

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In comparative studies it is particularly important to be clear about the levels and units of analysis. As shown above, these may, but do not necessarily have to, coincide. In a comparative study of public libraries in different countries, we could use data collected at various levels for the variables listed in parentheses: – Individual library users (e.g. their attitudes to libraries, frequency of use, number of books borrowed per year) – Individual librarians (qualifications, salaries, length of service, etc.) – Individual libraries (population served, number of registered users, etc.) – Library consortia or districts (number of libraries, holdings in union catalogue, volume of resource sharing, management software used, etc.) – Countries (total population and area, number of libraries, total registered users in all the libraries, national library legislation and policies, etc.) Table 5.4 illustrates that data collected at more than one level can be used in a comparison of countries. Table 5.4: Data matrix for six countries (hypothetical data). Variables

Countries

Country  Country  Country  Country  Country  Country 

A: Population x ,,

B: Number of public libraries

C: Number of books in public libraries x ,,

D: Number of loans p.a. by public libraries x ,,

. . . . . .

     

. . . . . .

. . . . . .

Table 5.4 presents data about the libraries in each country. Here the cases are countries, and for each country only one data value is given for each variable. Note that the level of analysis in Table 5.4, where countries are compared, is different from that in Table 5.2, where libraries are compared. In Table 5.4 column A presents census data for each of the countries, while the data in column B represent a simple count of the number of libraries in each country. These are country-level data. The data in columns C and D are aggregated data based on statistics that would have been kept in each individual library (library-level

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data) and would have been reported in surveys or statistical returns to yield the information depicted for one country in Table 5.2. (To compile Table 5.4 the researcher would need an equivalent of Table 5.2 for each country.) Note that the detail (data for individual libraries) that is provided in Table 5.2 is lost here. In comparative librarianship most comparisons do not cover a country as a whole, but focus on a particular aspect, which might be very specific, for example, a comparison of the contents and usability of university websites in two countries (Sapa 2005), a comparison of the information provided about copyright on a sample of library websites in a number of countries (Shachaf and Rubenstein 2007; Ying Wang and Yang 2015) or staffing of academic libraries in two countries (Shen 2006). In all these studies the unit of analysis was libraries, and data collected about them were aggregated and summarized so that comparisons among the respective countries could be presented at country level. In such a comparison, conceptually speaking there is a data matrix similar to that in Table 5.2 for each of the countries. This is illustrated in Table 5.5, in which the terms ‘comparators’ and ‘cases’ are used respectively for the countries and the libraries being compared.

Table 5.5: Comparison of two countries.

Comparator (country) Q

Comparator (country) P Variables B

C

D

A

1

1

2

2

3

3

4 5 6 7

Cases (e.g. libraries)

Cases (e.g. libraries)

A

Variables B

C

D

4 5 6 7

5.7.3 Cases and comparators In a comparison such as that depicted in Table 5.5 the two countries may be referred to as cases or ‘comparators‘ (Hantrais 2009, 49). Comparators is a

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useful umbrella term to cover not only countries but also other large macrosocial units such as cultures and societies. I avoid using ‘cases’ to refer to countries, reserving it rather to refer to the units of analysis at lower levels such as, here, the libraries. A distinction should be made between cases and comparators. In the example depicted in Table 5.5 each country has seven cases.18 Is N=2 or N=14? Opinions differ on this point. Some authorities use N to refer to the number of countries (so that here N=2), thus they use the term ‘small-N’ studies to refer to studies of a small number of countries and ‘large-N’ studies to refer to studies covering many countries. These expressions are frequently seen in the literature. Others, e.g. Landman (2008) and Gerring (2007) use N to refer to the number of cases (so that here N=14). Differences in the terminology used by various writers can lead to confusion. Pennings, Keman and Kleinnijenhuis (1999, 10–11) discussed this problem and concluded that usage depends on the research question. If the research question concerns: – an international comparison (comparison of countries), N refers to the number of comparators (countries) included. (In Table 5.4: N=6); – a cross-national comparison (where in each country a number of units such as libraries or library systems might be studied and where the resulting comparison would mainly refer to these units), N refers to the number of cases. (In Table 5.5 N=14); or – a comparison of change over time, where data for each country are reported at more than one point in time, then the number of cases is equal to number of time-units for all the countries, e.g. two countries each at four points in time equals eight cases; and one country at two points in time and another at three points in time equals five cases. The upshot is that, in reading comparative methodology texts or evaluating comparative studies, one should be aware that comparativists do not always agree on terminology. This is because comparative research is done in many different disciplines.

5.8 Comparative strategy One of the most prominent issues discussed in comparative methodology texts in the social sciences is the question of how many cases (where cases refer

18 Comparisons are not necessarily so symmetrical. Often the number of cases will not be the same for all the countries.

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mostly to countries) should be studied. In fact, the distinction between studies with many countries (large-N studies) and those with few countries (small-N studies) has given rise to a major typological division of comparative social science research. For example, Lijphart (1971, 683–84) distinguished between the statistical, comparative and case study methods. By the latter Lijphart meant single case studies. By the “statistical” method he meant quantitative comparative research using many cases and large amounts of data. He reserved the term ‘comparative’ for small-N comparisons. For Lijphart the crucial difference between the statistical method and the comparative method was that the latter uses fewer cases – too few for the statistical control that can be exercised in the analysis of survey data. His point of departure is essentially positivistic. It accepts the experimental method as the norm which other methods try to approximate. Similarly, Landman (2008, 26) adopted a three-part division of comparative studies into “comparing many countries, comparing few countries, and single-country studies.”

5.8.1 How many countries? Generally, a study of a single country can be very intensive and conducted in considerable detail, but the more countries there are, the less feasible it is to study each one intensively. This is illustrated in Figure 5.4, in which I have used Landman’s (2008, 26) categories for the number of countries dealt with.

n

tio

ac

High

tr bs

fa

eo

re eg

Level of detail

D

Le

ve

lo

fd

eta

il

Low One

Few (50)

Number of countries covered Figure 5.4: Number of countries studied: level of detail and degree of abstraction.

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Figure 5.4 suggests that comparative studies lie on a continuum and that the major differences between studies at the two ends lie in the number of countries covered and the degree of detail provided about each. Landman (2008, 26) indicated that the continuum can also be looked at from another angle: the level of abstraction. The more countries are included in the study, the higher the level of abstraction. Abstraction here refers to the concepts used. This issue will be dealt with in Chapter 6. Nevertheless, Landman (2008) insisted that all comparative studies (regardless of the number of cases) are “grounded in one logic of inference” (2008, 45), which is part of a program of hypothesis testing (2008, 7; 9), theory building and prediction. If this implies that there is a single ontological and epistemological basis for all comparative research, such a view appears to be an over-simplification. Advocates of qualitative research take a quite different view of small-N studies, arguing that they have distinct advantages (Mahoney 2007). The number of countries to be compared is a key element of comparative research design, discussed in Section 5.9. The choice is not purely a matter of feasibility. Underlying the choice between small-N and large-N studies, are strategic considerations.

5.8.2 Variable-oriented vs. case-oriented strategies In a seminal book, Ragin (1987) has distinguished between ‘variable-oriented’ and ‘case-oriented’ strategies, in which quantitative and qualitative methods respectively are applied in comparative studies. Typically, in variable-oriented studies many countries are studied. The focus is on a limited number of variables, which are abstracted and removed from the concrete reality and context of the countries that are studied by means of simplifying assumptions. As Ragin (1987, xiv) stated, the approach tends to “eliminate complexity instead of deciphering it.” Formal hypotheses stating universal relationships, the use of operational definitions, and emphasis on quantitative data obtained by means of ‘measurement’ and the use of ‘instruments’ – all these combine to distance the researcher from the phenomenon that is studied and reflect an underlying positivist ontology and epistemology, within the nomothetic tradition. In case-oriented studies a single country or a small number of countries is studied. The focus is on the individual country in its historical specificity and its full context. Each case is considered as a whole, taking into account the total configuration or constellation of factors and conditions. Ragin (1987, 26) emphasized the need to unravel the “multiple conjunctural causation” that characterizes social phenomena:

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Social phenomena are complex and difficult to unravel not because there are too many variables affecting them . . . but because different causally relevant conditions can combine in a variety of ways to produce a given outcome. In short, it is the combinatorial, and often complexly combinatorial, nature of social causation that makes the problem of identifying order-in-complexity demanding.

This embrace of complexity and the use of ‘thick description’ rather than statistics in case-oriented studies fall within the idiographic tradition and reflect a greater affinity for interpretivist paradigms. However, the qualitative and quantitative approaches have complementary strengths and they may meet in mixed methods studies, in the grey area between the two extremes.

5.9 Comparative research designs In this section, we consider how the mainly qualitative case-oriented approach and the mainly quantitative variable-oriented approach are manifested in the three main comparative research designs: single-country studies, many-country (large-N) comparisons, and few-country (small-N) comparisons. They are dealt with in this order because the first two are clearly distinguishable while few-country comparisons occupy a more contested middle ground.

5.9.1 Single-country studies (case studies) There has long been controversy about whether single-country studies (case studies proper) should be considered to be comparative studies. This is also reflected in the literature of comparative librarianship. An example is the difference of opinion between Danton (1973, 46–52) and Krzys and Litton (1983, 27–29) on the one hand, who do not consider single-country studies to be comparative, and Collings (1971, 492) and Simsova and MacKee (1975, 30–32) on the other, who accept them. In political science Sartori (1991, 252) insisted that the single case investigation “cannot be subsumed under the comparative method (though it may have comparative merit)” (Sartori’s emphasis). On the other hand, Landman (2008, 28) stated that a single-country study is considered comparative if it uses concepts that are applicable to other countries, and/or seeks to make larger inferences that stretch beyond the original country used in the study.

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Even if a case study does not itself constitute comparative research, good descriptions of individual cases are useful as raw material for comparisons, or as the first step in a comparative study (cf. Landman 2008, 5). Lijphart (1971, 691– 93) described the scientific status of the case study method as “somewhat ambiguous” but distinguished six types of case studies on the basis of their potential contributions to theory development in political science. From having been treated with some suspicion, the case study is making a comeback. A very thorough and lucid overview of the case study is found in Gerring’s (2007) chapter in the Oxford handbook of comparative politics. He suggested that there is growing interest in case study research design, which is possibly to be explained as a movement away from the variable-centred approach. Factors contributing to this trend include growing discontent with “cross-case observational research” (many-country comparisons) and an epistemological shift away from the positivist model of explanation. However, the case study is still viewed “with extreme circumspection.” Paradoxically, Gerring (2007, 93) pointed out that, while case studies have taught us a great deal, not much is understood about the case study method. Gerring (2007, 94–95) defined a case as “a spatially delimited phenomenon (a unit) observed at a single point in time or over some period in time.” In comparative politics the nation state is the dominant type of case, but other social and political units or institutions can also be chosen. A case study is “the intensive study of a single case for the purpose of understanding a larger class of cases (a population),” while case study research may include several cases. The number of cases is limited by the extent to which they can be investigated intensively. At a given point such intensive study is no longer possible, and the emphasis of a study will shift from the individual case to a sample of cases. Gerring referred to such a study as a “cross-case study” and he saw case studies and cross-case studies as lying on a continuum. It should be noted that when Gerring discussed case studies, his discussion was not limited to single cases. In the literature of international and comparative LIS the term ‘case study’ is used to refer to studies of both single and multiple cases. Examples of insight-generating single case studies are those of Mchombu (1992), who studied information needs for rural development in Malawi, Rosenberg (1993), who, in an article discussing the failure of the public library movement in Africa, presented a case study of the Kenya National Library Service, and Sturges (2004), who drew lessons for community libraries in Africa from a case study of demon possession in Uganda. Case studies of this nature, while not strictly comparative, generate insight and provide useful material for comparative research. Many comparative studies present two or more parallel

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case studies. However, although Gerring accepts these as case studies, I discuss them under small-N studies below. Case studies are particularly useful for generating hypotheses, exploring phenomena, determining causal relationships, tracing causal mechanisms or pathways, offering in-depth insights, and dealing with heterogeneous entities. Ontologically speaking, “case study researchers tend to have a ‘lumpy’ vision of the world: they see countries, communities and persons as highly individualized phenomena” (Gerring 2007, 98–109). While this suggests an affinity for interpretivist metatheory, Gerring (2007, 115–16) pointed out that case studies may take on many forms and can be used within any paradigm.

5.9.2 Many-country comparisons Many-country studies are also referred to in the literature as survey studies, cross-sectional studies, and cross-case research or large-N studies. The methodology is usually quantitative and typically involves multivariate analysis, i.e. simultaneous statistical analysis of data collected on multiple variables. Use of qualitative methods in analysis of many-country comparisons is unusual because for qualitative approaches “a richer level of information” is needed, including “deep history,” which would be difficult to collect and analyse if large numbers of countries are involved (Landman 2008, 52). Among the ontological assumptions underlying many-country comparisons are that countries can be seen as units, that the features being compared can be measured, that these features are sufficiently similar, and that variations in features in one country are largely independent of variations of the same features in other countries. The latter assumption is referred to as ‘unit independence.’ Vast differences between countries call into question the assumption that their features are comparable. For example, in 2010 the smallest member of the United Nations, Nauru, had a population of under 10.000, while that of the most populous UN member, China, was estimated at 1,3 billion. The assumption of unit independence can also be questioned (Landman 2008, 52–54). It is possible that some of the cases are not independent of one another. This is referred to as ‘Galton’s problem’: a relationship empirically determined between presumed independent variables P, Q and R and a dependent variable Y within three countries A, B and C may result from the fact that country A influenced countries B and C, rather than from causal relationship between the independent variables P, Q and R and the dependent variable Y. Hence the causal relationship was not withincountry but across countries (cf. Lijphart 1975, 171). Globalization further calls

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into question the assumption of unit independence, particularly in the case of smaller countries which are highly susceptible to outside influences, such as those exercised by Western education and media. Nevertheless, many-country comparisons lend themselves to the formal testing of hypotheses. When hypotheses are to be tested, a relationship holds between the number of variables and the number of cases. The more variables that may exert a potential influence on the phenomenon under investigation, the more cases are needed to test all the possible combinations of several variables. As an admittedly simplistic example, let us assume that we wished to test the hypothesis that the integration of school media centres in the school curriculum is more advanced in English-speaking countries where school media specialists are formally certified and are required to have dual qualifications in library science and education, than in other countries where there is no formal certification and dual qualifications are not required. Here we have one dependent variable (degree of integration of the media centre in the curriculum), and three independent variables: language of country, presence or absence of formal certification, and qualification requirement (single or dual). Simplistically, to test the relationship formally we would need a three-dimensional contingency table as in Table 5.6: Table 5.6: Contingency table for three independent variables. Independent variables

Language

Certification

Single/dual qualification

English

Yes

Single Dual

No

Single Dual

Yes

Single Dual

No

Single Dual

Other

Dependent variable: Degree of integration of School Media Centre in Curriculum None

Low

Med

High

Using dichotomous variables as here, we need a minimum of 2×2×2=8 cases to control for all possible conditions. If we allowed more values per independent variable (e.g. for Language: English, French, Spanish, Other) we would need more cases (4×2×2=16). If we added another dichotomous variable (e.g. Governance of

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education system: centralized or decentralized) we would need 4×2×2×2=32 cases to avoid having lots of empty cells. If there are too many of these the results of statistical tests may be suspect. Hence many-country (large-N) comparisons are needed for performing valid statistical tests. However, there are limitations. The number of variables that can be included in a statistical model is quite limited. Furthermore, there is a limited number of countries that can be included in a comparative study. There are around 220 countries and inhabited territories, of which some thirty have fewer than 100,000 inhabitants. Statistical data may not be available from all of them. Data may be out-of-date or unreliable. Some countries may be disqualified from the study for other reasons. The problem is exacerbated when the study population is limited by other criteria, for example, if we decided to limit the study to democratic countries. To ensure that we obtain enough cases for our statistical analyses we would be tempted to ‘stretch’ the concept of democracy by using an operational criterion that would not exclude too many countries. We might decide that a country is considered to be democratic if its current leader was elected in a general election, regardless of the fact that such elections are often rigged.19 Since the total number of countries is relatively small and this number tends to be further reduced by the factors just mentioned, comparativists do not commonly select countries by means of sampling. Instead, all the countries that satisfy given criteria or belong to defined types and for which data are available, tend to be included. Sampling may, however, be used in comparative studies in which more numerous subnational units (e.g. provinces, counties) constitute the cases. Of course, sampling may be used within cases if data are collected at a lower level of analysis. For example, the libraries in Table 5.5 could have been selected using random sampling even if the countries were selected purposively. In statistically-oriented many-country comparisons there may also be problems relating to the validity and reliability of measures used in comparisons. An example would be per capita GDP, which says nothing about the distribution of income. Another example is the literacy rate, which is measured differently in

19 The Intelligence Unit of The Economist annually compiles a Democracy index, in which countries are scored according to a set of 60 indicators measuring such factors as electoral process, functioning of government, and civil liberties. Such indices are useful tools for comparativists, but they also illustrate the problem of finding sufficient cases: When this index is used, it is becoming steadily more difficult to find fully democratic countries. In 2016 only 19 countries were ranked as “full democracies,” down from 20 in the previous year, See The Economist, “Democracy Unit 2016,” http://www.eiu.com/public/topical_report.aspx?campaignid= DemocracyIndex2016, accessed 2018-04-26.

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different countries. The dichotomous variables that were used in the example depicted in Table 5.6 illustrate a measure taken to prevent the occurrence of empty cells. However, dichotomizing this variable holds a threat to the validity of the study: by characterizing certification as either ‘certification’ or ‘no certification,’ no cognizance is taken of different forms or procedures of certification, which may be germane to the relationships being investigated. To use the distinction discussed in the previous section, many-country comparisons are essentially variable-oriented. Cases are disaggregated into variables. Variables are measured, but a major weakness of quantitative many-country comparisons is that variables tend to be conceptualized and measured at a shallow level. We can determine with some degree of confidence that relationships exist between the variables, but this may not tell us very much about the nature of the relationships (cf. Lijphart 1975; Ragin 1987, chap. 2). Examples of comparative studies with large numbers of countries are decidedly uncommon in LIS. Although the IFLA World report is not primarily a comparative study, its analysis and conclusions section represents a significant comparative study covering 122 countries in the most recent version, out of 173 countries that have contributed data on and off since 2001 (Bothma 2010).20 In Europe, researchers working for the European Commission conducted a series of LIBECON (‘library economics’) surveys in which they sought to cover all member countries of the European Union. Commenting on an early report of this work by Ramsdale (1988), Vitiello (1996a, 28–31) noted that these large-scale European statistical surveys were hampered by poor quality data submitted by some member states. The findings glossed over disparities and failed to reflect the “singularity” of the countries surveyed. The LIBECON millennium report (Fuegi, Sumsion, and Ramsdale 2000),21 discussed in Section 4.7, was not a hypothesis-testing study, but rather descriptive and evaluative. In studies other than those seeking global coverage, a selection process is needed. Given the relatively small universe and the various factors that delimit a study population, such studies tend to include all countries that meet certain criteria. In a study of information and communication technologies in public libraries, E. Gould and Gomez (2010) compared 25 developing countries, carefully selected using four sets of criteria: demographic data, freedom of expression, needs and readiness criteria and “other tipping factors” such as the existence of

20 The IFLA/FAIFE world report is available online at https://www.ifla.org/publications/ifla faife-world-report-series, accessed 2018-10-26. For more detail see Chapter 6, Section 6.17. 21 The LIBECON website is no longer accessible. For a summary of the data presented in the LIBECON millennium report, see Ramsdale, Fuegi and Sumsion (2001).

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a public library system (p.168). Their formulation and reporting of such criteria represents best practice in comparative studies. An example of hypothesis-testing research at the Large-N end of the continuum is a PhD thesis by Lau (1988). This was a largely quantitative variableoriented study using the statistical technique of cluster analysis in a study of the relation between information development and socio-economic factors in 31 countries “selected on the basis of data availability” (Lau 1990, 317) over the period 1960–1977. The countries represented different levels of economic development. Five independent variables identified as indicators of socio-economic development were used: food consumption in calories, life expectancy at birth, infant mortality, primary school enrolment, and adult literacy. Fifteen dependent variables representing information activities were used. These represented three components of information development: storage centres for information, accumulation of recorded information, and recording of information activities. Specific indicators included numbers of library service points, size of collections held, and publishing activities. Lau found inter alia that nations with “socially oriented policies” but without high incomes, such as Yugoslavia and Hungary, can experience information development, while high-income countries lacking “social development” did not show information development (Lau 1990, 326–28).

5.9.3 Few-country comparisons In terms of the number of cases being compared, few-country comparisons are found on the continuum between single-country studies and many-country comparisons, as depicted in Figure 5.4 above. The countries can be as few as two. Two or three appear to be the most prevalent number in recent comparative studies in LIS. The deciding factor, however, is not so much the number of countries, but the methodological approach. Various terms are used for studies comprising a small number of cases. For some authors (e.g. Lijphart 1971, 1975) this is “the comparative method”; Lijphart also referred to it as the “comparative-cases strategy” (Lijphart 1975, 163). Ragin (1987, 34–52) placed it under the rubric of “case-oriented comparative methods.” Smelser (1976; quoted in Ragin 1987, 31) referred to it as the “method of systematic comparative illustration,” ‘illustration’ suggesting that it is an adjunct method, not suited for the serious task of testing hypotheses. Indeed, the terminology often reflects the methodological orientation (quantitative/qualitative) of the writer. Quantitatively-oriented authorities tend to see a few-country comparison as a less desirable or watered-down version of studies using larger numbers of cases, and they emphasize methods of compensating for its perceived

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weakness by approximating the inferential value of many-country comparisons as far as possible (e.g. Landman 2008). Lijphart (1975, 164), who identified a number of advantages of few-country comparisons in relation to many-country comparisons, saw them as a “method of testing hypothesized relationships among variables,” using the same logic as many-country comparisons, with the difference that countries are carefully selected to compensate for the inability to sample from a large population. In a study of perceived outcomes of public libraries in three West European countries Vakkari et al. (2014) attempted to answer formal research questions using largely quantitative methods, which included surveying large samples of actual and potential library users. The study was subsequently replicated with the addition of two further countries, the USA and South Korea (Vakkari et al. 2016). Lindblom and Räsänen (2017) conducted a rigorous quantitative study, formally testing hypotheses regarding the influence of social class and status on the use of the internet in three European countries. In contrast with the quantitatively-oriented scholars, qualitatively-oriented scholars tend to consider few-country comparisons on their own terms as insight-generating, in-depth studies of cases seen holistically and as opportunities to study multiple and conjunctural causation. This is more aligned with interpretivist metatheory. They therefore adopt the case-oriented approach as described by Ragin (1987, 35): The goals of case-oriented investigation often are both historically interpretive and causally analytic. Interpretive work . . . attempts to account for significant historical outcomes or sets of comparable outcomes or processes by piecing evidence together in a manner sensitive to historical chronology and offering limited historical generalizations which are sensitive to context. Thus, comparativists who use case-oriented strategies often want to understand or interpret specific cases because of their intrinsic value. Most, but not all, case-oriented work is also causal-analytic. This companion goal is to produce limited generalizations concerning the causes of theoretically defined categories of empirical phenomena . . . common to a set of cases.

What this implies is that the case is of interest in itself and not merely as a bearer of a set of variables, and that relationships within a case are of at least as much interest as the generalized relationships among variables across cases. Because in few-country comparisons the comparativist studies the selected countries in depth and is closer to the data, the problems of comparability and concept stretching (referred to above in connection with many-country comparisons) are alleviated: appropriate countries can be chosen, and richer, multidimensional, less abstract concepts can be employed. Furthermore, considerable attention can be paid to unravelling complex relationships, including relationships of multiple and conjunctural causation, within each country and over time. As Ragin (1987,

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23–26) pointed out, the complexity of social phenomena is not only a function of the many causes that may be responsible for a given effect. It also derives from the effects of conjunctures, where a particular combination of factors has to be in place or in sequence before a given effect can occur. The depth of analysis makes for a high level of internal validity. On the other hand, despite the considerable investment in time and resources needed for such in-depth studies, their findings cannot readily be applied to develop broad generalizations explaining phenomena in countries not studied – hence their external validity is low compared to that of many-country comparisons. Earlier I referred to the trade-off between cases and variables. Essentially, in many-country comparisons it is not possible to deal with as many variables, or to deal with them in as much depth, as in few-country comparisons. Many-country comparisons tend to have greater inferential power in terms of the ability to generalize with confidence. On the other hand, in few-country comparisons we can have greater confidence that we fully understand the complex relationships, interactions and causal mechanism among variables. This raises the question as to what can be done to combine the strengths of the two designs, and specifically to increase the inferential power of few-country comparisons. Landman (2008, 27–30; 68–70; 79–82) put much emphasis on combining quantitative and qualitative methods and on methods of statistical inference when few cases are studied. One approach is to multiply the number of cases by repeated measurement over time. This is discussed in Section 5.13. Ragin (1987) developed a method of “qualitative comparative analysis” (QCA) using Boolean truth tables, which has been lucidly summarized by Landman (2008, 79–81). QCA is a methodology, with origins in political science and sociology, for “complex comparisons of countries or societies.” It combines both qualitative and quantitative approaches, using qualitative methods to obtain in-depth information about the cases, and quantitative techniques to analyse patterns of data relating to causal factors and outcomes. This makes it an appropriate methodology for the evaluation of development interventions in international aid programmes, and for evidence-based policy making.22

22 Schatz and Welle (2016, 1) briefly described the application of the QCA methodology for the evaluation of development programmes as follows: “The potentially influencing conditions are derived from existing social science theory or a programme theory of change. They are tested for their relative influence through a systematic comparison among a number of cases that aim to achieve the same outcome, some successfully and others unsuccessfully. QCA helps to filter out the more important factors from those that are less likely to make a difference among the cases that are investigated in relation to the same outcome. An important element in this analysis is the identification of ‘sufficient’ and ‘necessary’ conditions that occur

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I conclude this section with a brief note on examples from comparative librarianship. In Section 2.5, a number of early studies with an ameliorative slant were mentioned, which compared library conditions in a small number of countries, for example those by Edward Edwards ([1869] 2010), Pellisson (1906), and Morel (1908). These authors compiled impressive tomes with an amount of detail that is no longer achievable. A later example of an in-depth study, albeit based largely on published literature and statistical data, was a comparison by Hassenforder (1967) of public library development in France, the United States and Great Britain, which yielded striking insights into the social and other conditions that favour public library development. In a relatively ambitious, more recent, project financed by the European Union, Davies and Fuegi (2004) based a report dealing with the role of public libraries in promoting social inclusion, lifelong learning and employment, on three “national situational reports” on France, Italy and the United Kingdom, Harle (2010) reported on four comparative case studies in which both qualitative and quantitative methods were used to investigate access to research in African universities. However, by far the greater proportion of recent work in the small-N genre has been of much more limited scope, often focusing on individual institutions, as in the separate but parallel case studies of customer relationships in two academic libraries, one in Malta and the other in the UK, described by Broady-Preston, Felice and Marshall (2006), and S. Lin’s (2012) parallel institutional case studies of university digital repositories in Taiwan and Wisconsin, which focused on institutional factors in implementation. Often, library management themes are addressed. In many cases such parallel institutional case studies do not go far enough in contextualizing the cases in terms of national socio-economic, cultural or other factors. Nevertheless, a wide variety of quite specific themes have been addressed by means of smallN studies using mainly qualitative methods. Further examples of such themes are legal deposit (Crews 1988), national information networks in North Africa (Wesley 1990), factors in the development of school libraries (R. Knuth 1995a), graduate programmes of LIS education (Mortezaie and Naghshineh 2002), education for digital librarianship (Bawden, Vilar, and Zabukovec 2005), freedom of information legislation (Kuunifa 2012; Avle and Adunbi 2015), assessment of LIS education (Ocholla, Dorner, and Britz 2013), and the creation of social capital by public libraries (J. Miller 2014).

in conjunction with an outcome.” The report by Schatz and Welle is also of interest in that it provides a comparison of the different kinds of logic that may be applied to establish causality (p.2).

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5.10 Selection of countries Surveying comparative studies in LIS a generation ago, A.D. Burnett (1973, 4) observed that due to practical difficulties posed by geographical, cultural and political factors, “. . .the literature gravitates to comparative studies devoted to physically adjacent rather than widely-separated countries and to those which are or otherwise homogeneous.” Today rapid inter-continental air travel, not to mention the internet, have alleviated the limitations to which Burnett referred, but the temptation remains for the comparativist to select countries with which she is familiar through periods of residence, or countries that are within easy reach. However, the selection of countries for comparison is a critical question in comparative studies. As indicated in the previous section, comparativists wishing to compare many countries have limited choice. Often they have to include every country that meets the criteria for the study. In single-country and few-country comparisons, the selection of countries is more interesting.

5.10.1 Single-country studies (case studies) For single-country studies countries may be selected simply because the researcher is familiar with them or has access to them, because they have not yet been studied, or, because they are seen as being important in relation to other cases or studies. Countries may be chosen because they are considered to be representative of a category or group of countries, exceptional, or counterfactual. Much depends on whether the country is chosen for purposes of generating or testing hypotheses. If case studies are used as a substitute for experimentation with the intention of testing hypotheses, comparativists may seek counterfactuals, situations in which the conditions that supposedly gave rise to the phenomenon or situation being studied are absent. Counterfactuals can be theoretical and imaginary, or real cases, where the required counterfactual situation exists naturally (Landman 2008, 14–15). To take an example from LIS, Richard Rubin (2004, 260) identified three “prerequisite conditions. . . for libraries to prosper”: centralization, economic growth, and political stability.23 A country with thriving libraries but lacking one or more of these prerequisite conditions, does not conform to the

23 Rubin cited M.H. Harris and Johnson (1984) as the source of this idea. Harris (1999, 4–8) subsequently elaborated on it, emphasizing a number of “ideologies of reading” which provided the justification for expenditure on libraries.

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expectations generated by Rubin’s theory and would constitute a counterfactual to challenge it. Writing on the use of case studies in international relations, A. Bennett and Elman (2007, 172–78) emphasized the importance of selecting cases thoughtfully, and they identified a number of types. These include “deviant cases,” which do not conform to theoretical expectations: such deviant or ‘outlier’ countries, which do not fit the general pattern, may be chosen for more intensive study to determine why they do not conform to the theory. Another category is that of “least-likely” cases, where the characteristics of the case make it very unlikely that it will conform to the theoretical expectation; if it does, it provides strong support to the theory. By means of these strategies, single-country studies can be used to confirm or infirm accepted theory and to provide insights for refining it (cf. Landman 2008, 87–89). Countries may also be chosen because particular characteristics are present in them to an extreme degree, because the case appears to lend itself to the study of causal mechanisms, or because a policy of interest has been implemented there. On the other hand, a country may be chosen because it is thought to be representative of a group or category of countries. This raises the question of classifications or typologies of countries, which is briefly discussed below in Section 5.11.

5.10.2 Many-country comparisons Factors affecting the selection of countries for many-country comparisons are covered under “Many-country comparisons” in Section 5.9. The main problem here is that the sampling population from which countries are to be drawn is often too limited for probability sampling procedures. In these cases some of the considerations set out below for few-country comparisons are also relevant.

5.10.3 Few-country comparisons In few-country comparisons the countries are seldom selected by sampling. A first step in selecting relevant countries may be to narrow the field to countries in particular regions or in particular categories, such as democratically governed countries, francophone countries, Islamic countries or developing countries. This again raises the issue of classification and typologies, which is dealt with in Section 5.11 below. In practice, the choice of country may be

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secondary to the choice of the institutions to be studied, a choice which may be determined by the affiliations of the researchers (e.g. Tbaishat 2010; P. Lo et al. 2015). Instead they should be carefully selected for the purpose of the study (Ragin 1987, 15). Principles applied in the selection of countries for single-country studies are relevant when we consider few-country comparisons, but additional factors come into play here. It is intuitively obvious that there is little point in comparing entities that are so different that hardly any commonality can be found (e.g. Nauru and China). Neither would it be useful to compare entities that are so similar that little difference of interest can be found. When countries are selected for comparison, they should be comparable but not identical in respect of the phenomenon or theory that is of primary interest in the study. Sartori (1991, 246) stated that entities to be compared should have both shared and non-shared attributes. They should be at the same time “similar” and “incomparable.” If it is intended to uncover causal relationships or conditions associated with particular developmental pathways, there are two basic design strategies for selecting countries for comparison. These strategies are related to the methods for determining causation that were formulated by J.S. Mill, who was referred to in Section 5.5. Although Mill identified five methods of induction, the basic choice is between the ‘most similar systems design’ (MSSD), which corresponds to his ‘Method of Difference’ and the ‘most different/dissimilar systems design’ (MDSD) which corresponds to his ‘Method of Agreement.’ These methods are sometimes combined (Pennings, Keman, and Kleinnijenhuis 1999, 43–49; Landman 2008, 70–76; Hantrais 2009, 59–64).24 In a most similar systems design (MSSD) we select countries that are very similar in all respects except in respect of the particular factor (or independent variable) of which we want to study the effect. This is illustrated in Figure 5.5. Here we are interested in the role of literacy in relation to the presence of local public libraries. By selecting countries that are very similar in respect of other characteristics (in this case, their colonial history, GDP, and number of languages spoken) we in effect control for the influence of those variables, which otherwise might have been thought to influence the presence of local public libraries. We can therefore say that (all things being equal) there is a relationship between literacy level and the prevalence of public libraries. The ceteris paribus25 principle is important. What we are doing here is in effect to

24 A. Bennett and Elman (2007, 172–78) discuss MSSD and MDSD designs and some alternatives from the perspective of political science, as do Przeworski and Teune (1970, 32–39). 25 Latin ceteris paribus means “other things being equal.”

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MSSD Country A Former British colony Medium literacy Medium GDP Multiple languages Country B Former British colony Medium literacy Medium GDP Multiple languages Country C Former British colony Low literacy Medium GDP Multiple languages

Local public libraries

Local public libraries

No Local public libraries

Figure 5.5: Public libraries and literacy: MSSD, most similar systems design.

simulate the operation of experimental controls (which we cannot exercise in real life situations) by matching the countries on the variables we need to control for. Note that we cannot say that literacy levels determine or cause the prevalence of public libraries. The relationship of cause and effect may well operate in the other direction, or in both directions. The study by Ignatow (2011), referred to earlier, comes closest to the MSSD design. Ignatow selected the six countries which were rated between 0.4 and 0.9 on the 1993 Human Development Index of the United Nations Development Program, and which had consistently reported public library data to UNESCO. In a related study, Ignatow et al. (2012) chose three countries (Namibia, Nepal and Malawi) because they have similar levels of economic and human development and have experienced democratic transitions since 1990. An alternative is the most different systems design (MDSD), depicted in Figure 5.6. In the most different systems design we take the opposite approach. We select a number of very different countries that do, however, share the phenomenon we are interested in, in this case again, the presence of local public libraries – the dependent variable. Here it is the dependent variable which determines which countries are selected. The countries depicted in Figure 5.6 differ in respect of the independent variables: their cultural-linguistic groups, their GDP, and the number of languages spoken. Because local public libraries

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MDSD Country D Nordic High literacy High GDP Two languages

Local public libraries

Country E Latin America High literacy Medium GDP One language

Local public libraries

Country F Former British colony High literacy Medium-low GDP Multiple languages

Local public libraries

Figure 5.6: Public libraries and literacy: MDSD, most different systems design.

are present in spite of the differences in these factors, this suggests that there is a relationship between the presence of public libraries and the one factor they do have in common, a high literacy rate. Again, it is worth pointing out that we cannot say that the high literacy rate is the cause of the presence of public libraries. We can only say that there is probably a relationship between these variables. There has been a great deal of philosophical discussion and criticism of Mill’s methods and various weaknesses have been pointed out (Hantrais 2009, 62–64). In the decision on a design other factors such as the number of cases also play a role. Further variants and refinements of the methods are possible (Pennings, Keman, and Kleinnijenhuis 1999, 43–49; Landman 2008, 70–78). For example, Djelic (1998, 14–15) applied Mill’s “two-sided comparative method,” combining Mill’s methods of agreement and difference. In studies within the few-country category, where studies involve relatively large numbers of countries, authors tend to include all countries that are eligible. For example, in a study of e-government in Arab countries, Chatfield and Alhujran (2009) included 16 Arab countries out of a possible twenty, the other four being omitted due to lack of relevant information. Juznic and Badinovac (2005) included all the then newly admitted and candidate members of the European Union in their comparative study of LIS education. Authors of few-country studies sometimes attempt to select countries to be representative of particular

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categories or groupings of countries. Armstrong et al. (2010, 7) selected eight countries to “represent Africa’s diversity, as well as its economic, linguistic, religious, cultural and legal differences,” and their selection encompassed some of the continent’s most advanced and least developed economies. Shachaf and Rubenstein (2007) undertook a comparative analysis of websites of academic libraries in order to gauge the librarians’ approaches to copyright and intellectual property. The three countries that were selected (Israel, Russia and the United States) were selected as representatives of three categories of countries, the categories being based on countries’ rankings on the Corruption Perceptions Index.26 Classifications can facilitate the selection of countries and help simplify crossnational comparisons (Landman 2008, 5–6). For example, the categories into which Lau (1990) and Fuegi and Jennings (2004) grouped the countries covered in their studies facilitated the discovery of patterns. However, classifications and typologies have ontological implications and may carry ideological baggage. Authors of comparative studies in LIS do not always give an account of why they chose the countries they compared, other than in very general terms (e.g. selecting a developed and a developing country, or countries from Western and Eastern Europe). An example of good practice is provided by Dick, Oiyeke and Bothma (2012). In a study article asking whether established democracies are less vulnerable to internet censorship than authoritarian states, the authors carefully selected twelve countries from all five continents, representing four categories of countries that ranged across the “democratic – authoritarian continuum,” using the four categories distinguished in the Economist Intelligence Unit’s Index of democracy 2011, namely (1) full democracies; (2) flawed democracies; (3) hybrid regimes; and (4) authoritarian regimes.27 In small-N studies it is not unusual for libraries in quite different countries to be compared. J.P. McCarthy and Tarango Ortiz (2010) compared two academic libraries, one in Ireland, the other in Mexico, focussing on the cultural influences that shaped them and on the impact of globalization. It seems that the choice is sometimes related to the background of the researcher or is made in light of personal or contingent factors, where a librarian from country A happens to visit country B for some reason or has made contact with a colleague there, or where libraries are linked through sister libraries schemes or development assistance programs. M. Johnson, Shi and Shao (2010) compared two academic libraries, one in the USA and the other in China, which had

26 The Corruption Perceptions Index is published by Transparency International, an international NGO. See http://www.transparency.org/news/feature/corruption_perceptions_index_ 2017, accessed 2018-11-29. 27 The study is also described briefly in an article (Dick 2012c).

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entered into a librarian exchange programme. A similar programme led to a comparison of academic libraries in the USA and Chile (Chu 2007). In other cases, the studies appear to have been prompted by contacts made between countries in Western Europe and those in Central and Eastern Europe as part of European reintegration initiatives following the breakup of the Soviet Union. Koycheva (2012) compared two public libraries, one in Bulgaria, the other in Sweden, with particular reference to the themes access for all and “the politics of difference.” The language barrier plays a role. Zaïane (2011) limited her study of codes of ethics created by national library associations to ten codes available in English. Convenience of access is also a factor, as cited by Mullins and Linehan (2006a, 2006b). However, if they are to be of more than trivial theoretical interest, countries should be selected on grounds related to the problem under investigation.

5.11 Typologies and country groupings As mentioned earlier, in comparative studies we usually need to select or group countries, or both. Classifications are developed by comparativists to group phenomena such as countries into “distinct categories with identifiable and shared characteristics” (Landman 2008, 5–6). In addition to facilitating the selection of countries for study, classifications help to simplify the complexity that emerges from contextual description by grouping entities into simpler categories that can form the basis for cross-national comparisons along various dimensions, e.g. level of economic development, democracy, or type of regime (Landman 2008, 5–8). Categories can be derived inductively or deductively. In this context Mouton (1996, 195–96) preferred the term ‘typology‘ to ‘classification,’ defining a typology as “a conceptual framework in which phenomena are classified in terms of characteristics that they have in common with other phenomena.” The basic unit of a typology is a ‘type’ or (in older terminology) an ‘ideal type.’ As the latter term suggests, a type is constructed through a process of abstraction. In this process that which is common to examples of that type is emphasized, while incidental individual differences are ignored. The type is therefore an abstraction which is not matched exactly by any individual example or case. The distinction made by R. Knuth (1995a) between “American” and “British” models of school library development approaches such ideal types. In typologies phenomena are often classified in terms of more than one variable or dimension. An example from political science is Lijphart’s well-known

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typology of democratic political systems in terms of (a) the behaviour style of the political elite (which can be competitive and adversarial, or coalescent and cooperative) and (b) the political culture (which can be homogeneous or fragmented). Applying these two variables produces a typology of four cells, as in Table 5.7, adapted from Lijphart (1968, 38).28

Table 5.7: Lijphart’s 1968 typology of democratic political systems. Political culture

Elite behaviour

Homogeneous

Fragmented

Coalescent

Depoliticized Democracy (e.g. Nordic countries)

Consociational Democracy (e.g. Netherlands)

Competitive

Centripetal Democracy (e.g. UK, United States)

Centrifugal Democracy (e.g. Italy)

In addition to serving purposes of exploration and explanation, such a typology can be used as a frame of reference for the collection and analysis of data (Mouton 1996, 196).29 Ragin (1987, 20) pointed out that typologies are important because they set boundaries on comparability. As an example, he mentioned the comparability of “dependent” countries. Among developing countries, dependence takes many forms, so that one should not expect changes in the world economy to affect them all in the same way. In a few-countries comparison a typology of developing countries may provide a useful framework for the selection of countries. We can adapt this example to LIS. To revert to an earlier example that was discussed in Section 3.2, in a study of library development in developing countries, we might be interested in including countries with different colonial backgrounds, taking into account (a) the strategy of control exercised by the colonial power (assimilation vs. indirect control through traditional rulers) and the extent of European settlement (significant vs. minor) . This would yield the four-cell matrix presented in Table 5.8.

28 Some fifty years later, some of the examples given by Lijphart may no longer be so apt. Arguably, the political culture of the Netherlands has become more homogeneous, while that of the USA has become more fragmented. 29 In an article about the use of case studies in international relations, A. Bennett and Elman (2007, 181–82) discussed various types and functions of typologies.

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Table 5.8: Typology of developing countries by colonial background. Degree of European settlement Significant (Settlement by Europeans encouraged, significant European minorities present at independence)

Strategy of control

Minor (Settlement by Europeans not encouraged, European presence limited to non-permanent officials, soldiers, missionaries, traders & other expatriates)

Assimilation (Inhabitants encouraged to embrace language and culture of colonial power, becoming “Black Frenchmen” etc.)

Assimilation-settlement Assimilation-expat colony colony E.g. Angola, New Caledonia? E.g. Guinea-Bissau, Niger, Central African Republic

Paternalist Indirect control (Control exercised through traditional rulers; ethnic identities recognized, encouraged)

Paternalist-settlement colony Kenya, Namibia, South Africa, Zimbabwe

Paternalist-expat colony Gambia, Ghana, Sierra Leone, India

The matrix would be useful to a researcher planning to do research on library development in former colonies by suggesting countries to consider for inclusion or elimination. If the researcher wished to study the effects of both variables, at least four cases would have to be chosen, one from each cell. If the researcher wished to concentrate on the impact of European settlement, he could select cases from the assimilation or paternalist rows only, as this would control for the effect of the Strategy of Control variable by holding it constant. Note that this typology is presented for illustrative purposes only. A researcher wishing to develop such a typology would be well-advised first to search the literature on the history, politics and government of colonial territories to find existing typologies with theoretical underpinnings before embarking on the construction of a new one. In the case of LIS, we do not necessarily have to develop our own classifications. Often we can save ourselves the effort, and make our studies accessible for researchers in other disciplines, by utilizing existing classifications, such as the World Bank’s classifications by economic characteristics. Other sources are formal groupings of countries such as the Organization for Economic Cooperation and Development (OECD), which

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comprises the wealthy countries, and the African, Caribbean and Pacific (ACP) Group of States, which groups together most of the world’s poorest countries. It can also be helpful to utilize typologies drawn up by economists, political scientists and other social scientists. In some cases, however, we may want to develop a typology based on LIS-related criteria. In a study of public library conditions, we might want to compare countries which were pioneers in the provision of free public libraries, with countries which joined this movement later, laggards, and countries that lack public libraries altogether. An interesting example is found in an article by Streatfield and Markless (2011) who, in discussing evidence-based library advocacy, divided countries into three groups according to their history of library development: (1) “ad hoc and opportunist development”; (2) “steady progress (in formerly or currently centralist or totalitarian states”; and (3) “countries with well-developed library services experiencing a descent from a more or less mythical Golden Age.” If we decide to use an approach of this nature, we need to develop explicit criteria so that the countries can be classified on a logical and consistent basis. We need to bear in mind that typologies reflect ontological assumptions, while certain types of categorization may be ideologically coloured.

5.12 Selecting an appropriate level of analysis The term ‘level of analysis’ was introduced in Section 5.7 when reference was made to levels relating to the geographic or locational dimension.30 Selecting an appropriate level of analysis is an important decision in designing a comparative study. In cross-national studies Nowak (1977, 12) distinguished two levels, one essentially at the national level (“the human aggregate corresponding or equivalent to a nation”), the other at the subnational level, which can include local communities or individual human beings. Landman (2008, 19–20) made an analogous distinction between macro and the micro levels, whereas three levels, macro, meso and micro levels, were discussed by Kennett (2001, 6–7)

30 The geographic/locational dimension is not the only dimension of interest. Other levels relating directly to the subject matter of comparative LIS, can be identified, for example: Highest level: The total LIS system of a country Intermediate level: LIS sectors such as children’s libraries and law libraries; systems such as education for librarianship, legal deposit or bibliographic control; functions, themes or problem areas, such as management, resource discovery, websites, information literacy education, and censorship Lowest level: Individual libraries, divisions, departments; groups and individual persons

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and Hantrais (2009, 54–55). Hantrais suggested that the term ‘meso level’ refers to a comprehensive, whole-society approach which combines analysis at the micro and macro levels. The three terms have somewhat different meanings in the various disciplines. Here I follow the terminology used in sociology, where micro level analysis refers to analysis at the level of individuals or small groups, essentially groups such local communities, businesses, or church congregations, that are characterized by face-to-face interaction. Meso level analysis involves “looking at intermediate-sized units smaller than the nation but larger than the local community or even the region.” This covers a vast range of groups, from national institutions such as the educational system, to large corporations, political parties and movements, and ethno-cultural groups. Macro level analysis is concerned with analysis of “entire nations, global forces and international social trends” (Ballantine and Roberts 2014, 21–23). The decision on the level of analysis in a study is closely related to the choice between a variable-oriented and a case-oriented approach, as discussed earlier. Macro level studies tend to be variable-oriented and micro level studies tend to be case-oriented. The choice of level depends on how the researchers see social phenomena and on whether the paradigm within which they are working emphasizes the role of structures (structure) or agents (agency) (Hantrais 2009, 55). There are underlying ontological beliefs affecting the decision. In political science this is referred to as the ‘structure-agency’ problem: Micro-analysts believe that the world of politics is shaped by the actions of ‘structureless agents,’ while macro-analysts believe that the world is shaped by the unstoppable processes of ‘agentless structures’ (Landman 2008, 19).

This can be illustrated by a hypothetical example. In a study of public library development in Latin America, the researcher who tends to emphasize agency might devote much attention to the roles of various individuals who provided leadership and influenced the developmental trajectories of the various countries. This researcher’s assumption is that individuals enjoy some freedom to make decisions and take initiatives and she would tend to focus on the micro level: e.g. the development history of individual library projects, and the perceptions, attitudes, beliefs and behaviour of individual librarians and community members. A researcher who emphasizes structure might place more emphasis on analysing library development along political-economic lines, looking at power relations, dependence and the continuing influence of former colonial powers such as Spain and Portugal in the region as determinants of library development. This researcher sees actions by individuals as being constrained, if not determined, by structures and she would tend to focus on the macro level, for example, marshalling social and economic data for the relevant countries.

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Increasingly, international comparisons are conducted at more than one level at the same time. The examples cited above illustrate that combining analysis at the two levels would provide a more balanced assessment. Multilevel studies make possible combinations of methodological approaches, thus providing richer sources of data and applying the principle of triangulation that was referred to earlier. In doing so, however, care must be taken not to fall into the trap of confusing the levels of analysis and committing the aggregate (ecological or individualist) fallacies mentioned earlier (Hantrais 2009, 55). In this connection it is worth mentioning the effect of distance from the phenomenon being observed, as discussed by Hantrais (2009, 56–57). For example, a ‘longdistance’ study of library development in sub-Saharan Africa undertaken from Europe or North America would reveal a much more uniform situation than a ‘close-up’ study looking at community libraries on the Cape Flats around Cape Town, South Africa, and rural village reading rooms in Botswana. Depending on the focus, Hantrais suggested that the research design needs to be adjusted to ensure an appropriate level of analysis and the right focus.

5.13 The time dimension In comparative librarianship, a distinction can be made between synchronic and diachronic studies. In the former, we compare the situation as it exists in more than one country at the same point in time and not much attention is paid to how those situations evolved. In diachronic studies the primary interest is in comparing how the situation evolved or developed over time in the chosen countries. In practice, we do not find many studies that are purely synchronic or diachronic. There are always elements of both orientations. Not all scholars agree that a diachronic or historical perspective is appropriate in comparative studies. Some scholars regard the historical and comparative perspectives as complementary but quite distinct. Writing about comparative librarianship, Danton (1973, 116) described it as a “closely related sister” of library history, of which it could be considered “a prolongation into the present.” Lajeunesse (1993, 7) observed that while library history gives a ‘diachronic’ view of librarianship, comparative librarianship gives a ‘synchronic’ view. In large-N studies such as those of the LIBECON project referred to earlier, the status of LIS in many countries (or societies or cultures) at a given point in time is compared, with little or no historical background. These studies offer a synchronic comparison. In qualitative studies scholars generally recognize that the development of LIS in each country has its own historical trajectory. Therefore, in many small-N studies the historical perspective is seen as an essential

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component of the detailed description that is expected of each case or country. Since a study of this can help understand the current status, a diachronic comparison, in which the comparativist can focus on how the situations evolved over time, is seen as an integral part of the comparison. Sweeting (2005) discussed the relationship between comparative education and history of education and asserted that they complement each other. The historical dimension adds another level of complexity, as it requires the special expertise needed in finding, evaluating and utilizing primary sources, but Sweeting added that the historical perspective can add much value in cases where the characteristics of historical analysis – its concern for evidence, its tentativeness, its utilization of historical consciousness, its interest in provenance, agency, seminality, and significance, its interest in connections, and its distrust of teleological31 explanations – are adopted in the process of comparing (Sweeting 2005, 40).

As an example in LIS of an in-depth comparative study combining diachronic and synchronic perspectives, it is worth mentioning Bertrand’s (2010) Bibliothèque publique et public library: essai de généalogie comparée, in which she compared the American and French public library models. As the subtitle “an essay in comparative genealogy” suggests, the historical development of public libraries in the USA and France was compared, with particular attention to the reception of the American model in France and the development in the latter country of an “unfaithful” or hybridized model. Figure 5.7 presents a schematic representation of the difference between synchronic and diachronic comparison. In both approaches, countries with different histories of LIS development are compared. On the left-hand side, in a synchronic comparison, the comparison is “cross-case” (or cross-sectional), and no attention is paid to the prior history. On the right- hand side, in a diachronic (“over-time”) (cf. Lijphart 1971, 689) comparison, the individual development trajectories are taken into account, and the state of library development at different stages is compared, using key developmental milestones such as, for example, the founding of the country’s national library, adoption of library legislation, and the introduction of computerization. Note that in this case, the lines representing the comparisons are not necessarily parallel, since the rate of library development is not necessarily the same and the intervals between the milestones will differ between the two

31 Here “teleological explanations” refers to explanations of historical events in terms of larger frameworks such as ‘God’s plan for our people,’ or ‘manifest destiny.’

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Diachronic comparison

Synchronic comparison

2015

1980

Country B

Country A

1940

1900

Country B

Country A

Figure 5.7: Difference between synchronic and diachronic comparisons.

libraries. In the hypothetical example the intervals in Country B are shorter than those in Country A, suggesting that Country B has a shorter history of library development and that less time has elapsed between the development milestones compared to Country A. Here the historical development is taken into account. An interesting example is provided by Maack’s (1985) study of the feminization and professionalization of librarianship in the USA and France. A. Bennett and Elman (2007, 176) suggest that a combination of cross-case and over-time comparisons can have considerable inferential value, i.e. value in testing theory. In quantitative studies a chronological dimension may be added when the number of cases is small and researchers want to increase the number of cases for purposes of statistical validity (cf. Lijphart 1971, 689). In a study of two countries, measurements taken four times at say, five-year intervals, could be used to increase the number of cases to 8. This is called the “pooled cross-sectional time-series analysis” (Landman 2008, 32). It should be noted that this is a fundamentally ahistorical approach, as it is the ‘snapshots’ of the situations at those points in time that are of interest (so that they are conceived as equivalent to separate countries), not the development of the situation over time. In this connection Lijphart (1975, 171–72) warns against the danger of Galton’s problem and “case-stretching” when using this method to increase the number of cases. Clearly, if data are repeatedly collected in respect of the same country, these ‘cases’ cannot be considered to be independent.

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More information on the time dimension in comparative studies can be found in Pennings, Keman and Kleinnijenhuis (1999, 49–54), who discuss the role of space and time, distinguishing between designs that are located in the time dimension only (time series and cross-sectional designs in single countries) and designs that are located in both time and space, including pooled time series designs in multiple countries. Teune (1990, 45) discussed the pitfalls of cross-time comparisons, and advised that, while countries need not necessarily be compared at the same point in time, there should be a theoretical justification for the choice of countries and points in time.

5.14 Evaluation of methodology By way of a summary, this section lists a set of questions relating to methodological decisions. These questions may serve to characterize and evaluate a given piece of research. The focus is on comparative research, but the questions are also relevant to other international research in LIS. 5.14.1 Methodological sources – Do the authors cite any methodological texts or articles that they used to develop their comparative methodology (as distinct from general research methodology)? – Are these sources on research method in social sciences? – Are there sources on research method in LIS? 5.14.2 Quantitative vs. qualitative approach – Did the authors explicitly adopt a predominantly quantitative or qualitative approach? – If a mixed methods approach, does a quantitative or qualitative approach predominate? – Is the approach that was selected in line with the metatheoretical point of departure? 5.14.3 Comparative research strategy – Do the authors explain why a comparison was thought necessary or useful?

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– How many countries are compared? – In terms of the number of countries compared, where does the study fall on the continuum from single-country to many-country comparisons? – Is this a study of a single country? If so does it qualify as a comparative study? – Was a variable-oriented or a case-oriented strategy chosen? – How many variables were studied? – To what extent are relations among variables explored within countries? – Given the aims of their study, did the authors choose a good balance between number of cases and number of variables? 5.14.4 Comparative research design – Is this a single-country, many-country or few-country design? – Why did the researchers choose this design? 5.14.5 Selection of countries – How was the country (or were the countries) selected? – Which countries were compared? – Do the authors provide an explanation of why they chose the countries they compared? – Were existing or purpose-designed typologies or classifications of countries used in selecting countries? – For a small-N study, did the researchers choose a most similar systems design (MSSD), a most different systems design (MDSD), or a combination of these? – Given the aims of their study, was this an appropriate strategy? 5.14.6 Units of analysis – Are the units of analysis about which data was collected appropriate to the level of analysis? – Do they use the same units of analysis in all the countries studied? 5.14.7 Levels of analysis – Have the authors clearly identified the level(s) of analysis? – Is analysis at the macro, meso or micro level?

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– Do they use the same levels of analysis in all the countries studied? – Are their conclusions based on data at the appropriate level of analysis?

5.14.8 Time dimension – Is the comparison purely synchronic or is there a diachronic dimension?

5.15 Conclusion This brings us to the end of the second phase in the sequence metatheory– methodology–method. Much of what has been discussed here is glossed over in many studies in comparative librarianship. However, there is much to be gained in closer attention to methodological decisions. They help researchers to sharpen their focus and clarify what is needed when deciding about methods. In the following chapter, we proceed down the research hierarchy to consider some decisions relating to methods, at the level of techniques and procedures.

6 Method: procedures, techniques, instruments . . .in international comparative research, . . .concepts cannot be separated from contexts, not only in terms of national, societal or cultural embedding, but also with reference to research cultures and language communities (Hantrais 2009, 72). Every year a great number of enthusiastic, well-trained social scientists set out on their first overseas research project and, with an awesome display of energy and creativity, reinvent the flat tire (C. B. Barrett and Cason 1997, 1). . . .be ye therefore wise as serpents, and harmless as doves (Matthew 10, v.16, King James Version of The Bible).

Outline 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 6.12 6.13 6.14 6.15 6.16 6.17 6.18 6.19 6.20 6.21 6.22 6.23

Introduction 289 Data sources 290 Concepts 291 Defining concepts 293 Concepts and defining attributes: the qualitative approach Variables and indicators: the quantitative approach 298 Concepts across boundaries 301 Framing questions across cultures 306 Survey design and execution 311 Documentary sources 321 Documents as primary sources 322 Content analysis 325 Bibliometric and related analyses 326 Secondary sources 328 General country information 329 International comparative data – general 332 International comparative data – LIS 338 Information on LIS in specific countries 341 Information on international organizations 342 Challenges in using secondary sources 343 Researching in other countries 348 Evaluation of methods 351 Conclusion 353

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6.1 Introduction This is the last of three chapters dealing successively with metatheory, methodology and method. Our focus is now on methods as such, as distinct from methodology (see Chapter 4, Table 4.1). As explained in Section 5.2, I limited my discussion of methodology to decisions on the quantitative/qualitative approaches, and to comparative strategy and research design. In this chapter, under ‘methods’ I now include procedures, techniques and instruments. Combinations of these are used in the commonly recognized methods such as surveys, case studies, and the historical, ethnographic, experimental and action research methods, to which chapters are typically devoted in social science research methods texts. By ‘procedure’ I understand a series of actions undertaken in a certain order. I understand ‘techniques’ to be specific ways of carrying out such concrete activities as sampling, observing, interviewing, administering questionnaires, and performing statistical analyses. Under ‘instruments’ I classify such tools as self-administered questionnaires, interview schedules, and observation protocols.1 The general procedures, techniques and instruments of social science research need not be discussed here, since they are dealt with in the various standard texts for LIS, e.g. Connaway & Powell (2010), Pickard (2013), Wildemuth (2009) and of course many general social science methods texts. Most of the procedures, techniques and instruments described in such texts can be applied within comparative studies as well as in international studies more generally. This chapter is concerned with specific issues arising from the application of these methods in research in international and comparative librarianship. To provide a broad framework, brief attention is first paid in Section 6.2 to data sources and the research procedures associated with them. Following this, Sections 6.3 to 6.9 are devoted to the challenges of conducting research across linguistic and cultural borders, such as in non-English speaking countries and developing countries. This requires that special attention be paid to concepts: can concepts ‘travel’? What happens when we try to use the same concepts in different cultural and linguistic settings? In comparing LIS phenomena in other countries, as in understanding LIS in other countries,

1 There is an unfortunate tendency to use the term ‘survey’ to refer to survey questionnaires. A survey is a method which entails particular design decisions, including decisions on sampling and questioning. In a survey, various techniques of questioning (e.g. interviews, questionnaires, focus groups) can be used. In these techniques, instruments such as selfadministered questionnaires and interview schedules can be used. Using the name of a method to refer to an instrument method causes confusion.

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societies and cultures, we must ensure that the techniques and instruments we use can yield equivalent answers to our questions. Sections 6.10 to 6.20 are concerned with the use of documentary sources. Section 6.21 deals with the general challenges of conducting research in other countries – countries other than that of the researcher.

6.2 Data sources As a preliminary to the discussion of methods, it is useful to consider the general sources of research data and how they can be tapped. Data used in comparative and international librarianship can be classified in various ways. Borgman (2010, 3–6) cited four categories of scientific data (observational, computational, experimental, and records) distinguished by the U.S. National Research Foundation, and provided a four-dimensional classification of data by purpose. This is a broad framework for scientific data generally. For our purposes the three main types of sociological data identified by Manheim and Simon (1977, 204–9) provide a useful point of departure: – Human behaviour and characteristics: this comprises (a) responses to questions posed by the researcher, and (b) other “overt behaviour and observable characteristics,” where data are collected through direct observation. – Products of human behaviour and characteristics: this comprises two categories: (c) Physical evidence (erosion measures, such as wear and tear, and accretion measures, such as graffiti, litter, or date stamps on circulation slips in library books), also referred to as indirect observation. (d) “Archives,” a term used by social scientists to refer to all forms of informationbearing records, published and unpublished. – Simulated data (e) are derived from computer simulations, management games, etc. The ‘ideal types’ referred to in Section 5.11 might fit into this category. Issues relating to category (a), responses to questioning, are dealt with in some detail in the sections that follow. Direct observation, category (b), includes field work such as visits to libraries in other countries, where issues of cultural sensitivity and avoidance of cultural bias are relevant, and where attention must be paid to some practical, logistical matters that are referred to in Section 6.21. All forms of questioning and overt direct observation raise the issue of reactivity: when aware of being studied, humans may adjust their responses in various ways which may affect the validity of findings. This may also occur, but to a lesser extent, in indirect observation (Mouton 1996, 142–43).

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Category (c), physical evidence may not at first sight appear to be very relevant to us here, but when visiting libraries in other countries one can learn much from physical evidence which may, on occasion, contradict what informants say. For example, the physical condition of materials on the shelves can reveal a great deal about the collection, which may be large but mostly out-ofdate. Signs of physical wear and tear can indicate which materials are heavily used, as distinct from simply being old. And a library in which all the books appear to be shelved with painstaking precision, without any signs of disorder, may tell a story about low usage.2 This is a form of ‘unobtrusive measurement,’ introduced by Webb et al. (1966) in a seminal book describing a host of imaginative data collection techniques. A more recent discussion of ‘erosion measures’ and ‘accretion measures’ was presented by R. Lee (2000, chap. 2). A few examples from LIS are given by Wildemuth (2009, chap. 17). Category (d), information-bearing records, is a major source of data for comparative librarianship, and is dealt with specifically in Sections 6.10 to 16.20. Here we need to take into account what one might term anticipatory reactivity, as when the author of a first-person account produces a version of an event that puts him/herself in a good light, or when the compilers of statistical data “work the system” to put a positive spin on the performance of their unit or organization. To date, category (e), simulated data, does not feature in international and comparative librarianship, but a simulation game, named Pamoja, deserves a mention: it has been used as a tool in teaching international and comparative librarianship (Schnuer 2007).

6.3 Concepts In the social sciences words are not only tools, but they are also subject matter.3 Words are carriers of concepts. Concepts are rooted in contexts. When we use words across contexts, can we be sure that we are conveying the same concepts? In international, cross-societal and cross-cultural comparisons, the “definition and understanding of concepts and the relationship between concepts and context are of critical concern” (Hantrais 2009, 72). Mouton (1996, 181) defined concepts as

2 There may of course be other explanations. Such observations should, when appropriate, be followed up by tactful inquiries. 3 The extensive theoretical literature on concepts has been surveyed, primarily from a philosophical perspective, by Margolis and Laurence (2014).

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the most elementary symbolic constructions by means of which people classify or categorise reality. Concept are, as it were, the ‘pigeon-holes’ into which we sort our unstructured empirical experiences; they are the primary analytical instruments by which we come to grips with reality.

The word “pigeon-holes” suggests that concepts are fitted within conceptual structures. There is some disagreement about what comes first: theories or concepts. Some argue that concepts are “theory-formed”: concepts derive meaning from their conceptual frameworks (Mouton 1996, 115). Others hold that concepts are “theory-forming”: they are more fundamental than theories; by providing categories organizing information, they make theories possible. The issue was briefly sketched by Hantrais (2009, 74).4 In the social sciences, a great deal of attention is paid to the clarification of concepts. Concepts may have different meanings in different disciplines, paradigms and periods. This can lead to confusion. Many important social science concepts are highly abstract and multidimensional and have to be understood in the context of a particular theoretical framework. These may be referred to as ‘theoretical concepts‘ or constructs, because they are constructed on the basis of lower-level concepts. Some examples of constructs are ‘alienation,’ ‘authoritarianism,’ ‘democracy,’ ‘information literacy,’ ‘managerialism,’ ‘nation state,’ and ‘social justice,’ to mention a few at random. It is useful to make a distinction between two kinds of concept: class concepts and variables. Class concepts are umbrella concepts for similar entities, where I use the term ‘entity’ very broadly to refer to objects, persons, institutions, countries, products, processes, events, etc. Concepts such as ‘small developing island nation,’ ‘library,’ and ‘document’ are class concepts. Social research methodology texts pay little or no attention to this kind of concept. Instead, they are concerned almost exclusively with the second kind of concept, variables, i.e. concepts denoting properties, attributes or characteristics of entities that can vary from entity to entity. While class concepts have members (or sub-classes), a variable is “a concept that can take on more than one value, state, category, score or condition” (Walizer and Wienir 1978, 28). In the case of libraries, examples of variables are: location, governance, collection size, number of staff, degree of centralization, conditions of access,

4 The terms “theory-formed” and “theory-forming” are from Sartori’s Foreword to his influential book Social science concepts: a systematic analysis (Sartori 1984b, 9). The first part of the book consists of his “Guidelines for concept analysis,” while part 2 contains chapters in which concepts such as ‘development,’ ‘ethnicity,’ ‘integration,’ and ‘power’ are analysed.

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number of items circulated, and policies on overdue books. Note that the same term can appear as a class concept and as a variable. In a given piece of research, it is important to distinguish between these two roles. Failure to do this frequently leads to confusion. For example, legal deposit legislation is a class of entities. Various legal deposit (LD) laws can be discussed in terms of variables such as “date when promulgated,” “coverage,” and “responsible agency.” But the presence (or absence) of LD legislation is something we can say about a national library. Most national libraries are entitled to receive LD copies, but some are not. In a comparison of national libraries, whether a national library receives LD material or not, can be considered a variable. Thus, in a data matrix constructed as in Chapter 5, Table 5.2, the libraries would be listed in the rows of the data matrix as cases, and “legal deposit legislation” (or preferably a label such as “presence/absence of LD legislation”) would be listed in one of the columns as a variable, under which “Yes” or “No” would be entered against each case. When naming variables, it is good practice to precede concrete nouns by abstract phrases such as “presence of,” “kind of,” “number of” or “degree of.” This helps to distinguish between cases and variables.

6.4 Defining concepts Because different understandings are possible, in scholarly work definitions of key concepts from general dictionaries generally do not suffice, and concept definitions have to be formulated, if only for purposes of communication, to ensure that the reader understands what the author means: “a social contract proposed by an author with respect to the usage of concepts” (Pennings, Keman, and Kleinnijenhuis 2005, 60). In formulating definitions, a balance has to be found between excessive rigour and flexibility. A too rigid definition confines the concept to a narrow field and makes it likely that it will soon be overtaken by newer concepts. There are two basic approaches to constructing definitions. An extensional definition specifies the extension of the concept, namely the entities which it includes. This can be done by enumeration: an enumerative definition lists all the entities which are included under the definition, e.g. “the Visegrad countries are Poland, Czechia, Slovakia and Hungary.” A contrastive definition also lists entities that are not included, e.g. “in this report ‘Southern Africa’ comprises the SADC countries excluding South Africa.” An intensional definition specifies the criteria an entity must satisfy for inclusion, e.g. “for the purposes of this survey, land-locked developing states are sovereign

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states, entirely enclosed by land, or whose only coastlines lie on closed seas, which had a per capita Gross National Income (GNI) of less than USD 4, 035 in July 2016.”5 This implies three criteria: sovereign, land-locked, and developing. These criteria constitute the intension of the concept (Pennings, Keman, and Kleinnijenhuis 2005, 62).6 The way in which concepts are formulated can have important implications for the internal and external validity of a comparative study. Concepts are used to classify, and as Sartori (1991, 246–47) has pointed out, there is an inverse relationship between the number of classes recognized for a phenomenon and the degree of variation within the classes. To use an example from LIS, if we divided all libraries into only three classes, educational, public, and special, then the kinds of libraries included under “educational,” would be so varied as to make it difficult to make useful statements about this class.7 To use the terminology introduced in the previous section, we can say that there is a relationship between the extension of concepts, and the number of cases denoted by them in a comparative study. This is illustrated in Figure 6.1, which is an adaptation of Sartori’s (1984a, 44–46) “ladder of abstraction”.8 Figure 6.1 shows that as the extension of the concept public library – at least, as this is understood in Western librarianship – is expanded to include a larger range of public library-like agencies, it will be possible to compare ‘public libraries’ in more countries. There will be more cases to be studied. This process is known as ‘concept stretching.’ However, at the same time, the intension of that concept will be reduced. That means that the agencies covered have fewer and fewer attributes in common and the term ‘public library’ will tell us very little about the characteristics of these agencies. The term ‘public library’ will become almost meaningless. This is illustrated by Figure 6.2.

5 Adapted from Wikipedia, “Landlocked country,” https://en.wikipedia.org/wiki/Land locked_country, and “Developing country,” https://en.wikipedia.org/wiki/Developing_ country, accessed 2018-05-04. 6 The terms ‘intension’ and ‘extension’ are also used in connection with the terms ‘connotation’ and ‘denotation,’ respectively. These are two dimensions of the meaning of a term. The intension of a concept is also referred to as its connotation or connotative meaning and the extension of a concept as its denotation or denotative meaning (Mouton 1996, 181–82). 7 This is reminiscent of the inverse relation between recall and precision, which occurs in information retrieval from bibliographic databases. If very broad search terms are used, recall is improved, but at the expense of precision – a large percentage of the items retrieved will be irrelevant. 8 Hantrais (2009, 75–76) has a brief, lucid account of Sartori’s proposals on concepts.

6.4 Defining concepts

Concept extension

+

High extension: concept applies to more agencies

Village reading room Community library Public Library

Telecenter MPCC* Community resource center Mosque library

Bibliothèque municipale

Low extension: concept applies to fewer agencies *MPCC: multipurpose community centre

‒

+

Number of cases Figure 6.1: Extension of concept and scope of study.

+

High concept intension: agencies have more attributes in common

Telecenter

Concept intension

Village reading room

‒

Community library Public Library

MPCC* Community resource center

Bibliothèque municipale

*MPCC: multipurpose community centre

Number of cases Figure 6.2: Intension of concept and scope of study.

Mosque library

Low concept intension: agencies have fewer attributes in common

+

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If we superimpose Figure 6.2 on Figure 6.1 it is seen that there is an inverse relationship between the intension and extension of a concept. Therefore, the decision on how to define key concepts is a very significant decision in comparative method. For a second example, let us imagine that we want to study the worldwide use of the Dewey Decimal Classification (DDC). Do we include only countries in which the DDC is used as published in the USA by its official publisher OCLC (high intension, low extension), or do we include translations and versions of the DDC with national adaptations, e.g. for local languages, area notations and historical periods, or even the Universal Decimal Classification (UDC), which was derived from the DDC (low intension, high extension)? At what stage do we consider a decimal classification scheme derived from Dewey no longer to qualify for the study? Often researchers combine many subclasses in order to simplify data collection, analysis, and/or presentation. For example, school, college and university libraries might be grouped together as ‘educational libraries’ (a class of greater extension and lesser intension). This covers a huge range from the Bodleian Library of Oxford University to the library of Littletown Elementary School. Aggregating data relating to such as disparate collection of classes will not yield useful findings. It is in any case wise to collect data using narrower classes (classes of lesser extension and greater intension). It is much easier to combine classes after data collection than to try to split classes retrospectively. The language used in relation to concepts can be confusing, because qualitative and quantitative researchers tend to deal with concepts differently. These differences have been lucidly set out by Goertz and Mahoney (2012). The differences, they add (p.214), are “not monolithic . . .but capture major fault lines.” In the next two sections I adopt their distinction.

6.5 Concepts and defining attributes: the qualitative approach In defining concepts used in their studies, qualitative researchers follow a semantic approach. As characterized by Goertz and Mahoney (2012, 206–11), these researchers are concerned with meaning, and try to identify “the intrinsic necessary defining attributes” (p.206) of a concept. They devote much attention to the process of defining concepts, and the resulting definitions may be long and complex. Cases may have “partial membership in conceptual sets.” For example, a telecentre is only partially a member of the class of public libraries. This is referred to as “fuzziness”, which Goertz and Mahoney (2012, 207) regard as an ontological concept, arguing that a statement about fuzzy-set membership is a

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statement about reality. The defining attributes of the concept are all essential requirements, but subtypes, which lack one or more of the requirements, may be identified. This implies that an ideal type, “a pure and complete example of a given concept” (p.211) is used as a standard against which the cases are evaluated. To illustrate, let us consider a study of how hospitably public libraries responded to the arrival of large numbers of refugees in Germany and other European countries in 2015 and 2016. Apart from the vexed issue of who is considered to be a refugee, we need to define what we mean by ‘hospitality’ in this context. On the basis of reports on library interactions with refugees and of general media and scholarly accounts of the ‘refugee crisis,’ we might identify the following activities of public libraries in relation to refugees: – Permitting access – Public display of welcome – Providing physical shelter – Assisting asylum seekers – Providing assistance in library use – Providing assistance in the use of government services – Providing emotional support – Promoting integration A further analysis might place the activities on an active-passive continuum, consider the level of empathy displayed, the congruence of staff attitudes at management and “coal-face” levels, or consider the extent to which libraries follow bureaucratic procedures or “bend the rules” to accommodate the needs of refugees. Through such a process of analysis a construct of “library hospitality to refugees,” consisting of a number of dimensions may be developed. In a qualitative study using an ethnographic approach, such a construct would not be developed in one piece purely on paper at the beginning of the study, but iteratively as the researcher observes what is happening and interacts with staff, refugees and others through interviews and other data-rich procedures. Interesting examples of qualitatively-oriented concept analysis and definition of constructs are found in a qualitative study by Dalbello (2008, 2009), who studied cultural dimensions of digital library development in five European national libraries. Dalbello devoted a large part of the first of two lengthy articles on this project to the analysis of relevant concepts. The analysis was informed by “theories of cultural production and institutionalization, organizational isomorphism, and the impact of national culture on organizational strategy formulation” (Dalbello 2009, 8). On this basis, she constructed a “national culture orientation framework” (p.8-9), specifying eight dichotomized (binary)

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variables and the behaviours and attitudes expected to be associated with them in the course of the interviews she conducted with key informants. Clearly, in this study, an in-depth understanding of the culture dimension was critical. Dalbello summarized this as follows: The cultural analysis considers the culture dimension to be an outcome of multiple and interacting systems of meaning, including national, organizational, and professional culture and the heterogeneous influences from the “cultural tool kit” (such as popular culture forms or internal protocols of innovating teams), resulting in the following culture formula: Culture = National Culture + Organizational Culture + Professional Culture + Heterogeneous Tool Kit Culture (p.8).

Each of the constructs mentioned here, was carefully analysed before she arrived at this formulation. This illustrates the observation of Goertz and Mahoney (2012), summarized earlier, that concept definitions in qualitative studies tend to be long, complex and fuzzy. A further example is the use by Caidi (2004a, 27) of a scheme of four phases of policy debate to construct four statements on national information infrastructures for discussion with respondents in the Visegrad countries. Caidi (2003, 103–5) also constructed a typology of library cooperation based on four dimensions: individual versus collective goals, centralization versus decentralization tension, product versus process orientation, and global versus local considerations. This was used as a framework for her study of library cooperation in the Visegrad countries. Also of interest, and more typical of LIS literature, are a less formal attempt to define school libraries (Marquardt 2008), and a suggested matrix for performance of service delivery by academic libraries (J. P. McCarthy and Tarango Ortiz 2010, 508–9).

6.6 Variables and indicators: the quantitative approach Quantitative researchers also need to define their concepts, but they pay more attention to data and measurement, and they tend to refer to variables rather than to concepts. A complex variable or construct that cannot be measured directly is sometimes called a latent variable. To measure such a variable, indicators are used. Indicators are variables, the variance in which is thought to be caused by the latent variable. For example: we wish to compare accessibility of public libraries in a number of countries. We decide that accessibility of public libraries is determined (“caused”) by factors such as the number of such libraries in relation to population, geographic distribution of the libraries, opening

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hours, cost of library use, and ease of access by persons with disabilities. For each of these factors we devise measurable indicators, for example: – Number of library service points per 100,000 inhabitants – Percentage of communities over 1000 inhabitants which have no library service point within 2,5 km – Average distance of population from their nearest library service point – Hours open per week – Which of the library services on a checklist are available free of charge – Percentage of public library service points that comply with national/European standards of access for mobility-impaired users. The process of developing a set of measurable indicators is called operationalization. A quite rigorous quantitative study by Lindblom and Räsänen (2017) serves as an interesting example of this process. The authors examined differences in internet access and its use for cultural purposes in Finland, the United Kingdom and Greece, focusing on class and status as the independent variables. Using data available from the European Commission’s Eurobarometer9 72.9 database, they measured the first independent variable, social class as follows: Social class is our first independent variable in the analysis. We operationalized occupational class as respondents’ socioeconomic status (SES), or occupational category. The categorization also takes into account the hierarchies of job positions, as well as level of autonomy or subordinate status. Hence, we have six categories for the SES variable: (1) manual workers, (2) managers, (3) other white-collar, (4) retired, (5) other inactive (e.g., student, homemakers, and unemployed), and (6) self-employed. Our primary interest lies in the distinctions between upper occupational positions (white-collar occupation categories and managerial positions) and working-class occupations (Lindblom and Räsänen 2017, 151).

In this example, the researchers narrowed down ‘social class’ to ‘socioeconomic status,’ and then further down to ‘occupational category.’ The latter is not the only dimension of socioeconomic status, but the researchers argued that occupational category was chosen because today a person’s occupational group can be considered a reliable measure of that person’s class. Furthermore, this particular measure was available from an existing European dataset. This is an

9 Eurobarometer refers to a series of surveys conducted by the European Commission’s Public Opinion Analysis sector. See European Commission, “Public opinion,” http://ec.europa.eu/ COMMFrontOffice/publicopinion/index.cfm, accessed 2018-05-04. Eurobarometer 79.2 is a survey module, carried out during April-May 2013, which covered inter alia “cultural activities.” See ICPSR, “Find and analyze data,” http://www.icpsr.umich.edu/icpsrweb/ICPSR/studies/ 35505, accessed 2018-05-04.

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example of how an operational definition “bridges the gap between the general definition of a concept . . . and the available data” as expressed by Pennings, Keman, and Kleinnijenhuis (2005, 82). They use the image of a funnel with a series of filters. Concept definition is the first of these, this is followed by the operational definition, with measurement taking place at the narrow end of the funnel, when data values are added to the data matrix (cf. Section 5.7). An interesting example of the development of cross-national indicators is found in a study by Lau (1988, 1990, 1995), who studied information development in relation to social development in highly developed and less developed countries. In this quantitative study, Lau needed indicators for the socio-economic development of the countries (the independent variable). He used published data for five indicators: food consumption in calories, life expectancy at birth, infant mortality rate, adjusted enrolment rate in primary schools, and adult literacy rate. For his dependent variable, he identified three dimensions of information development: “storage centres for information, accumulation of recorded information, and recording of information activities.” For each of these, indicators were chosen. For example, he limited “information recording activities” to publishing, and as indicators for publishing he selected the number of book titles, the circulation of daily general interest newspapers, the circulation of non-daily newspapers, the number of titles of other periodicals, and the consumption of newsprint paper (Lau 1990, 318). There were no indicators of the quality or benefits of information, due to lack of appropriate data. Lau’s indicators provide a good illustration of the observations of Goertz and Mahoney (2012, 208) that, “unlike the attributes that constitute a concept, indicators are optional, substitutable and not necessarily definitional. Different indicators are all measures of the same conceptual entity.” A choice of indicators is made. Some may not be suitable for the chosen methodology and are omitted. Indicators which are not directly implied by the definition may be included. Some earlier examples include a study by R.V. Williams (1976) on indicators of library development in Latin America, while Catts and Lau (2008) reported on the process of developing indicators for the measurement of information literacy internationally. In a comparative study of three public library systems, Audunson (1999) developed a general model for studying change, which was then operationalized so that the variables could be measured empirically. More recently, in studies of the perceived outcomes of public libraries in a number of West European countries and developed countries, Vakkari and colleagues (Vakkari et al. 2014, 2016) provided examples of the selection of indicators for measuring the resources invested in public libraries and for measuring the perceived outcomes.

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Because quantitative researchers rely heavily on statistical testing, they place much emphasis on eliminating measurement error10. Goertz and Mahoney (2012, 210–13) considered error to be a matter of the quality of knowledge, and hence an epistemological concern. Criteria for evaluating the quality of operationalization and measurement, such as construct validity and reliability, and the development of measurement scales are a significant theme in the literature of quantitative studies. These quite technical topics are not dealt with here. For examples, see Pennings, Keman and Kleinnijenhuis (2005, 85–113). For a less technical treatment of scales, see Pickard (2013, 211–18).

6.7 Concepts across boundaries 6.7.1 Concepts and language The idea that comparative researchers should have an “intimate knowledge of context and culture” (Hantrais 2009, 86) runs like a golden thread through much of the literature of comparative studies in the social sciences. Without a thorough and thoughtfully considered exposure to the culture and life-world of the peoples being compared, the comparativist runs the risk of forming a distorted, ethnocentric view of them. In Section 3.8, there is a brief discussion of culture as a component of a conceptual framework for the study of international and comparative librarianship. There I also touch on the issue of cultural relativism. In Section 4.6, culture, ethnocentrism, and language are briefly discussed as part of the sociological dimension of research. Here the emphasis is on whether and how concepts can be conveyed across cultural and linguistic boundaries. The question, “can concepts travel?” occurs quite frequently in comparative literature, but a caveat is necessary. The question suggests that a concept from one country and/or language can somehow be transported to another country and/or language, as if it were a language-independent and/or culture-free package. There is another way to look at concepts across boundaries: to see them as embedded in their languages and cultures so that it is not possible to uproot one and plant it in the other

10 Measurement error (also known as observational error) occurs when there is a difference between the true value of a quantity and its measured value. It can be the result of random error (due to factors randomly affecting members of a population or sample) or of systematic error (due to deficiencies of the measuring instrument or the conditions during which measurement takes place; these affect all the members of that population or sample in the same way, so that all the measurements are biased) (A. Rubin and Babbie 1993, 155–62).

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language/culture; only rough equivalences can be sought. In her comparison of American and French public libraries, Bertrand (2010, 18–19) commented on the difficulties of translating terms such as ‘public library,’ ‘community,’ and ‘intellectual freedom’ into French. Commenting on writing an article in English for the journal Library trends, French sociologist Denis Merklen (2016, 144–45) pointed out that the French démocratie and république are not exact equivalents of English ‘democracy’ and ‘republic’ respectively. Referring to libraries, he commented that, because these institutions exist in different ‘political worlds,’ a bibliothèque is not simply a library. Difficulties in translating such terms also offer an opportunity for reflection on the concepts: “I will attempt . . . to use the difficulties of expressing in English the reality of French libraries as a different way of thinking about these institutions.” In an article asking “what is Library and Information Science (LIS) in Latin American library schools,” Martínez-Arellano (2013) showed how the translation of this term depends on the way it has been conceptualized in that region. Language and culture are inextricably interwoven, and in international research and practice we soon discover that the relationship between culture, languages and nations is a complex and – in many parts of the world – a conflict-ridden one. In a theoretical exploration of the sociology of nations, Pickel (2013) conceptualized ‘nations’ as ‘national cultures,’ which are rooted in, and interwoven with, ‘natural languages.’11 The boundaries of political, cultural and linguistic groups coincide only to a limited extent. There are far more languages than nation states. How many languages there are in the world today depends on how one defines a language, but the 18th (2015) edition of the Ethnologue, a web-based catalogue of the world’s languages compiled by the Summer Institute of Linguistics (SIL), listed 7102 living languages.12 Not only are different national or official languages spoken in different countries, but in many countries multiple languages are spoken by substantial minorities. The U.S. Census Bureau reported in 2015 that in the New York metropolitan area alone at least 192 languages are spoken at home, and that 38% of the population aged 5 and over speak a language other than English at home.13 Iyengar

11 Pickel (2013, 430) distinguished between natural languages (unwritten, culture-specific, and transmitted in childhood) and ‘artefactual languages’ (encompassing written natural languages and a great variety of symbolic systems. 12 Ethnologue, “About the Ethnologue,” http://www.ethnologue.com/about, accessed 201805-04. 13 United States Census Bureau, “Census Bureau reports at least 350 languages spoken in U.S. homes,” https://www.census.gov/newsroom/press-releases/2015/cb15-185.html, accessed 201805-04.

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(1983, 173–74) cited figures indicating that 44% of all nation states can be considered linguistically heterogeneous, in that less than 75% of their populations speak the dominant language. Many countries have more than one official language. For example, South Africa recognizes eleven official languages, in addition to which many more languages are spoken in that country. English, regarded there as the lingua franca in government and commerce, ranks fifth as the most spoken home language.14 Thus in South Africa, using only English means that the majority of the people a researcher is interviewing or questioning are responding in a language other than their mother tongue, in which they may well have limited competence. The South African situation is neither unique not extreme. There are at least ten countries in which more than 200 mainly indigenous languages are spoken by the resident population.15 At the other end of the spectrum, a small number of languages are spoken by many native and non-native speakers worldwide. On the internet users are grouped in “nations” according to their mother tongues, not on the basis of where they live. Thus, on the internet the “Spanish nation” includes users located in Spain, Latin America, the USA and many other countries (UNESCO 2003b, 27). Using Pickel’s terminology, the Spanish used on the internet is an ‘artefactual’ language. However, regional, national and local variants of a major ‘natural’ language such as Arabic, Spanish, French or English may differ so much that speakers from different parts of the world find it difficult to understand one another.

6.7.2 Can concepts “travel”? In the literature, we find different metatheoretical (ontological) positions regarding the question of whether concepts can ‘travel’ internationally. Hantrais (2009, 85–94) devoted a conceptually rich section to the contextualization of concepts, identifying a “progressive shift away from context-free research designs to context-boundedness” (p.85). Landman (2008, 33) identified three positions, universalist, relativist, and a middle position. The universalist position holds that it is essential for theoretical concepts to be able to ‘travel’ worldwide if they are to be used in scientific cross-national explanations of phenomena. Hantrais (2009, 78–80; 90–94) described this as a 14 Brand South Africa, “The languages of South Africa,” https://www.brandsouthafrica.com/ south-africa-fast-facts/geography-facts/languages, accessed 2018-05-04. 15 Vistawide, “Top 20 countries by number of languages,” http://www.vistawide.com/lan guages/20_countries_most_languages.htm, accessed 2018-09-11.

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positivist and quantitative stance, where concepts are thought to be valid across cultures and concepts are “transportable.” Here emphasis is placed on the lexical and syntactic equivalence of questions posed to respondents in different countries. The danger is that researchers will assume that concepts from their own culture are universal and can be applied to other cultures. Thus, in international surveys investigators try to ask the same questions by producing “formally identical” questionnaire items. The limitations of such a procedure were mentioned earlier. In the universalist position, quantitative researchers adopt an etic approach, focussing a “narrow conceptual lens” on the phenomenon in that they look at a narrow spectrum of variables (p.88). The relativist position holds that “all meaning is locally determined” (Landman 2008, 33), which severely limits the possibility of international comparisons. According to this position, “stretching” a concept “dilutes its meaning and precision” (Landman 2008, 34). The relativist position is interpretivist in nature. It assumes that sameness or difference is “an indicator of the observer’s/interpreter’s system of concepts” (Raivola 1986, 271). Hantrais (2009, 78– 80; 90–94) also described this as an interpretivist and qualitative stance, where concepts are thought to be culture-bound. Here emphasis is placed on the conceptual and semantic equivalence of questions, which requires a “close scrutiny of the context within which language is used and develops” (p.80; 94). This emic perspective assumes that concepts are specific to cultures, natures or groups. Qualitative researchers tend to look at the phenomenon through a “wide conceptual lens” in that they are interested in an unspecified, wide set of concepts (p.88). Taken to an extreme, the relativist position would make comparison virtually impossible. On the other hand, the universalist position appears excessively naive. Most comparativists today tend to take the middle position. Landman’s middle position accepts that concepts do not have the same meanings in all countries. Here researchers seek practical solutions to come to terms with the context dependence of concepts. An important point of departure for comparative research is to make a distinction between identity (sameness) and equivalence.

6.7.3 Equivalence What do we mean by equivalence as distinct from identity? Simply stated, equivalence of a concept means that although the words, questionnaire items or indicators used to refer to it may be different in different languages and for different sociocultural groups, its meaning will be understood roughly – sufficiently for

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the researchers’ purpose – in the same way by the groups concerned. Numerous varieties of equivalence have been distinguished (e.g. Mitchell 1983, 231–32; Vitiello 1996a, 26–27; Kennett and Yeates 2001, 44). The six varieties identified by Nowak (1977, 41–43) have been widely cited and expanded, e.g. by Raivola (1986, 265–67). The reason for the confusing proliferation of types of equivalence is that the concept of equivalence is used in many disciplines and has to be understood in the context of different philosophical and metatheoretical traditions. Much of the discussion emphasizes quantification and measurement. Hantrais (2009, 76–85) provided a more recent and detailed discussion of many kinds of equivalence, making a major distinction between linguistic equivalence on the one hand, and semantic and conceptual equivalence on the other. Broadly speaking, linguistic equivalence is concerned with the words and syntax of the languages used (lexical and syntactic equivalence). On the other hand, conceptual equivalence is concerned with the equivalence of concepts across linguistic and cultural contexts, taking into account that fact that concepts are formed and understood within these contexts and never overlap exactly across languages and cultures: Problems of conceptual equivalence are especially troublesome to the comparative researcher, since he will often find that the concept he is working with is not found in the local culture. Researchers have discovered this difficulty with regard to concepts of time, of the future, of distance or height with regard to visual scaling devices, and of a number of concepts which have clear evaluative overtones, such as ‘table manners.’ ... Considerable knowledge of the local culture and language is needed in order to gain conceptual equivalence. . . (Mitchell 1983, 231)

Under conceptual equivalence I subsume the following varieties identified by Nowak (1977, 41–43) and Raivola (1986, 265–67), adding illustrative LIS-related examples: – Cultural equivalence: Here the phenomena are perceived in the same way in different cultures, for example LIS schools, regardless of whether in different countries they are autonomous, affiliated to universities or vocational colleges, or governed as subunits of larger university departments. – Contextual equivalence: Here objects or persons belong to higher level aggregates that have been classified as equivalent, e.g. school libraries and school media centres in high schools, French lycées or Dutch gymnasiums (but not in German Hochschulen, which are universities). Because these kinds of schools are considered to be roughly equivalent, their libraries are too. – Structural equivalence: Here objects or persons have the same relative positions in structural systems that have been judged to be similar, e.g. library

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directors in universities, regardless of whether they are called vice provosts, deans, directors, university librarians or heads, and of whether they are professionally qualified librarians. – Functional equivalence: Here the objects or persons play the same role in systems being compared, for example French documentalists and American corporate librarians. Another example is the U.S. Library of Congress, which, although established primarily as a facility for Congress, is functionally equivalent to national libraries in other countries and would be included in an international survey of national libraries in spite of its dual nature. In the next section, some of the challenges in achieving equivalence in questioning procedures are addressed.

6.8 Framing questions across cultures English-speaking scholars have a great advantage in that they speak a world language. Many scholars from non-anglophone countries publish in English in order to reach a larger audience. Many international conferences are held mainly in English and for many international organizations English is the main working language. This gives English speakers access to a great deal of the world’s literature and allows them to play leadership roles internationally. However, because English-speakers are less motivated to learn other languages, they cut themselves off from scholarly literature in languages other than English, and they risk assuming that the English terms they use are universal (Hantrais 2009, 89). This can lead to misunderstandings when respondents who speak English as a second or third language answer questions framed in English. In the case of a self-administered questionnaire, it is salutary for an English-speaking researcher to imagine her foreign respondent reaching for an English-Italian, English-Russian, or English-Zulu dictionary while trying to respond. When respondents rely on dictionaries to make sense of questions, their responses may reflect a too literal interpretation of a question, leading to apparently irrelevant answers. It goes without saying that figurative speech and colourful idioms such “a needle in a haystack,” or “let sleeping dogs lie,” should be avoided. Librarians and information workers have for decades worked on the challenging problems posed by the development of multilingual thesauri for use in information retrieval (e.g. Jorna and Davies 2001; Neelameghan and Raghavan 2005). The ISO standard for multilingual thesauri (ISO 5964-1985) dates back to 1985. More recently IFLA issued guidelines for multilingual thesauri (IFLA Working Group on Guidelines for Multilingual Thesauri 2009). LIS terminology

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itself suffers from a lack of common interpretation. In his bilingual German-English dictionary of librarianship and related fields, Sauppe (2011) listed a large number of bilingual and multilingual dictionaries in our field. These can be useful but should be used with caution when addressing research questions to colleagues speaking other languages.

6.8.1 Varieties of English The need for caution also applies to the many varieties of English spoken across the globe. Asking a twenty-year old South African student what school she is attending may elicit an indignant reaction, “I finished school two years ago!” This illustrates the problem of spurious lexical equivalence, where the same word can have different meanings in two countries, or similar-looking words can have different meanings in other languages or even in regional variants of the same language. An example is given in Figure 6.3.

USA

South Africa School

“School” “K-12” Elementary Middle High

“College” Junior College Community College Liberal arts College University

(Basic Education) Primary Junior Secondary? Senior Secondary

? ? ? ? ? ? ?

Higher Education & Training Vocational training Nursing college University of Technology University

Figure 6.3: Example of spurious lexical equivalence.

As shown in Figure 6.3, the concept ‘school’ which in the USA includes educational institutions at all levels, is used in South Africa (and most other countries using Standard English) only in relation to what Americans call ‘K-12.’ Furthermore, American institutions such as liberal arts colleges, community colleges, and junior colleges have no obvious equivalents in most other English-speaking countries. In Standard English, a faculty is a university-level academic unit

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larger than a department, whereas in the USA it is a collective term for academic staff having a certain employment status, and it is increasingly used to refer to individual faculty members (“Smith is a faculty of. . .”).16 In these cases, the same words are used to refer to different concepts. This can give rise to confusion and invalid results if the terms are used without explanations in survey questionnaires distributed internationally, even if only in English-speaking countries. Pilot testing of the questionnaires is advisable, as in a study conducted by Walton, Burke and Oldroyd (2009) in the UK and Australia.17

6.8.2 Translating questions The researcher’s interaction with research participants is severely inhibited if she does not speak their language. Problems relating to the mutual intelligibility of, for example, British, American and South Asian versions of English pale into insignificance when more than one language is involved, especially across language families. A wider range of responses can be elicited and, arguably, better quality data can be gathered if survey instruments can be translated into the languages of the intended participants. This applies to the translation of selfadministered questionnaires as well as to the translation of interview schedules and the employment of local interviewers who speak the relevant languages. Any attempt to translate or interpret carries a risk of distortion. Translators and interpreters are gatekeepers who can influence the communication process in various ways (Liamputtong 2010, 144). In international practice, for example at UNESCO and IFLA, a distinction is made between translation, which is concerned with rendering written text into another language, and interpreting, which is concerned with conveying into another language the meaning of spoken communication, mostly while the communication is taking place.18 There is some difference of

16 Such terminology also depends on academic traditions. In the developing world, terminology for Western institutions is often derived from those of the colonial powers or other influencing countries. 17 I use the term “pilot testing” for the testing of the instrument (usually with a small group of respondents) before it is applied in a full-scale survey, whereas a “pilot study” is an exploratory study, usually on a small scale, undertaken to gain insights into the research problem, formulate hypotheses, etc. as preliminary to a larger project. The term “pre-test” refers to an instrument administered to a group of subjects in an experimental study, to measure their knowledge, attitudes, opinions, etc. before the experimental intervention takes place (cf. Section 5.5). 18 Cf. Language Scientific, “The difference between translation and interpreting,” http:// www.languagescientific.com/the-difference-between-translation-and-interpreting/, accessed 2018-05-05.

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opinion as to whether it is better to employ professional translators and interpreters or bilingual persons from the field who are thoroughly conversant with the subject matter (Liamputtong 2010, 149–51). In the years following the Second World War it was not always appreciated that concepts are developed in particular cultural contexts and are expressed using the words of particular languages. It was then common practice for surveys to be conducted in Europe by American scholars and institutions. The survey instruments and technical instructions were designed in the USA, and then translated into the various European languages before being administered to the European respondents by local staff. European scholars in the target countries were not necessarily consulted (Hantrais 2009, 15; 144). This asymmetric research practice, referred to as “canned questionnaires“ (Mitchell 1983, 231), was also applied in developing countries, where it was sometimes labelled the “safari approach” (Hantrais 2009, 144). Apart from the political and ideological issues raised by these projects, doubts grew about the reliability of the data and the validity of the results. As indicated earlier, lexical equivalence (where correctly translated words are used) does not necessarily ensure conceptual equivalence. The complexities of translating survey instruments into other languages have been widely discussed, with attention being paid especially to survey research in developing countries (e.g. Bulmer and Warwick 1983; Flay, Bull, and Tamahori 1983; Iyengar 1983) and in qualitative cross-cultural social research (e.g. Liamputtong 2010, chap. 6). Harkness (2007) discussed in some detail the procedures for translating the survey instruments of the European Social Survey into multiple languages. In an attempt to ensure that the various language versions of questionnaire or interview schedule are equivalent, formal procedures of forward and back translation may be followed. The instrument is first translated from the original (source) language into the other (target) language. It is then translated back from the target language by translators who were not involved in the forward translation and who, ideally have not seen the source. The back-translated version is then compared with the source, after which the differences between the two texts are discussed in order to eliminate discrepancies. Standard procedures have been described for the translation of standardized questionnaires in cross-cultural clinical settings (e.g. Beaton et al. 2000; Su and Parham 2002; World Health Organization 2017). The forward and back translation process is time-consuming and expensive, and some doubts have been expressed about its efficacy (Hantrais 2009, 80–81). In all cases, it is very beneficial to involve persons who are native speakers of all the relevant languages in the development of the instrument as local informants, research assistants, and, preferably, co-researchers. For example, researchers who conducted a survey of students’ career decisions in library schools in Canada, China, Hong Kong, and

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Japan, were drawn from all four countries. They developed the questionnaire in English as a team effort. It was then translated into Chinese and Japanese (P. Lo et al. 2015, 199). While no mention is made of back-translation, the involvement of the Chinese and Japanese team members in developing the English originals would presumably have helped them when translating it.

6.8.3 Measurement equivalence In quantitative studies ‘measurement equivalence‘ is an important criterion. This is a quite technical topic (cf. Hantrais 2009, 81–85). As mentioned in Section 6.6, constructs (complex theoretical concepts) may be measured using variables referred to as indicators. In multi-lingual and multi-cultural situations, it may be necessary to use indicators which are not identical but equivalent. Before instruments are used, a process of calibrating the instrument must be carried out to ensure that differences in measured values are the result of real differences between the objects of analysis, and not the result of non-equivalent indicators. This is depicted schematically in Figure 6.4.

Culture/Country/Language A Indicators (operationalized concepts)

Theoretical concept

Feedback

Calibration

Equivalent indicators

Indicators (operationalized concepts) Culture/Country/Language B Figure 6.4: Theoretical concepts and cross-contextual equivalence.

Note the feedback loop depicted in Figure 6.4. It indicates that the theoretical concept which serves as the point of departure may have to be refined in the process of working out equivalent operationalized concepts. Tran (2009) discussed conceptual equivalence in measurement in cross-cultural social work research and dealt in detail with the procedures for designing cross-cultural measurement instruments in quantitative studies. When using instruments

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such as Likert scales (cf. Pickard 2013, 213–14), researchers have noted fascinating national differences in responses. For example, in cross-national research it has been found that English-language questionnaires administered to non-native speakers elicit responses that cluster more to the middle of the scale, while questionnaires in respondents’ native languages elicit more responses at the upper and lower ends of the scale (Harzing 2006; Harzing et al. 2012).

6.9 Survey design and execution Issues of equivalence are not limited to the equivalence of concepts that were dealt with in the foregoing discussion. The reliability of comparative research requires consideration of the equivalence of various procedures and techniques. This is particularly true in large-scale quantitative research. Here it is instructive to consider the experience gained in the course of the European Social Survey (Jowell, Kaase, et al. 2007). In a coordinated survey conducted by incountry researchers based throughout the European Union, it proved impossible to implement exactly identical samples, interview schedules, response coding, etc. The reliability of this quantitative research project depended not on identical procedures and instruments but on the ‘principle of equivalence.’ Lynn, Japec and Lyberg (2006) also provided an insightful overview of what is “special” about cross-national surveys. Context is an important factor in designing surveys, as may be illustrated by a hypothetical comparative study of internet use by public library users in Cape Town, South Africa and a city of comparable size in a developed country. While certain parts of Cape Town have pleasant and affluent residential suburbs with shopping malls and other amenities similar to those in “first world” cities, much of Cape Town is very different. Like many African cities, Cape Town is experiencing rapid urbanization, as large numbers of poorly educated, unemployed people move in from the rural areas in search of better opportunities, and construct shacks in sprawling informal settlements. Access to these for research purposes would have to be negotiated after relationships have been established with local politicians. Even with their approval, the security of field staff would be a concern here. Given the constantly shifting human geography and in the absence of an obvious source of population data, sampling households will be challenging. In developing survey questionnaires or interview schedules, the research team will need to consider the multilingual and multicultural character of these communities, and the extreme differences to be expected there in terms of socio-economic status, literacy, educational status and prior experience of libraries and information technology. The survey would

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need to be conducted using at least three major languages. This would be an extreme case, but problems of this nature can be expected in any cross-national or cross-cultural comparison.

6.9.1 Sampling If samples are drawn in more than one country, it must be borne in mind that there may be different national styles of census-taking and statistical surveys. Different countries may have (or not have) various forms of population registration. In Germany and the Netherlands, for example, there are detailed and comprehensive population registers; in the USA, on the other hand, there is no national population register and researchers have to rely mainly on a major census carried out every ten years. Survey researchers have to rely on the national systems for their sampling frames. Hence there is no single sampling design that will yield a representative sample in every country. However, from a statistical point of view it is not necessary to use identical sampling procedure in different countries. The requirement is that the sampling procedures should yield samples that are representative of the sampled populations in their respective countries, and that approach the criterion of equal probability of inclusion. Therefore, in a comparative study, different sampling frames and different stratification or cluster designs may be used for the countries included in the study (Scheuch 1968, 190–97). In developing countries, the infrastructure and expertise needed for censusing may be limited (Gil and Omaboe 1983). Mitchell (1983, 220–26) discussed sampling errors that may arise here. In all cases, it is critical to be aware of the differences, and to ensure that, despite the use of different sampling designs, sampled units have an equivalent probability of inclusion. The response rate also needs to be at least roughly equivalent. In a study of perceptions of public libraries in six countries in sub-Saharan Africa, various groups of respondents were interviewed. The researchers encountered a variety of problems in drawing samples of these groups, including difficulties in obtaining lists to be used as sampling frames, and inaccuracies these lists. The problems differed from country to country (EIFL 2011). Vakkari et al. (2014, 2016) described the different sampling procedures they used in comparative studies of public library usage in three and five developed countries respectively, and the expedients they used to acquire comparable data. In comparative studies in LIS, sampling often involves selecting countries, then institutions or systems within them – these mostly being selected as purposive or convenience samples. Within the selected institutions or systems, respondents, transactions or other objects of analysis may then be selected using

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equal probability samples. Typically, procedures other than simple random samples are used for this purpose, e.g. systematic, stratified or cluster sampling19 and it may be necessary to use somewhat different procedures in the different countries (e.g. Shachaf and Rubenstein 2007). Non-probability procedures such as the snowball method (e.g. Tanackovic, Lacovic, and Stanarevic 2012), convenience samples (e.g. Shachaf, Meho, and Hara 2006), and self-selection of respondents (e.g. Walton, Burke, and Oldroyd 2009) have also been used. Increasingly, survey questionnaires are distributed using e-mail mailing lists (listservs). These may be very general, open lists such as IFLA’s IFLA-L, or specialized, closed lists, of which IFLA also manages over one hundred.20 Mailing lists can be a source of bias. The internet is unevenly distributed, so that respondents are seldom representative of all parts of the world. Neither are they representative of persons within those countries. For example, in developing countries, IFLA-L subscribers are more likely to be persons who are competent in English or one of IFLA’s other official languages.21 They are likely to be located in larger urban centres and to be employed in more senior positions in larger, relatively well-funded institutions, especially those which have the resources to participate in IFLA activities. And obviously, one should not use IFLA-L to disseminate an instrument seeking to measure the international awareness of librarians, since internationally aware librarians are highly overrepresented on such a list. Using a large mailing list is a shotgun approach, with a response inevitably biased by self-selection of respondents. Respondents may or may not be competent to answer the questions. For example, if a survey instrument inquiring into matters of national import such as national information policy, LIS education, or legal deposit is sent to all the subscribers to IFLA-L, how do the researchers determine which respondents, if any, are in a position to have an overview of the situation in their country and are able to report authoritatively on the matter, as against those who are simply giving personal impressions or opinions? An alternative to the cheap “shotgun” approach would be target a smaller group of appropriate respondents identified by prior desk research. Care in sampling has to be taken in citation studies, where the source documents (mostly journals) have to be selected, and a sample of citations drawn from them. Citation studies using LIS journals have been used to gauge the

19 For a brief overview of sampling procedures in LIS, see Connaway and Powell (2010, 117–28). 20 In April 2017 IFLA-L had over 5200 subscribers. For a list of IFLA’s mailing lists, see https://www.ifla.org/mailing-lists, accessed 2018-05-05. Not all of the over 100 listed are active. 21 Arabic, Chinese, English, French, German, Russian and Spanish.

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development of the field in developing regions, e.g. in Africa (e.g. Onyancha 2009) and Eastern Europe (e.g. Uzun 2002). In such cases researchers often select all the accessible core journals. Al-Aufi and Lor (2012) selected all the accessible core LIS journals in Arabic, then, in order to trace the development of professional LIS over a period of time, took a sample of all the articles published in 1997, 2001, 2005 and 2009.22 Studies using content analysis also require sampling decisions. In a study comparing newspaper coverage of internet access in libraries in Canada and Singapore, Luyt (2006) compensated for the disparity in the sizes of the two countries and the numbers of newspapers published there by limiting the Canadian newspapers to two major newspapers published in Toronto, a city of similar size to Singapore, which has only two major newspapers.

6.9.2 Self-administered questionnaires The traditional delivery of self-administered questionnaires through the post has always been problematic in countries with unreliable postal services, especially if deadlines have to be met. Bulmer and Warwick (1983, 147) pointed out that postal surveys are only feasible in highly literate populations, where everybody has a recognizable address, and where potential respondents are familiar with the notion of completing and returning questionnaires. In developing countries these conditions are rarely met. Even in developed countries this cannot be taken for granted. The postal survey has now largely been superseded by the use of the internet to deliver the questionnaires. Furthermore, the delivery of discrete questionnaires as e-mail attachments (e.g. Willingham, Carder, and Millson-Martula 2006) is generally making way for web-based survey delivery software such as SurveyMonkey (e.g. Baich and Weltin 2012) and Qualtrix (e.g. Huang and Lor 2011). Of course, this assumes that the target population has access to the internet. In developing countries this should not be taken for granted. In 2018 the internet penetration rate in Africa stood at 18%.23 The ease and speed of distributing survey questionnaires world-wide using web-based software lends itself to unintentional abuse. If the questionnaire is not judiciously designed, the researcher risks receiving misleading or meaningless responses – and annoying recipients. A few years ago, I received a request 22 This is an example of the systematic sampling procedure, where ‘systematic’ means that the sample is arrived at by taking every nth case or cluster in the sampling frame. 23 AllAfrica, “Africa mobile penetration in Africa hits 80pc,” http://allafrica.com/stories/ 201704251054.html, accessed 2018-05-05.

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to complete a web-based questionnaire, which was being distributed by an American MLS student using IFLA’s international listserv, IFLA-L. The survey aimed at the “identification of educational and training needs for paraprofessionals in small international libraries.” The term ‘small international library’ can be understood in many ways in different contexts. ‘Small’ can have different meanings depending on the level of economic development of the countries where the recipients are located. ‘International’ can also be understood differently. In American English ‘international’ means ‘foreign,’ i.e. libraries in countries other than the USA, but this is not the case in Standard English, where this might be interpreted to mean the library of an international organization. A librarian running a ‘small’ library in Namibia, South Africa, France or Cambodia may not recognize his library as being ‘international.’ In addition, the concept of ‘paraprofessional’ staff varies widely among countries and may be unknown in some. As a result, the equivalence of the concepts used by respondents in different countries in answering the questions is in doubt. Bulmer and Warwick (1983, 149–51) provided useful guidelines for questionnaire design for use in developing countries before the internet; their basic principles remain relevant. To collect valid data, web-based surveys need to be designed with great care, preferably in consultation with knowledgeable colleagues in various countries (e.g. in this case the members of the relevant IFLA standing committee), and they should be pilot tested internationally before they are finalized and distributed. A survey of the international activities of national libraries, conducted by Huang and Lor (2011) in collaboration with the Conference of Directors of National Libraries (CDNL), used a web-based (Qualtrix) questionnaire in English which was finalized after it had been pilot tested through completion by staff of twelve national libraries of different sizes located in different regions of the world. In spite of pilot testing, problems occurred due to misunderstandings.

6.9.3 Interviewing Bulmer and Warwick (1983, 146–48) provided a still very useful overview of strategic decisions in the design of social surveys in developing countries. Much of what they had to say is equally relevant in international and comparative research in developed countries. The basic choice at that time was between telephone and personal (face-to-face) interviews. The feasibility of telephone interviewing depends on how many people have access to telephones. Teledensity was generally low in developing countries before the advent of mobile phones, but this has changed. Mobile phone penetration in Africa was reported

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as reaching 80% in 2018,24 while India passed the milestone of one billion mobile phone subscribers in early 2016 (Rai 2016). The new factor is the rapid spread of smartphones, which lend themselves to web-based questioning procedures. Interviews are said to be structured when an interview schedule (or interview guide) is used to guide the questioning, and unstructured when they are conducted without an interview schedule. In a structured interview, the same questions are put in the same order to all the interviewees. The interview may include open-ended questions, to which interviewees respond in their own words, closed-ended questions, in which interviewees are offered a choice between a limited number of predetermined answers, or a combination of both. The more structured an interview is, the more reliance can be placed on the consistency of the interviewing. This is an important consideration in large surveys employing field staff, particularly in multilingual and multicultural settings. Bulmer and Warwick (1983, 147) observed that the open-ended question format “. . .is also the most risky and difficult to control unless field personnel are skilled at interviewing and are thoroughly familiar with the purpose of each open question.” But by sticking rigidly to predetermined questions, interviewers are constrained and unable to follow up interesting and unanticipated ideas. Valuable insights may be lost. In unstructured interviews, these opportunities can be seized. The interview proceeds more informally, as a “purposeful conversation,” but the interviewer needs to steer it adroitly to avoid drifting off topic, and this calls for considerable skill (cf. Pickard 2013, 201). In informal interviews in which recording devices are not used, it is advisable that the interviewer should write up detailed, structured notes as soon as possible afterwards (I. M. Johnson 2016a, 53). In qualitative research a format referred to as ‘semi-structured’ or ‘moderately scheduled’ is commonly used. Harrell and Bradley (2009, 26–27) place semi-structured interviews on an “interview continuum” depending on the amount of control exercised by the interviewer. The interviewer has an interview guide listing questions to be asked and “probes” prompting the interviewee for clarification or further detail. The interview is conducted informally, and the interviewer has some freedom to deviate from the sequence (Mathers, Fox, and Hunn 2002). Semi-structured interviews are widely used in qualitative studies in international and comparative librarianship (e.g. Caidi 2004a; Al-Harrasi and AlAufi 2012; Boamah 2014), often in combination with questionnaires and the

24 AllAfrica, “Africa mobile penetration in Africa hits 80pc,” http://allafrica.com/stories/ 201704251054.html, accessed 2018-05-05. This constitutes a massive increase – but still leaves 20% of the population unreachable by mobile phone.

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analysis of documents (e.g. Audunson 1999; Tbaishat 2010) or web pages (e.g. N. Chang, Huang, and Hopkinson 2011), or with site visits (e.g. Önal 2009). In-depth interviewing including ethnographic procedures (e.g. Emmelhainz 2017) such as story-telling (e.g. Dalbello 2008) have also been applied in our field. Mention should also be made here of focus group interviews (e.g. Neuman, Khan, and Dondolo 2008; Underwood 2009). When it is not feasible to conduct face-to-face interviews with some of the interviewees, the questions may be sent to them by e-mail (e.g. Mamtora, Yang, and Singh 2015), which is frequently used for follow-up questions. Interviews may also be conducted by telephone (e.g. Chanetsa and Ngulube 2017), or using Voice over Internet Protocol (VoIP) technologies such as Skype and similar facilities which offer both voice and video communication.25 These do of course presuppose a certain minimum level of internet connectivity. Face-toface interviews remain the ideal interviewing format, since they allow the assessment of body language, gestures, and facial expressions, which may tell a different story from the verbal narrative.26 Cultural factors are perhaps more obviously relevant in interviewing than in the use of self-administered interviews. Conducting interviews in other countries calls for cultural sensitivity, the ability to “tune in” to the way people interact, patience in observing customary courtesies, and an ability to hear what is not spoken (Liamputtong 2010, chap. 4). The well-observed interviewing technique of Mma Precious Ramotswe, gently drawn in Alexander McCall Smith’s novel The No. 1 Ladies’ Detective Agency (A. M. Smith 2004) and its sequels, could serve as a model for interviewers in Botswana and Southern Africa, if not elsewhere. In some settings, for example, rural villages, gaining access to participants requires considerable diplomatic skill (Hershfield et al. 1983; Liamputtong 2010, chap. 3). Cultural norms have significant influence on the interviewing process, affecting, for example, whether male interviewers may interview female interviewees – if such interactions are at all possible – and vice versa. In many countries – and not only developing countries – interviews are rarely conducted in private. Interviewees are usually accompanied by third parties, referred to in the literature as “clinical witnesses.” For example, if a woman is being interviewed, cultural norms may oblige her husband to be present. The presence of such “clinical

25 For assessments of the use of Skype in conducting qualitative research, see for example J. R. Sullivan (2012) and Lo Iacono, Symonds and Brown (2016). 26 Body language is not always easy to read. I had the experience of interviewing a young African woman who appeared rigid and uncommunicative. I eventually realized that she found being interviewed by an older male stranger frightening; she was literally “scared stiff.”

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witnesses” may well introduce bias (Mitchell 1983, 233–35). Other situational and contextual factors should also be taken into account, as described by I.M. Johnson, who studied the development of LIS education in Iraq and conducted interviews . . .in the early period after the overthrow of the Saddam regime, when the potential for the respondents to be suffering trauma from the period of isolation and its violent termination could not be ignored. The researcher also recognised the possible reticence of professionals who had been isolated for many years, and their possibly coloured attitudes to providing information to a citizen of a country whose army had recently invaded their homeland or to providing information about the activities of a regime whose activities had engendered mixed feelings in Iraq (I.M. Johnson 2016a, 52).

Rules of courtesy will determine not only what sorts of questions may be addressed to whom, and how the questions should be formulated, but may also introduce “courtesy bias” which may affect responses. In many cultures, questions should be directed to persons of high status in the community and posing questions to a person of lower status, for example when speaking to a group of librarians, can cause embarrassment. Sometimes it is considered discourteous directly to contradict a person. Hence the librarian visiting in rural Southern Africa is advised not to ask questions which appear to imply a desired answer. For example, instead of asking, “Is the library open every day?” it is better to ask, “On which days is the library open?” Discussing courtesy bias in surveys conducted in South-East Asia, E.M. Jones (1983, 254) listed nine of the ingredients of courteous conduct: 1. The atmosphere between people must be kept pleasant and agreeable, free from anger or contradiction. 2. No one may disagree openly with a person of higher status. 3. Nothing should be said which wounds, or affronts, or causes hurt to another. 4. If possible, what is said should please and compliment. 5. Nothing should be said which another would not like to hear. 6. Courtesy in conversation demands that the main subject be delayed. 7. To ask personal questions is well within the bounds of courteous behaviour. 8. The most basic of courtesies – hospitality – is extended to the stranger in the form of food shared or shelter offered from rain or sun. [. . .] 9. Detailed attention to the needs of others is an integral part of the pattern of social behaviour. [. . .]

When the interviewer finds that a respondent is not answering questions directly or immediately, the interviewee is most probably not trying to mislead or evade, but to avoid causing embarrassment. In cross-cultural research, the foreign researcher may find it very helpful to work in partnership with local

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researchers who speak the language and understand the culture of the interviewees (e.g., in Mongolia, C. A. Johnson and Yadamsuren 2010). In quantitative studies using relatively large numbers of more structured interviews, where equivalence of questions is important, local interviewers are often employed. If oral interviews are to be conducted by in-country interviewers, it is necessary to take into account the methodological and procedural habits of researchers in different countries. There may be significant differences in respect of the training of field workers, interviewing styles, the use of visual aids, and the assessment of interviewees in terms of socio-economic classifications (e.g. ‘working class,’ ‘middle class’) (Jowell, Kaase, et al. 2007). It is known that bias can arise from differences in the age, gender and educational and social status of interviewers and interviewees. Examples of the effects of such gaps in “interviewer – respondent status congruency” are given by Mitchell (1983, 236–236). Among other aspects of the organization of field surveys, the selection of interviewers is a critical factor (Bulmer 1983b). This is also relevant in qualitative studies. Liamputtong (2010, chap. 6) has discussed in some detail the role of what she prefers to call “bicultural or bilingual researchers,” in qualitative cross-cultural research. They are able to bring an insider perspective not only in terms of language (interpreting) but also in filtering meanings and ensuring sensitive and respectful interaction with participants. In the process, they exercise power and carry a significant, responsibility. There are also potential disadvantages, as they may be intrusive, biased, and in some cases culturally distant from the community being surveyed because of their higher status or other factors. Thorough training is essential, since they need to understand the aims and methodology of the research. Good supervision is essential to ensure data quality. If using local interviewers, the survey leader is well advised to interview them at the end of each day on their experiences in the field; this helps to identify problems early on (Bulmer and Warwick 1983, 149–51).

6.9.4 Observation As mentioned in Section 6.2 above, observation can be direct and indirect. In international and comparative librarianship, direct observation often takes the form of visiting libraries in other countries. This can be very informative, and as recounted in Sections 2.4 and 2.5, reports on such visits form part of the early literature of our field. In the early stages of LIS development work in developing countries, library visits by experts from developed countries, such as those commissioned by the Carnegie Corporation of New York, were a

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frequently used method of data collection. Before the Second World War, such visits could last several months. After that war, the number and kinds of visits increased (cf. Ludington 1954; Asheim 1966; Brewster 1976; Richards 1991). For the purpose of a book on library development in eight Asian countries (Kaser, Stone, and Byrd 1969) all the countries were visited by at least one of the authors, for “extensive personal observations and interviews” (p.iii), the visits being sponsored by the U.S. Agency for International Development (AID). More recent examples are a visits by a Ghanaian librarian to village reading rooms Botswana (Alemna 2001), a visit to observe a rural library in Kenya (Dent and Yannotta 2007), a visit by a delegation from the Smithsonian institution to assess the damage caused to libraries by the Haitian earthquake of 2010 (Wegener 2010), and a six-months visit to assess academic libraries in Bhutan (Ransom 2011). These are mostly examples of non-participant direct observation. Visits to other libraries frequently form part of library twinning or partnership arrangements. In the case of staff exchanges, participation in work activities by visiting librarians can be regarded as a form of participant observation (e.g. Chu 2007; Steiner, Shin, and Park 2008; Nurminen et al. 2012; Somerville et al. 2015). Whilst often insightful, this literature generally reports informal and unstructured instances of observation. Indirect observation, in the form of noting physical evidence (cf. Section 6.2), usually constitutes an incidental accompaniment of direct observation during visits to foreign libraries. Systematic and focussed observation of physical evidence does so far not feature in the literature of our field.

6.9.5 Coding and data processing Coding is necessary when interviewers allocate respondents’ verbal answers to prescribed categories for purposes of data processing. It is also necessary when they record overt characteristics of interviewees as distinct from answers to questions, and in studies involving structured observation. For this purpose, a data coding scheme is needed, and in international and cross-cultural surveys such schemes should be designed to minimize differences between countries: “Coding schemas must be devised to ensure that it is the codes rather than the coders that account for differences in the distribution of answers” (Jowell, Kaase, et al. 2007, 6). Coding instructions must be comprehensive and unambiguous. This also applies to the coding of responses to open-ended questions in self-administered questionnaires, if this takes place in more than one country. An account by Vakkari et al. (2014) of a survey of public library outcomes undertaken in Finland, Norway and the Netherlands, where sampling procedures and response

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categories were not quite identical, illustrates some of the challenges of coding and processing such data.

6.10 Documentary sources In discussing documents as sources, it is useful to take as a point of departure the traditional distinction made in historiography between primary and secondary sources. This distinction is also made when the historical method is described in LIS research method texts (e.g. Connaway and Powell 2010, 248–49; Pickard 2013, 171).27 Here I use the distinction to cover documentary sources generally. For our purposes, primary sources are documents providing firsthand evidence. These may be published (e.g. first-hand media reports), or unpublished, often referred to as archival materials. The latter are typically created in the course of the management and operation of an institution or organization, or as by-products of the lives of families and individuals. As such, they are normally intended for internal use, not for wider distribution. They include memoranda, agendas and minutes of meetings, annual reports, statistical reports, financial statements, legislation, government reports, grant proposals and reports to grant-making organizations, press reports, archived correspondence, and other similar documents. Generally, they will have been generated close to the time of the events described and they are characterized by a degree of immediacy. The use of primary sources generally presupposes access to material that may be unpublished and possibly confidential. Many that are of interest to researchers are held in archives of various kinds, and use may be restricted or embargoed, as determined by the depositors and the holders of the material. This also applies to government archives. In many countries, there is legislation on freedom of access to government information but, even there, access to official information cannot be taken for granted. Use of these sources also requires sufficient command of the language or languages used in the relevant countries (Martin H Sable 1987), as well as an understanding of the legal and administrative

27 The distinction is still widely presented in libguides (guides to subject literature compiled by librarians) and in introductory handouts for history students (e.g. Faculty of History, University of Cambridge, “How to use historical sources,” http://www.hist.cam.ac.uk/prospec tive-undergrads/virtual-classroom/historical-sources-how, accessed 2018-05-05). However, some contemporary historians avoid the terms ‘primary source’ and ‘secondary source’ (e.g. Howell and Prevenier 2001) and others point out that the distinction is not clear-cut: “some sources are more ‘primary’ than others” (Tosh 2010, 92).

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system. Primary sources are particularly important in the in-depth, qualitative research that characterizes single-country studies and few-country comparisons. Secondary sources, simply stated, comprise “everything not viewed as primary” (Connaway and Powell 2010, 248). They are sources, based on primary sources, which are at one remove, or more, from what is recorded in them. They provide background, description, statistical data, commentary, and discussion. They are dealt with in Sections 6.14 to 6.20 below. The classification of sources into primary and secondary sources is not always clear-cut and may depend on how the sources are used. For example, a textbook on library administration would appear to be a typical secondary source, but such a manual could also be used as evidence of attitudes to library management in the country at the time of its publication, in which case it may serve as a primary source in a content analysis. For example, in a study of the development of international librarianship during the period 1850—1945 (Lor 2017), Edward Edwards’ ([1869] 2010) massive compilation on Free town libraries, and the influential Manual of library economy by James Duff Brown (1903) were among the primary sources used to gain insight into the preoccupations of librarians during that period. For that study, they served as first-hand witnesses to professional preoccupations of their period, and not as sources of information about their subject matter.

6.11 Documents as primary sources Archival research is frequently conducted as part of in-depth comparative studies in which the diachronic dimension (referred to in Section 5.13) is present. Here the historical method is applied in an analytical and discursive discourse involving interpretation and creative synthesis. An example is I.M. Johnson’s (2016a) exhaustive study of education for librarianship and information management in Iraq, in which a wide range of sources was used. Examples of studies using archival materials on a smaller scale than that of Johnson are a study by Luyt (2008) of the role of the Raffles Library and Museum in Singapore during the colonial period, a study by Lim (2008) of school library development in colonial Malaya, and one by Saby (1989) on the role of IFLA during the Second World War.

6.11.1 Analysis of official and organizational documents In international and comparative LIS management, policy and planning documents – often contemporary rather than historical – are commonly analysed

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alongside other data collection procedures such as interviews, self-administered questionnaires, and observation. These serve as a form of triangulation. Examples are found in a wide range of studies. In a study of change processes in public libraries, Audunson (1999) used planning documents of the libraries together with qualitative interviews and questionnaires. In a comparative study of ICT policy in Malta and Jamaica, Xuereb (2006) used a case-study approach involving the collection of policy documents and semi-structured interviews with key policy-makers in each country. Other examples are document analysis in a business process modelling study of library acquisitions (Tbaishat 2010), a review of management curricula for information professionals (Grandbois 2013), and a review of published and proprietary documents along with interviews and observation in a study of Chinese university library consortia (Perushek and Douglas 2014). In a study of public library management in Japan and the USA, Koizumi (2014) made extensive use of a variety of management documents, including strategic documents, organization charts and position descriptions, annual reports, internal telephone directories and library manuals, in addition to interviews. Use of such sources as the sole data collection method is much less frequent. Usually they concern international comparisons of policy documents, legislation and related documents. Examples are a study by Whitworth (2011), who analysed a sample of national policy documents on information literacy, and several studies on ethical codes (Koehler 2006; Foster and McMenemy 2012; Zaïane 2011), and LIS legislation (Lajeunesse and Sène 2004). Today, documents such as those mentioned above are routinely posted on the Web. Websites are a common source of information in international and comparative librarianship. They are sometimes visited as an alternative to physical visits, as in a study of the impact of the IFLA/UNESCO School Library manifesto (Önal 2009). In a study of the digital library services of Informational World Cities, Mainka et al. (2013) analysed the websites of the relevant cities. In a comparative study of library positions on copyright compliance in China and Japan, Y. Wang and Yang (2015) analysed copyright information on the websites of these libraries. Kawooya (2016) analysed curricula and course descriptions found on the web to determine the extent to which African LIS curricula covered intellectual property relating to digital content. Structured thematic analysis of websites is discussed in Section 6.12.

6.11.2 Evaluating documents All sources, primary and secondary, should be subjected to what Van Dalen (1973, 168) has called “cross-examining silent witnesses.” The examination of

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all categories of sources may not require the same degree of technical expertise or rigor, but it should follow the basic procedures of the external and internal criticism of sources, as distinguished by historians (e.g. Garraghan 1974, 168). External criticism is concerned with the authenticity (‘genuineness’) and textual integrity of sources, asking questions such as the following to determine the date and place where it was produced, its authorship, etc.: – When was the source produced? (Dating) – Where was it produced? (Localization) – Who produced it? (Authorship) – What are the antecedents of this source? Is it original or derived from earlier sources? (Analysis) – Has the source been transmitted intact, in its original form? (Integrity) It will be appreciated that electronic documents add new challenges to external criticism. Internal criticism is concerned with the credibility or evidential value of the content of the source, asking questions such as: – Was the author a competent witness (positioned where the action happened, physically able to observe, of sound mind, etc.)? – Was the author a truthful witness? (Did the author have motives for distorting the truth: vanity, envy, revenge, partisanship, or idealism? Did the author have a tendency to exaggerate? Was the author naive or gullible? Was the text censored?) Librarianship is a relatively uncontroversial profession. However, various forms of distortion and embellishment do occur. As a new national library director visiting other national libraries, I was not infrequency struck by the gap between what had been described in the literature and the reality on the ground. Participating in a time-consuming workshop at the offices of the Pan-African Development Information System (PADIS) in Addis Ababa in 1995, I heard much talk about regional and national “focal points” but it appeared that nothing much was happening on the ground. I subsequently discovered that some sub-regional units that were supposed to feed bibliographical information into the system, and that had been confidently described in the literature, existed only on paper, as also observed by Sturges and Neil (1998, 100–102). The portrayal of aspiration as reality may be motivated by a desire to impress or to please superiors. It may also simply be the result of a naive and enthusiastic acceptance of second-hand reports; in my estimation, deliberate attempts to mislead are less common. Other inaccuracies may arise from self-censorship or institutional interference. In annual reports of institutions, their directors tend to emphasize the

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positive developments. Personnel of aid agencies prefer to report on successes achieved in aid projects, as do the government aid agencies, which are often under fire from political parties that criticize development aid. Aid grantees are understandably tempted to put “their best foot forward,” when reporting to the aid agency which funded their project. Intergovernmental organizations are known to exert pressure on experts commissioned by them, to avoid making expensive or politically unwelcome recommendations. For example, a first discussion draft of an evaluation report on UNESCO’s Information for All (IFAP) programme made quite drastic recommendations on its future. These were toned down considerably in the final version of their report (Gurstein and Taylor 2007). It is not unknown for such reports to disappear altogether. Most experienced consultants will have similar stories to tell. Parker (1988, 221–27), a highly experienced international library consultant, mentioned some examples and placed these in the context of the complex relationship between international consultants and their clients, where he distinguished between the “end-client” (the beneficiary of the project) and the “quasi-client” (the body funding the project, and paying the consultant). I.M. Johnson (2016a, 410) commented that his use of archival material shed light inter alia on “the ‘realpolitik’ of international development assistance in the LIS field.” To the two questions mentioned above under internal criticism posed, I would add: was the author competent in the language of the document? In international and comparative librarianship, we may have to deal with texts written in an author’s second or third language, and with translations produced by amateur translators or by skilled translators unfamiliar with the subject matter. Misinformation may result. I.M. Johnson (2016a, 418–20), commented on the challenges of using texts written in English by Arabic-speakers, texts translated from Arabic, and texts written by native English speakers who relied on interpreters.

6.12 Content analysis Whilst the scholarly analysis of texts has a long history, more systematic procedures for examining texts have become popular in LIS research, and have also been applied in our field. Content analysis is an umbrella term for a variety of qualitative and quantitative methodologies, including discourse analysis, rhetorical analysis, and conversation analysis, that are applied in a wide variety of disciplines (Krippendorff 2004, chap. 1). It entails “a systematic reading of a body of texts, images, and symbolic matter, not necessarily from an author’s or user’s perspective” (Krippendorff 2004, 3). Quantitative methods, including the use of specialized software, may be used to analyse the data.

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Quantitative newspaper analysis has a long history (Krippendorff 2004, 5). An example from our field is a comparative analysis of newspaper coverage of internet access in libraries in Singapore and Canada (Luyt 2006). In a comparative study of the presence of library issues in the European press reports, Galuzzi (2014), included a quite detailed discussion of methodological issues such as the selection of the newspapers, identification of relevant articles, and of her decision to use manual rather than computer-assisted analysis of the articles. Following a more qualitative approach, Svensson (2012) undertook a critical discourse analysis of the discussion of self-service libraries in the daily press in Sweden and Denmark. Examples of quantitative content analysis procedures in comparative librarianship include a series of comparative content analyses of the literature of library and information science by Järvelin and colleagues (Järvelin and Vakkari 1990, 1992, 1993; Aarek et al. 1992; Rochester and Vakkari 2003). They classified each article according to classification schemes they devised for article topics as well as research strategies. This allowed for the presentation of cross-tabulated data. More recently, Foster & McMenemy (2012) subjected 36 ethical codes from national professional organizations to both quantitative and qualitative content analysis. In the quantitative analysis the authors determined which of the eight core values proposed by Michael Gorman (2000) were present in the codes. In the qualitative analysis, they examined how the values were expressed. Websites were referred to earlier. Websites themselves have been the primary objects of interest in a number of comparative studies (e.g. Sroka 2002; Onyancha 2012; Vargas-Quesada et al. 2013). The presence of libraries on social media pages such as Facebook and their use of other social networking media is widespread and growing. It can be expected that libraries’ use of social media pages will also be used as data sources in international and comparative librarianship. The use of Facebook and Twitter by the international library network of the Goethe-Institut, Germany’s cultural diplomacy agency, has been described by Boyer (2012).

6.13 Bibliometric and related analyses Bibliometrics, very broadly defined as “the statistical analysis of books, articles, or other publications,”28 encompasses techniques such as collecting data

28 Organization for Economic Cooperation and Development (OECD), “Glossary of statistical terms: Bibliometrics,” http://stats.oecd.org/glossary/detail.asp?ID=198, accessed 2018-05-05.

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on the numbers and characteristics of publications and the analysis of references and citations found in bibliographic databases and scholarly publications. An early example of bibliometric analysis in our field is the dissertation by Bliss (Bliss 1991) referred to in Chapter 1. Bliss analysed references found in Library literature, an indexing service, to examine the growth and characteristics of the literature of international librarianship. Citation analysis is widely used in studies of scholarly communication and in research evaluation. In spite of known shortcomings, which centre around assumptions on when, how, and why authors cite one another, the technique is widely used in LIS. It can be seen as specialized form of content analysis, focusing specifically on what can be learned from the citations and references in articles and other scholarly publications. In particular, it can be used to examine relations of influence (e.g. who is citing whom) and impact (e.g. which authors and journals, from which countries, are cited most). The latter question – from which countries – is particularly relevant to international librarianship and the international political economy of information. However, it has been pointed out that many if not most bibliometric studies do not study impact and do little more than enumerating and categorizing, without considering the context within which information is produced and used and without attempting to establish causal relationships between contextual factors and the linkages between authors that are expressed as citations (I. M. Johnson 2011). The following are some examples of citation studies that are relevant to international and comparative librarianship: In Africa, Onyancha and collaborators have undertaken a number of citation studies looking inter alia at the development of LIS journals in sub-Saharan Africa (Onyancha 2009) and at patterns of collaboration in knowledge production among African countries (Onyancha and Ocholla 2008; Onyancha and Maluleka 2011). Such patterns have implications for international information flows within and from Africa. In Eastern Europe, Teodorescu and Andrei (2011) undertook a bibliometric analysis of journal articles to monitor the growth of international collaboration in their region since 1989, particularly with countries in the western half of the European Union. On a broader international scale, Glänzel (2001) studied national characteristics in international co-authorship of scientific publications, asking, among other questions, to what extent such international collaboration reflects global political and economic changes.29 On an even more global scale,

29 As the 2020s approach, it would be interesting to see whether patterns of co-citation will reflect changes in scholarly collaboration in Europe after the UK leaves the EU, and the impact on scholarly collaboration of the policies pursued by the Trump administration in the USA.

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Mazloumian et al. (2013) analysed some 80 million citations between 13 million papers during the period 2000-2009, using their technique of network-based citation analysis in an attempt to develop a picture of the ecosystem of science (the “scientific food web”), mapping knowledge production and consumption between six major geographic regions, and identifying knowledge “sources” and “sinks,” the latter being regions which “consume” far more knowledge than they produce. Studies such as these are made possible by the availability of digital content and computing resources unimaginable in Bliss’ day.30 This section would be incomplete without a brief reference to altmetrics (a contraction of ‘alternative metrics,’ formed by analogy with ‘bibliometrics’) which tracks the use of social media to yield metrics analogous to those obtained through citation analysis. Increasingly scholars discuss and tag research literature, using a wide variety of social media, including blogs, Facebook, Twitter, and web-based reference management and academic social networking tools such as Mendeley and CiteULike. As with citations, this activity can be analysed to determine article impacts and other measures of scholarly activity (Priem, Piwowar, and Hemminger 2012). This clearly has potential in our field. Moving beyond scholarly communications, the analysis of the ‘big data’ produced by the tremendous numbers of interactions on social networks such as Twitter is a major growth area in social, management and technology research. It is giving rise to topics such as sentiment analysis and opinion mining (B. Liu 2012) in applications ranging from predictions of stock market movements and consumer behaviour to studies of happiness, referred to as ‘hedonomics’ (Dodds et al. 2011). It should be possible to apply these procedures to our field.

6.14 Secondary sources Secondary documents include journal articles, books, conference papers, dissertations and other publications based on data obtained from primary sources and other secondary sources, and in which events and institutions are described, discussed and evaluated with a degree of distance from the events and institutions. They include published reports on case studies and single-country studies. Secondary sources such as statistical yearbooks may provide data for quantitative many-country comparisons. Conceivably, statistical comparisons

30 The possibilities are illustrated by an analysis of the place of publication field in over 300 million MARC records in the OCLC WorldCat database to tabulate book production by country of publication (Tennant 2013).

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could be based largely on such sources. To the extent that comparative studies take historical and contemporary contextual factors into account, comparativists will also make heavy use of secondary sources for background and statistics on the economy, politics, social conditions, culture, and other aspects of the countries that are studied. In the following sections, an overview is given of secondary sources, including a wide range of sources published in print and on-line, that can be consulted for comparative studies and for studies of individual countries. These can be grouped into the following broad categories: – General country information (Section 6.15) – International comparative data – general (Section 6.16) – International comparative data – LIS (Section 6.17) – LIS in specific countries (Section 6.18) – International organizations (Section 6.19) All but a few links to online sources were checked and live at the end of April 2018.

6.15 General country information To gain background on a country, general reference sources, such as encyclopaedias, can be useful. Online reference sources can usually be accessed via the online reference pages of the library website, where we expect to find lists of the available dictionaries and encyclopaedias, atlases, almanacs and statistics. A well-known source of basic country information (stated by the publisher as being pitched at ninth grade reading level) is the five-volume Worldmark encyclopedia of nations (Riggs 2017). It is mostly packaged together with other Gale/Cengage online products, and best accessed online via library OPACs. World geography and culture online31 is published by Infobase and appears to be aimed at school and public libraries. A free online counterpart of the Worldmark encyclopedia of nations is the Encyclopedia of the nations.32 It has to be used with circumspection as some of the information is very dated.33 Although

31 Infobase, “World geography and culture,” https://www.infobase.com/product/schools/ world-geography-and-culture-online-3/, accessed 2018-05-05. 32 Nations Encyclopedia, “Encyclopedia of the nations,” http://www.nationsencyclopedia. com/, accessed 2018-05-05. 33 In the entry for South Africa, the section on “Political parties” provides no election results after 1999.

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professors warn students against using it, far more up-to-date and detailed country information can be found in Wikipedia than in most other encyclopaedias. It is extremely useful in providing leads to other recent sources, but its information has to be evaluated critically. Although Wikipedia itself is quite good at flagging material that is unsatisfactory, particular caution must be exercised when evaluating material on controversial topics such as human rights and freedom of expression, or recent political events. Many other sources are available online. For example, the CIA World Factbook,34 is a highly-respected source (also valued by those who do not love the CIA), which provides country by country information as well as facilities for online country comparisons. The Bureau of Labor Statistics of the U.S. Department of Labor has a web page35 with links to the sites of the statistical agencies of almost all of the countries of the world. Wikipedia’s “List of national and international statistical services”36 lists the central statistical organizations of the countries of the world and intergovernmental organizations, with links to their websites. The Dag Hammarskjöld Library of the United Nations and other UN libraries, as well as libraries of some associated intergovernmental organizations, issue library guides. These include a number of country guides, mainly about countries of concern to these bodies. A consolidated list of the guides is published online on the website of the UN Regional Information Centre for Western Europe.37 Most university libraries today maintain web pages to direct users to information sources, both in-house and external (web-based). These are generally known as ‘libguides.’ Many maintain libguides for users needing international data, especially in politics and economics. A search engine such as Google can quickly call up dozens of them. The more comprehensive they are, the more time-consuming it is to keep these sites updated. Therefore, the quality of these sites fluctuates depending on whether and how well they are maintained, and they come and go. Several sites I recommended in 2017 are no longer accessible

34 US Central Intelligence Agency, “The World Factbook,” https://www.cia.gov/library/publi cations/the-world-factbook/, accessed 2018-05-05. 35 US Bureau of Labour Statistics, “Statistical sites on the World Wide Web,” https://www. bls.gov/bls/other.htm, accessed 2018-05-05. 36 Wikipedia, “List of national and international statistical services,” https://en.wikipedia. org/wiki/List_of_national_and_international_statistical_services, accessed 2018-05-05. 37 UNRIC, UN Regional Information Centre for Western Europe, “UN research guides,” http:// www.unric.org/en/unric-library/29743, accessed 2018-05-05.

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A great deal of information can be found by simply using Google and other search engines, which will lead the user inter alia to official government websites where one is likely to find the country’s official handbook. For example, the South African government publishes an official annual publication, South African yearbook, available online,38 to offer “authoritative” information on the country, and the country’s national statistical bureau, Stats SA, also has an official site, STATS SA.39 Many countries additionally have commercial or semi-commercial organization sites which aim at promoting business and tourism. Usually these sites also have brief but mostly superficial sections on the country’s libraries. Bear in mind that the official sources and those of business and tourism development bodies tend to be promotional in nature. Particularly in countries with repressive regimes and a poor record of human rights and freedom of expression, what they say has to be taken with a good pinch of salt. Generally, government statistical offices in developing countries face enormous challenges, and the official statistics they publish may be unreliable (Bulmer 1983a, 4–5). Problems are not limited to developing countries. Kennett and Yeates (2001, 55–60) discussed problems in collecting and interpreting international data, using as an example the conceptual and definitional problems of measuring the workforce. They focussed in particular on data generated by the EU. The Country Studies published online by the Federal Research Division of the U.S. Library of Congress40 are very thorough and useful for historical and political background, but, with a few exceptions, they are of no use for current conditions as they are digitized versions of books based on research conducted between ten and twenty years ago. For example, the latest edition of the country study for South Africa was published in 1997. This would not be immediately obvious to a reader who is not reasonably familiar with the country. As a general rule, when evaluating sources of country information, readers should look up the information given for a country with which they are familiar. There are some venerable single-volume sources of country information, which are available in print and can be found even in quite small public libraries, and which are now also available online. The Statesman’s yearbook (1863–)41 has truly international coverage, with a useful section on the United Nations and

38 South Africa, Government Communication and Information System, “South Africa Yearbook,” http://www.gcis.gov.za/content/resourcecentre/sa-info/yearbook, accessed 2018-05-05. 39 “Statistics South Africa, “Stats SA,” http://www.statssa.gov.za/, accessed 2018-05-05. 40 US Library of Congress, “collection: country studies.” https://www.loc.gov/collections/ country-studies/, accessed 2018-05-05. 41 The Statesman’s yearbook, https://www.palgrave.com/br/book/9781137440082, accessed 2018-05-05.

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other intergovernmental organizations and quite comprehensive country descriptions. Another British publication, Whitaker’s almanac (1868–),42 now published under the title Whitaker’s, puts heavy emphasis on the UK, but does have substantial coverage of other countries. In spite of its title, its American counterpart, the World almanac and book of facts (1868–),43 is largely devoted to the USA, with limited information about other countries. It is not available online. The Europa world year book44 is available online and in three large printed volumes. Its 58th edition, published in 2017, presented enhanced directory-type information on over 2000 international and regional organizations, with more extensive coverage of the United Nations and its related agencies as well as detailed country surveys, including an introductory essay, a statistical survey, and a comprehensive directory section for each of over 250 countries. The online version forms part of Europa World Plus,45 which includes the World Year Book as well as a set of regional surveys of the world.

6.16 International comparative data – general A huge amount of international statistical data of a specialized or topical nature, which is useful for background information about contextual factors relevant to LIS at regional or national levels, is available on the Web. To give an indication of the range of material, a few major sources are mentioned here. Their names, contents and formats are likely to change. In particular, a shift is taking place from paper to online publication, and from the online publication of discrete compilations, to interactive web-based databases that can be interrogated by users. Given these changes, the URLs given below do not have a long life expectancy. The United Nations has a Statistics Division, which compiles statistics from international sources, publishing a Statistical yearbook, which can be downloaded from the Division’s website46 and various more specialized tools. Its internet-based data service, UNdata, which provides a single entry point

42 Whitaker’s almanac, http://www.whitakersalmanack.com/, accessed 2018-05-05. 43 The World Almanac and Book of Facts,” http://www.worldalmanac.com/world-almanac. aspx, accessed 2018-05-05. 44 Europa world yearbook, https://www.routledge.com/The-Europa-World-Year-Book-2017/ Publications/p/book/9781857438888, accessed 2018-05-05. 45 Europa World Plus, http://www.europaworld.com/pub/, accessed 2018-05-05. 46 United Nations Statistics Division, “Statistical yearbook,” https://unstats.un.org/unsd/pub lications/statistical-yearbook/, accessed 2018-05-06.

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for a large number of UN statistical databases,47 includes a huge range of statistical data. From 2005 to 2015 the United Nations published an annual Millennium development goals report.48 These reported on indicators for each of the goals, relating to poverty and hunger, universal primary education, gender equality, child mortality, maternal health, HIV/AIDs and malaria, environmental sustainability, and the global partnership for development (which includes access to the internet). Data were presented for the nine developing and emerging regions distinguished for the purpose of this report. This provides a useful basis of comparison when studying countries in these regions. Brief progress reports for individual countries and regions are also accessible on the web.49 Individual countries also published more comprehensive progress reports in achieving the MDGs. An example is the final evaluation report on the MDGs released by the Bangladesh Planning Commission (2016), which in its chapter on achieving universal primary education provides data on literacy and school enrolment rates in that country together with comparative data from other countries in South Asia. Whilst libraries and information did not feature in the MDGs, a wealth of background data relevant to international and comparative librarianship can be found in these reports. In September 2015, the UN adopted “Agenda 2030,” comprising a new set of 17 Sustainable Development Goals (SDGs) for the year 2030. The pursuit of these goals will no doubt generate a similar output of reports. The United Nations Development Group has issued Guidelines to support country reporting on the sustainable development goals (United Nations Development Group 2017). Several of the SDGs are at least potentially relevant to libraries; as mentioned earlier, IFLA and other LIS bodies conducted advocacy to ensure that libraries are seen to be contributing to the achievement of the SDGs (cf. Bradley 2016; IFLA 2016a). The SDGs are summarized in the first Sustainable Development Goals report.50 It is worth noting that, whereas the MDGs concentrated on developing countries, the SDGs are universal and intended to be applied in

47 UNdata, http://data.un.org/, accessed 2018-05-06. 48 Links to the MDG reports for 2005 to 2015, and to a wide range of specialized and thematic global reports on such topics as malaria, tuberculosis, maternal mortality, children, the state of the least developed countries, food insecurity, and climate, as well as regional MDG reports, can be found at the site “Millennium Development Goals and beyond 2015,” https://www.un. org/millenniumgoals/reports.shtml, accessed 2018-05-06. 49 See “Millennium Development Indicators: Data availability by country,” http://mdgs.un. org/unsd/mdg/default.aspx, accessed 2018-05-06. 50 United Nations, Statistics Division, “The Sustainable Development Goals report 2016,” https://unstats.un.org/sdgs/report/2016/, accessed 2018-05-06.

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developed countries as well. This should make country coverage of reports on SDGs more comprehensive. Almost all of the many agencies within the UN “family” of intergovernmental organizations compile and publish international statistical data in their respective fields of operation. For example, the Food and Agricultural Organization (FAO) publishes several yearbooks and makes available an online statistical database, FAOSTAT, which provides free access to food and agricultural data for over 245 countries and territories,51 while the International Labour Organization (ILO) publishes Key indicators of the labour market (KILM), which can be downloaded from the ILO’s website but also forms part of a larger online database, called ILOSTAT.52 The United Nations Development Programme (UNDP) publishes an annual Human development report. Each edition covers a development theme and includes a statistical annex in which the UNDP’s Human Development Index (HDI), its Inequality-adjusted Human Development Index (IHDI) and its various components, such as development indices for gender development, gender inequality, and poverty, are tabulated by country. It is not limited to developing countries. For data relating to the developing regions of the world, the websites of the UN’s five regional economic commissions53 can be useful. For example, the website of the United Nations Economic Commission for Latin America and the Caribbean (ECLAC) offers access to a statistical database, CEPALSTAT,54 which includes economic, social and environmental data. The International Telecommunications Union (ITU) is relevant to LIS, as it is the UN agency responsible for ICTs and the official source of global ICT statistics. Together with UNESCO, the ITU was the official sponsor of the World Summit on the Information Society. Since 2009 the ITU has published the Measuring the Information Society report, which provides comparative data on the ICT industries and the state of ICTs in the regions and countries of the world. It

51 Food and Agriculture Organization of the United Nations, “FAOSTAT,” http://www.fao. org/faostat/en/#home, accessed 2018-05-06. 52 International Labour Organization, “Key indicators of the labour market (KILM),” http:// www.ilo.org/global/statistics-and-databases/research-and-databases/kilm/lang–en/index. htm, accessed 2018-05-06. 53 The UN Economic Commission for Africa (ECA, also referred to as UNECA), the UN Economic Commission for Latin America and the Caribbean (ECLAC), the UN Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic and Social Commission for Western Asia (ESCWA), and the UN Economic Commission for Europe (UNECE). 54 UN Economic Commission for Latin America and the Caribbean, “CEPALSTAT Databases and statistical publications,” http://estadisticas.cepal.org/cepalstat/WEB_CEPALSTAT/Por tada.asp?idioma=i, accessed 2018-05-06.

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includes the ICT Development Index (IDI), which measures the level of ICT development of over 150 countries.55 Of all the IGOs associated with the UN, UNESCO is the most relevant to LIS. The UNESCO Institute for Statistics (UIS) is the statistical office of UNESCO and is the UN depository for global statistics in the fields of education, science and technology, culture and communication. Statistics published by the UIS are frequently relevant to LIS. A list of publications can be found on its website.56 On the web page of Knoema,57 online access is provided to a large dataset produced by the UIS, called UIS.Stat. It contains over 1,000 types of indicators and raw data on education, literacy, science and technology, culture and communication for more than 200 countries and territories, from which users can extract and manipulate data themselves. These include the wealthy developed countries of Europe and North America.58 The last edition of the UNESCO statistical yearbook appears to have been published in 1999. Until recently selected parts of the yearbook database could be interrogated online by theme and region, although coverage of individual countries was spotty and often out of date. It appears that this facility has been superseded by UIS.Stat. The World Bank and International Monetary Fund are also important sources of international statistical data. For our purposes the World Bank is the more relevant. It makes available an online tool, the “DataBank,” which contains collections of time series data that can be interrogated by users to create tables, charts, and maps. The World Bank’s publications are by no means limited to purely economic data. Among many other publications, it is worth mentioning its annual thematic World development report, every edition of which deals with a different theme, presented with the aid of numerous tables, diagrams and maps. The 2016 report, subtitled Digital dividends, dealt with “Strengthening the analog foundation of the digital revolution”; the 2017 report is subtitled Governance and the law, that for 2018, Learning to realize education’s promise.59 As part of the Agenda 2030 process, the World Bank has created a database, the World Development Indicators (WDI), which brings 55 International Telecommunications Union, “Measuring the Information Society Report,” http://www.itu.int/en/ITU-D/Statistics/Pages/publications/mis2016.aspx, accessed 2018-05-06. 56 UNESCO Institute for Statistics, “Data for the sustainable development goals,” http://uis. unesco.org/, accessed 2018-05-06. 57 Knoema, “UNESCO Institute for Statistics Data,” https://knoema.com/UNESCOISD2018/ unesco-institute-for-statistics-data, accessed 2018-05-06. 58 UNESCO Institute for Statistics, “Welcome to UIS.Stat, http://data.uis.unesco.org/, accessed 2018-05-08. 59 A list of World Development reports, the first of which was published in 1978, is available at http://www.worldbank.org/en/publication/wdr/wdr-archive, accessed 2018-05-08.

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together development data from multiple sources. The WDI can be downloaded as a PDF document, or accessed online,60 and data are also presented visually in an annual Atlas of sustainable development goals.61 For a wide range of statistics relating to members of the European Union, Eurostat, the statistical office of the European Commission, is a key resource. Here too, an online statistical database is provided, with a range of navigational possibilities.62 Users can interrogate the database online and also download datasets. Eurostat is a partner of the European Statistical System (ESS),63 which provides statistics for European non-EU members as well as for EU members. Whilst I was unable to locate information on libraries and information (other than ICTs) in Eurostat, it provides a wealth of contextual information. The EC publishes an online statistical yearbook under the title Europe in figures – Eurostat yearbook.64 It is no longer an annual publication but is updated on a rolling basis as the underlying datasets are refreshed. It presents a comprehensive range of statistical data on the member countries of the European Union (EU), along with selected statistical indicators from EU candidate and potential candidate countries, members of the European Free Trade Association (EFTA), and certain other major economies (China, Japan and the USA) when comparable date are available. Regional statistical sources exist for other regions of the world, although they are not all equally highly developed. For example, the African Union Commission has a Statistics Division which collects statistics from the national statistical offices or central banks of the member countries. In partnership with Eurostat, this Division from time to time produces a comparative statistical survey, The European Union and the African Union: a statistical portrait (Eurostat 2015). Other important pan-African statistical bodies are the African Centre for Statistics (ACS) of the United Nation Economic Commission for Africa (UNECA) and the Statistics Department of the African Development Bank (AfDB). A large and growing variety of international non-governmental organizations and advocacy groups is involved in collecting and disseminating data relevant to their concerns. For researchers in international and comparative librarianship, organizations concerned with the Information Society, internet

60 World Bank, “World Development Indicators,” http://wdi.worldbank.org/tables, accessed 2018-05-06. 61 World Bank, “Atlas of sustainable development goals,” http://datatopics.worldbank.org/ sdgatlas/, accessed 2018-05-06. 62 Eurostat, http://ec.europa.eu/eurostat/data/database, accessed 2018-05-06. 63 ESS: about ESS, http://ec.europa.eu/eurostat/web/ess/about-us, accessed 2018-05-06. 64 Eurostat, “Eurostat yearbook,” http://ec.europa.eu/eurostat/statistics-explained/index. php?title=Archive:Europe_in_figures_-_Eurostat_yearbook, accessed 2018-05-06.

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connectivity, access to information, intellectual property, and freedom of expression are especially relevant. A few examples follow. Global Information Society Watch (GISWatch) monitors “the implementation of international (and national) commitments made by governments towards the creation of an inclusive information society,” with a special focus on following up the action agenda of the World Summit on the Information Society (WSIS) and other similar international and national agreements.65 The organization publishes an annual theme report, GISWatch on topics such as “economic, social and cultural rights” (2016), “sexual rights and the internet” (2015), and “the internet and corruption” (2012). Each of these includes around fifty country reports and a dozen or so thematic reports. The annual reports can be downloaded online from the GISWatch website, where a search function allows users to find individual reports by country and theme.66 Article 19 is an international non-government organization taking its name from Article 19 of the Universal Declaration of Human Rights, which affirms “the right to freedom of opinion and expression” and “to seek, receive and impart information and ideas through any media and regardless of frontiers.”67 Through its regional offices and with national partners, Article 19, actively campaigns throughout the world for this right. As part of its various campaigning and advocacy activities, which are reported on its website, it monitors and does research on freedom of expression issues. Its reports can be found using an “Explore” page on which users can conduct online searches by country, region, theme and date.68 Other international NGOs working in this field include Reporters sans frontières (Reporters Without Borders), which publishes an annual World Press Freedom Index,69 IFEX (formerly the International Freedom of Expression Exchange,70 Amnesty International,71 and PEN International.72 Intellectual Property Watch is an international non-profit news service covering all aspects of intellectual property, including legislation, litigation, and proceedings at the World International Property Organization and other

65 Global Information Society Watch, https://www.giswatch.org/about, accessed 2018-05-06. 66 Global Information Society Watch, “GISWatch,” https://www.giswatch.org/all_reports, accessed 2018-05-06. 67 Article 19, “What we do,” https://www.article19.org/what-we-do/, accessed 2018-05-06. 68 Article 19, “Explore,” https://www.article19.org/explore, accessed 2018-05-06. 69 Reporters Without Borders, “2018 World Press Freedom Index,” https://rsf.org/en/ranking, accessed 2018-05-06. 70 IFEX, https://www.ifex.org/, accessed 2018-05-06. 71 Amnesty International, https://www.amnesty.org/en/, accessed 2018-05-06. 72 PEN International, http://pen-international.org/, accessed 2018-05-06.

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forums. Its website presents a steady stream of news reports and a search function allows users to search these by country and topic.73 Internet World Stats is a commercial site which offers free statistics of internet penetration (number of users as a percentage of population) and usage by region and country and by major languages, along with other ICT-related data of interest to market researchers (paid access), and links to other sources of statistical data on the internet.74

6.17 International comparative data – LIS In the past, the UNESCO statistical yearbook, referred to above, was the most important single source of statistical data on libraries, the book industries and the media. However, this is no longer the case since publication of the printed yearbook ceased with the 1999 edition. The website of the UNESCO Institute for Statistics75 continues to provide access to statistics, but UNESCO stopped collecting library data in 1999/2000 due to difficulties arising from the poor response from member countries (Lisée 2009). Not only are the UNESCO LIS data very incomplete and out of date, but the data elements collected by UNESCO were based on recommendations dating back to 1970 and they no longer reflected current library conditions and services (Heaney 2009). Between 2006 and 2008 the UIS reviewed its system for collecting library statistics in collaboration with IFLA’s Section of Statistics and Evaluation and the International Organization for Standardization (ISO) Committee TC46/SC8 (Information and documentation: Quality: statistics and performance measurement) (Ellis et al. 2009). A new questionnaire was piloted in Latin America and the Caribbean in 2007 (Akpabie 2009; Poll 2009). Information on this project, including the resulting data model, which comprises a “Global statistics questionnaire” and a set of data definitions, can be accessed through the web page of the above-mentioned IFLA section.76 These two documents are themselves of interest to LIS comparativists, but in spite of all the committee work, the results of the project are not evident in the database that is made accessible on the UIS website,

73 Intellectual Property Watch, http://www.ip-watch.org/, accessed 2018-05-06. 74 Internet World Stats, http://www.internetworldstats.com/, accessed 2018-05-06. 75 UNESCO Institute for Statistics, “UIS.Stat,” http://data.uis.unesco.org/?CS_referer=&CS_ ChosenLang=en, accessed 2018-05-06. 76 IFLA, “Global statistics for the 21st century,” https://www.ifla.org/statistics-and-evalua tion/global-statistics, accessed 2018-05-06.

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where only very limited datasets for 1996-2000 have been posted under “Communication and Information.”77 The IFLA section for Metropolitan Libraries compiles an annual statistical survey of large public libraries, the data being published on the Section’s web page.78 The report, initially compiled by the Hannover Public Library, has since 2004 been compiled by the Toronto Public Library. The most recent report is for 2012. It provided quite comprehensive data for eighty-four libraries. The Libecon (European Library Economics for International Benchmarking, also written LIBECON and LibEcon) project was mentioned in Sections 4.7 and 5.9. Vitiello (1996b, 123–36) wrote a critique of European statistical surveys and problems with statistical data. Since then, the European Bureau of Library, Information and Documentation Associations (EBLIDA), has set up a “Knowledge and Information Centre” (KIC), to help libraries in the EU in advocacy efforts.79 From the KIC web page, access is possible to some basic statistical data on public and academic libraries, presented in the form of interactive maps using StatPlanet mapping software. A glance at the map for academic libraries, 20132015, shows that problems of terminology persist in spite of the sophisticated format and the definitions produced by the UNESCO/IFLA/ISO project mentioned earlier.80 Since 2001 the IFLA Committee on Free Access to Information and Freedom of Expression (FAIFE) has published a World report series, initially alternating between a theme report and a country survey report. The latter summarized responses to questions relating to various aspects of intellectual freedom. The surveys also included some general information about libraries in each of the responding countries. All the reports can be accessed online.81 From 2010

77 UNESCO Institute for Statistics, “Welcome to UIS Stat,” http://data.uis.unesco.org/, accessed 2018-05-02. Library statistics are included under “Communication and information.” The sections on ICT and media are somewhat more comprehensive and less dated. 78 IFLA, “Metropolitan Libraries: Annual Statistical Survey,” https://www.ifla.org/node/ 8106, accessed 2018-05-06. 79 EBLIDA, “Knowledge and Information Centre,” http://www.eblida.org/activities/kic/, accessed 2018-05-06. 80 For example, the map of academic libraries in Europe, at http://www.eblida.org/Activi ties/KIC/maps/academic-libraries-map/academic.html, accessed 2018-05-06, shows that Luxemburg has 85 academic libraries, Norway 314, Poland 1121, Spain 52, and the Netherlands 14. Clearly, different definitions of academic libraries were being used. Furthermore, no data were provided for Belgium, Italy, and Portugal, among other countries. 81 IFLA, ‘IFLA World Report Series,” https://www.ifla.org/publications/iflafaife-world-reportseries, accessed 2018-05-06.

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onwards, the World report has been published as a web application82 that can be accessed through a country-oriented map interface (for individual country reports and country comparisons) and a question-oriented interface, for comparisons of all responses to specific questions by all participating countries. Although the emphasis is on various aspects of freedom of expression and access to information, more general descriptive information about LIS was being added to the database. However, at time of writing (May 2018) inspection of the database indicated that data had not been updated since 2009-2010. The IFLA Library map of the world, a web-based resource launched in 2017, provides data by country on a limited number of key parameters, such the number of libraries by type, their internet access, full-time staff, and registered users.83 It also provides a platform for “SDG stories,” i.e. narrative accounts demonstrating how libraries contribute to the achievement of the SDGs. The first phase of data collection counted more than two million libraries in 99 countries. The scope of the IFLA Library map of the world overlaps with that of the online Global Library Statistics database of OCLC. The latter allows users to search by country. For the five main types of libraries (academic, national, public, school, and special) five data values are provided (on expenditure, librarians, libraries, users, and volumes). For each data value, the date and data source are given.84 While the IFLA data are based on survey responses, OCLC’s data are compiled from documentary sources. Some 85 data sources are listed, some of which are very dated. Considerable effort appears to have been spent on selecting and trying to harmonize the data. In an observation which epitomizes the challenge of compiling and using library statistics, the compilers reported that: For many countries, data were either not available (indicated in the charts as NA) or sporadic. Also, for many countries of the world, the data were not as current as the compilers would have liked. Printed sources were several years old and many websites were suspect. It was felt, however, that a fairly recent figure was better than none at all. . . The compilers had to determine which of the sometimes several possible sources was the most reliable in terms of accuracy and currency. Seldom did the data from two or more different sources coincide for the same year.85

82 IFLA, “IFLA World Report,” https://db.ifla-world-report.org/home/index, accessed 201805-06. 83 IFLA, “Library map of the world,” https://librarymap.ifla.org/map, accessed 2018-05-06. 84 OCLC, “Global Library Statistics,” https://www.oclc.org/en/global-library-statistics.html, accessed 2018-05-06. 85 OCLC, “Global Library Statistics: Data sources,” https://www.oclc.org/en/global-library-sta tistics/sources.html, accessed 2018-05-06.

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6.18 Information on LIS in specific countries A good place to start is the Encyclopedia of library and information science (ELIS), which has many country entries, but, unfortunately, not for all countries. The third edition was published both online and in print (M. J. Bates and Maack 2010). The fourth print edition was published in seven volumes in 2017. It is worthwhile checking the first and second editions for information on countries not included in the latest edition, as well as for historical background on countries that are covered.86 One the editors of the third edition of ELIS, Maack (2008) wrote a thoughtful analysis of the spatial and geographical dimension in LIS encyclopaedias. Two smaller encyclopaedias provide brief country information: the Encyclopedia of library history (Wiegand and Davis 1994) and the ALA world encyclopedia of library and information services (Wedgeworth 1993). The International Dictionary of Library Histories (Stam 2001) mainly contains brief histories of major libraries. Directory-type information can be found in the World guide to libraries, published annually by De Gruyter-Saur; the 33rd edition (World Guide to Libraries 2017. 2017) covered approximately 42,500 libraries in more than 200 countries. For most countries of any significance at least one book has been published describing its libraries and information services. An example is Libraries for the future: progress and development of South African libraries (Bothma, Underwood, and Ngulube 2007). This book was published to coincide with the 2007 IFLA World Library and Information Congress in Durban, South Africa, in August 2007. Whenever an IFLA Congress is held, articles about LIS in the host country are likely to be published in IFLA journal and in one or more journals published in that country, often in English. An example is a special English-language issue of the Italian journal Biblioteche oggi, published in 2009 to coincide with the IFLA Congress in Milan. The various sections of IFLA usually try to include in their congress sessions papers dealing with LIS in the host country and in the wider region in which the host country is located. Most of the papers presented at IFLA congresses are published on IFLA’s website. Papers presented at

86 ELIS has a complicated publication history and would present a daunting assignment for a practical cataloguing exam. The first edition was published under various editors in 35 volumes between 1968 and 1983. It was followed by a series of supplements numbered 36 to 73, the last of which appeared in 2003. The second edition was published in four volumes in 2003, with a supplement in 2005. In the title of the third edition an “s” was added to “science.” It was published from 2009 to 2011 both in print and online. The fourth edition, published in 2017, also in print and online, has entries on LIS in thirty-four countries.

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earlier congresses/conferences can be accessed via the ‘Programme and proceedings’ page of the relevant congress; however, since 2013 IFLA has been transferring conference papers to its institutional repository, the “IFLA Library.”87 The simplest way to find relevant papers is to use a search engine. The better of these papers are likely to be published in IFLA journal or other journals. These articles and much other published literature can of course be found using the major bibliographic and full-text databases for LIS: Library and information science abstracts (LISA), Library literature and information science full text (a Wilson database) and Library, information science and technology abstracts (an EBSCO database). The ERIC database (produced by the U.S. Education Resources Information Center) is also useful for LIS. Of these four, LISA generally offers the best international coverage. The coverage of Google Scholar is increasing steadily, but since international comparative LIS research frequently has a historical dimension, it is unwise to rely entirely on web-based resources. Needless to say, much information can also be found by browsing the web. Websites of the national library association, the national library, and the relevant government department or ministry (often that of education or culture) can provide information and leads. Regional surveys may be helpful too. Here mention may be made of Global library and information science; a textbook for students and educators (Abdullahi 2009). This book is organized by regions (continents); within each region there are chapters on the various kinds of libraries. Although the information for the individual countries in the region is not presented separately, good leads can be found here and it is useful to see the regional context of the country being studied.88

6.19 Information on international organizations Many international organizations have been mentioned above as compilers and publishers of information relevant to international and comparative librarianship. Various specialized sources are available about these organizations themselves. One long-standing source is the multi-volume Yearbook of 87 IFLA, “IFLA Library,” http://library.ifla.org/, accessed 2018-05-07. 88 Its predecessor, the International handbook of contemporary developments in librarianship (M. M. Jackson 1981) included 34 country chapters. Now very dated it remains a source of historical information.

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international associations,89 published by the Union of International Associations. The 2017-2018 edition presented quite detailed information on more than 37,500 active and 32,000 dormant international organizations from 300 countries and territories. It includes both intergovernmental and international non-governmental organizations. The online version is more comprehensive, especially in respect of dormant organizations. A free version of the online source, the Open Yearbook,90 provides limited information about the organizations. An exhaustive list of intergovernmental organizations, grouped by category, can be found in Wikipedia.91 It has links to Wikipedia articles for further information about each one. The University of Michigan Library maintains a research guide for non-governmental organizations.92 The University Library of the University of Illinois at Urbana-Champaign offers several information guides on the UN and other international organizations.93 A useful guide to the documents, publications and online information services of major intergovernmental organizations by Hajnal (1997) has unfortunately not seen a third edition.

6.20 Challenges in using secondary sources While arcane historiographic techniques to determine the authenticity and textual integrity of sources may not be applicable here, the basic principles of external and internal criticism mentioned in Section 6.11 are also relevant to the evaluation of published, secondary sources. Questions similar to those asked in internal and external criticism also arise. Basically, these relate to: – Origin (date, place of publication and authorship) – Derivation or antecedents of the information – Reliability and comparability of the information – Potential bias 89 Union of International Associations, “The Yearbook of International Organizations,” https://www.uia.org/yearbook?qt-yb_intl_orgs=1#qt-yb_intl_orgs, accessed 2018-05-07. 90 Union of International Associations, “Open yearbook,” https://www.uia.org/ybio/, accessed 2018-05-03. 91 Wikipedia, “List of intergovernmental organizations,” https://en.wikipedia.org/wiki/List_ of_intergovernmental_organizations, accessed 2018-05-07. 92 University of Michigan Library, “Research guides: Non-governmental organizations,” http://guides.lib.umich.edu/c.php?g=282816&p=1884489, accessed 2018-05-07. 93 University Library, University of Illinois at Urbana-Champaign, “United Nations and other International Organizations,” https://www.library.illinois.edu/govinfo/u-of-i-unit-libraryhomepage/collections/international/, accessed 2018-05-07.

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6.20.1 Origin and derivation I first deal with the first two issues, which are interwoven. Clearly, when we use statistical and other data, some agencies inspire more confidence than others. Data published on websites are generally (but not always) more up-to-date than those published in print. When extracting data from websites, however, one should try, as far as possible to use data from reputable agencies. These could be intergovernmental organizations, national agencies, international NGOs, trade associations, or corporations. There is no simple formula to determine which should be preferred, for it depends on the topic and on the credibility of the source. It is instructive to consider where statistical data comes from. A demographic example follows, but the principles apply to statistical and other data on many topics. Consider the population of the Netherlands in 2017. Using Google, the first source I found was the frequently cited Worldometers,94 which on that day offered a figure of 17,024,605 “as of Friday, May 5, 2017, based on the latest United Nations estimates.” A footnote here led to a report of the UN Population Division, World Population Prospects: The 2015 Revision, Key Findings and Advance Tables,95 where an explanation is given of the method of projection used by the Division. It turned out that it did not give an estimate for 2017 but estimates for 2015 and 2030. Further exploration of the Worldometers website yielded an explanation that the population figures it gives are “continuously updated” with estimates using an “advanced algorithm” which incorporates “exponential formulas.” Google turned up other sites offering population counters with somewhat different figures. A Wikipedia article, “Demographics of the Netherlands”,96 flagged as needing additional citations, gave a round figure of 17,000,000. The Wikipedia article “Netherlands”97 gave a “2017 estimate” of 17,100,475, citing as its source the Centraal Bureau voor de Statistiek (CBS), the official statistics agency of the Netherlands. The CBS has a population counter98 giving a figure of 17, 111, 859 “registered inhabitants” for 5 May 2017. The term, 94 Worldometers, “Netherlands population (live),” http://www.worldometers.info/world-pop ulation/netherlands-population/, accessed 2018-05-07. 95 United Nations, “World population prospects: key findings & advance tables, 2015 revision,” https://esa.un.org/unpd/wpp/Publications/Files/Key_Findings_WPP_2015.pdf, accessed 201805-07. 96 Wikipedia, “Demographics of the Netherlands,” https://en.wikipedia.org/wiki/Demo graphics_of_the_Netherlands, accessed 2018-05-07. 97 Wikipedia, “Netherlands,” https://en.wikipedia.org/wiki/Netherlands, accessed 2018-05-07. 98 Centraal Bureau voor de Statistiek, “Population counter,” https://www.cbs.nl/en-gb/visual isaties/population-counter, accessed 2018-05-07.

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“registered inhabitants” is of interest. The Netherlands has a very comprehensive (and intrusive) national population register, maintained by the municipalities, by means of which demographic events and address changes are updated electronically on a day-to-day basis (Prins 2016). Registration is a legal requirement; failure to register and keep one’s address up to date leads to complications in various aspects of daily life. Consequently, the Dutch comply, and the figure given by the CBS is likely to be the most reliable. It is up-to-date, but includes only “registered inhabitants.” The other sources cluster around the same figure. However, the apparent precision of the figure given by the CBS, Worldometers and similar sites is misleading. They are all estimates. When using sources such as these, it is important to look at whatever methodological explanations can be found, at data definitions, and at notes accompanying the tables to determine where the figures come from and what they represent.

6.20.2 Reliability and comparability Because it is based on a reliable population register, the Dutch system is probably one of the most up-to-date and accurate systems in the world. However, many countries, including developed countries, do not have central population registers and have to rely on periodic censuses. These are mostly conducted at intervals of ten years. In between, estimates have to be used. International statistical sources are generally based on data contributed by the national governments, but these are not necessarily reliable: Often, we use international government documents and publications to locate statistical information. Remember that not all such information is reliable or valid. Countries differ notably in their ability to gather, analyze, and report statistical information. Even the United States cannot accurately count its population. Some countries may not be able to provide current information or may use “guesstimates” to make the country or the ruling class look good. Political manipulation of data to make things look good is a problem for statistical agencies in both developed and developing countries. Typically, the newest international or foreign statistics are several years old (William C. Robinson)99

Scholars wanting to use statistical sources published by international bodies must bear in mind that these have not necessarily been created for research purposes. Writing about comparative education, Raivola (1986, 268) pointed out that while data sources such as the (now defunct) UNESCO Statistical

99 Quotation from the now defunct website of William C. Robinson, University of Tennessee, http://web.utk.edu/~wrobinso/534_lec_intl.html, accessed 2010-03-26.

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yearbook provide useful information for education planners and administrators, researchers have to regard the Statistical yearbook with caution, since it is not compiled for research purposes. This is also true of the library-related information which it contains. In many international compilations, the statistical tables are infested with notes indicating that some data values are for an earlier year than the year of the compilation, for a year other than the calendar year, or for part of the year, that some data values may not be in accordance with the data definitions or may be based on estimates rather than counts. All this makes it more difficult to use the data for comparative purposes. As mentioned in section 4.7, as a general rule, the comparability of data in statistical tables is inversely proportional to the number of notes qualifying the data. The use of data from developing countries poses special challenges. Statistical data may be unavailable, out of date, or unreliable (Bulmer 1983a, 4–5). The difficulties that developing countries experience in conducting censuses and sampling their populations are instructive (Gil and Omaboe 1983; Badiee et al. 2004). The World Bank (2013, n.p.) has stated: Developing countries face a number of problems in providing statistics [. . .] They often find themselves caught in a vicious cycle—under-investment in national statistical systems constrains activities and results in data of poor quality, which policymakers are unwilling to rely on. This lack of demand for the data leads to fewer resources being made available for their production and quality control.

These problems also apply to LIS data from developing countries, as is illustrated by a South African project to develop an inventory of public libraries linked to a geographic information system (Lor, Van Helden, and Bothma 2005). Unintentional ambiguity in the survey questionnaire, widely differing practices and terminology and lack of interest on the part of library directors preoccupied by political and administrative problems, contributed to a disappointing response.100

6.20.3 Potential bias Earlier I commented that LIS is a relatively uncontroversial field. Nevertheless, in international librarianship quite strong disagreements do occur. For examples

100 The problem of a lack of comparable data is not limited to developing countries. Lauer (1984) commented on difficulties experienced in measuring some of the independent variables he had identified in an international comparative study of public library use in Western Europe and North America. Good quality, comparable data were not available for some variables in some of the countries.

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one has only to look at the literature on libraries in Cuba, on the destruction, many centuries ago, of the great Library of Alexandria, or the more recent looting of the Iraqi National Library and Archives in Baghdad, to see that we are not without emotionally charged topics. But literature on apparently uncontroversial topics also needs to be read critically. To illustrate that these concerns are not exaggerated, here are passages describing the British Council, from two encyclopaedias, as cited by Buckland and Gathegi (1991, 65): From the Encyclopedia of library and information science (ELIS), 1970: The aim of the British Council has always been the long-term one of promoting cultural exchange and understanding between Britain and other nations. It has deliberately stayed out of the political arena. . . as a result, over the years, the Council has been able to establish its reputation as a reliable, politically disinterested, cultural organization.

From the Lexikon des Bibliothekswesens, 1974: In practice the libraries of the British Council serve the imperialistic foreign policy of Great Britain by spreading the point of view of the ruling circles of monopolistic capitalism, through the ideological fight against Marxist-Leninism and against the national liberation movements as well as by influencing some classes of the newly independent countries into the bourgeois, capitalist path of development. (Translation by Buckland)

It does not require great perspicacity to infer that the Lexikon des Bibliothekswesens was published in (then communist) East Germany. Many readers will want to dismiss this as unsubtle propaganda from the Cold War era, using typical terms of disparagement such as “imperialistic,” “monopolistic capitalism” and “bourgeois.” On the other hand, the author of the entry in ELIS was Norman Horrocks, a highly respected, internationally-minded librarian of British extraction. His somewhat uncritical evaluation of the British Council appeared fair and credible – to those on the Western side of the ideological divide. However, the British Council is not without its critics today (e.g. Phillipson 2012). After all, why would the British Government fund the British Council if not to promote British political, cultural and economic influence abroad? Does it not willy-nilly promote a “capitalist path of development”? We should not automatically dismiss all statements emanating from a regime we dislike. Contributions about organizations published in encyclopaedias, multi-authored books and reference works are commonly written by their members or employees, and their inclination is to put the organization in a favourable light, for example the ELIS article on OCLC by Jay Jordan (2010) or an article on IFLA by myself, when I was secretary-general of that organization (Lor 2006). The same applies to the web pages of those organizations. Press releases issued by

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organizations are often placed in newspapers and newsletters without critical editing. Web sites and publications of governments may be good sources of information about libraries in their countries, but these media usually put a positive spin on conditions there. Encyclopaedia entries and chapters about LIS in other countries are also often contributed by citizens of those countries. Depending on how repressive the regime is, there may be a great deal of pressure on those authors to put library conditions in their countries in the best possible light.

6.20.4 A note on language and the use of secondary sources Secondary sources are more likely than primary sources to be available in English. This sets up a temptation for monolingual English-speakers who may be lulled into a false sense of security by the availability of English-language sources. Sable (1987, 10–11) warned students that the lack of a working knowledge of the language or languages of the country or countries they plan to study is a serious disadvantage. When studying non-English-speaking countries they are likely to find insufficient material for a viable study. The alternatives are to select a country where English is used as an official language, to have material in other languages translated into English (which is likely to be prohibitively expensive), to take a crash course in the relevant language, or, where available, to take a course in the foreign language for librarians (e.g. ‘Spanish for librarians’), covering basic grammar, a limited practical vocabulary, and library terminology. I should add that, quite apart from the potential problem of insufficient sources mentioned by Sable, the researcher who is unfamiliar with the language of the country studied will undoubtedly miss out on the subtlety and nuances of library conditions in that country and will find it difficult to understand the conceptual framework of the colleagues there. She will also find it difficult to gauge the extent to which authors of English-language secondary sources she consuls may themselves have misunderstood or misrepresented conditions in the country.

6.21 Researching in other countries Comparativists, according to Bereday (1964, 143–44), need to spend time in the countries about which they write: “To meet a culture in daily contact and in a thousand unforeseen situations is to acquire the feel for the tenor of life that is hard to match otherwise.” They must acquire “a deft touch, to sense the spirit of the culture,” and gain “intimacy with the fabric of society.” He states firmly, “It is seldom possible to acquire this high degree of rapport with a culture

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without expatriate experience.” Bereday was writing about comparative education, and there is half a century between these rather idealistic expectations and our own, more rushed and results-driven time. Nevertheless, immersion in the relevant culture still has many benefits, and this is also true of international and comparative librarianship. Bereday (1964, chap. 8) described a methodological experiment he carried out, when, already a respected educational comparativist, he paid a one-week visit to Colombia after first reading about the country and its educational system. He found a “significant disparity between the value of a quick reading about a country and seeing it,” the result of . . .the misrepresentations by the native authors and the misconceptions read into them by the foreign reader, the particular combination which, without the redeeming force of travel, often blights comparative research (Bereday 1964, 146).

Some problems of cultural bias, spurious lexical equivalence, language and intercultural issues, and reliability of sources have already been referred to. Here I outline a number of other challenges of a practical nature, which may confront scholars and practitioners engaged in international and comparative librarianship. These in fact may confront any social science researchers or professionals engaged in research, collaborative projects or development work in countries other than their own. In a very useful book intended for such scholars, C.B. Barrett and Cason (1997), provide much practical advice and many fascinating anecdotes. In what follows, I make use of their work, some other sources, and personal experience. Time spent on preparation is well spent. The researcher needs to know which questions are to be addressed. This requires a thorough literature study to clarify the aims of the study and to construct at least a preliminary conceptual framework for it. Although as Bereday indicated, desk research is not sufficient, literature-based research on the country or countries to be studied is essential, to make sure that the researcher is selecting appropriate countries, to gain awareness of what may be expected there, and for the development of a research proposal. The next step is to identify a study site: which countries, towns or institutions to choose for study. C.B. Barrett and Cason (1997, 6–12) recommended, if possible, selecting a site which excites the researcher’s research passion. An exploratory research trip (preceding the final selection of the site) can be very useful (pp.12-18). If the researcher is not familiar with the language spoken in the selected country, language training may form part of the preparatory phase. Bereday (1964, chap. 7) argued eloquently, with amusing examples, that such familiarity is essential. C.B. Barrett and Cason (1997, 18–19) mentioned that the necessity of having

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language skills, which were previously considered indispensable for foreign field work, is no longer unquestioned. Learning a foreign language represents a considerable investment. There are many countries in which several languages are spoken. One cannot reasonably expect a British or Australian researcher intending to travel to Johannesburg for a fortnight’s research, to learn all of the half-a-dozen or so languages commonly spoken there. On the other hand, a PhD student planning to work on the history of library development in Central America would be severely handicapped without a good working knowledge of Spanish.101 Pre-departure preparations include dealing with issues of money, health, housing, packing, and family matters (C. B. Barrett and Cason 1997, chap. 3). This includes such basic matters as choosing clothing appropriate for the climate and local cultural norms – the latter consideration being particularly important if the researcher intends conducting interviews. C.B. Barrett and Cason (1997, 56–57) also provided useful hints for researchers who plan to take family members with them. Academic preparations should not be overlooked. These include making contacts with researchers in the country and establishing contact with a local research institution or university, or in our case, contact with relevant librarians and libraries. This needs to be done before departure. Attempts to make contact with appropriate individuals after arrival may be unsuccessful if time is limited. Enough time should be allowed for the researcher to familiarize herself with the new environment, but this is not always possible. It is therefore important to identify beforehand informants who can provide the researcher with balanced background information about LIS in the country. Researchers “parachuting in” without adequate preparation may rely excessively on readily available individuals who do not have a thorough background on the situation being researched, or who may have an axe to grind. In many countries, there are differences about policies, and rivalries between institutions. The researcher must avoid getting an incomplete or one-sided view by relying on only one of the parties. This can be tricky.102 Cross-checking of information provided by informants is important.

101 For a discussion of the value of foreign languages in professional LIS practice, see Dickson (1979). 102 In the third of an otherwise excellent series of articles on the development of national union catalogues in Post-Soviet Central and Eastern Europe, Caidi (2003, 2004a, 2004b), added an account of the development of union catalogues in South Africa which contained serious factual errors. This happened presumably because, judging by the bibliography, Caidi had not used relevant literature published in English in South Africa, and because she relied on a number of younger informants who would have had no intention to mislead, but simply did not have the necessary historical background.

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The foreign researcher must be prepared for dealing with the host country’s bureaucracy. There may well be legal requirements of which foreign researchers need to be aware, particularly in countries with undemocratic regimes. In these countries, researchers may need formal licensing or accreditation, which may take a great deal of time and effort to arrange. The visiting scholar should obtain up-to-date information on the security situation in the country. There may be restrictions on travel or access to informants (C. B. Barrett and Cason 1997, 54–55). Political developments in the country may affect relationships with informants and research participants (M K Buckland and Gathegi 1991, 66–67). In extreme cases, a diplomatic row may cause an interruption or termination of the project. Sometimes LIS scholars and development aid workers go into a country and set to work without making contact with national and regional LIS bodies. This is often seen as a breach of etiquette and may cause resentment. Also, by taking this approach, the researcher may deprive himself of valuable insights and assistance. Other practical matters dealt with by C.B. Barrett and Cason (1997) include issues of gender, race, class and age (e.g. advantages and disadvantages that women researchers experience in the field, pp.57-58), logistics of fieldwork (research equipment, parts and supplies, current adapters for electrical equipment, keeping equipment safe, and transportation, Ch. 5), and relations with research assistants (pp.81-89). These relationships can be complicated since researchers may be very dependent on local assistants and may have to spend a lot of time in their company, sometimes in difficult circumstances. C.B. Barrett and Cason (1997) also devoted some attention to the end of the stay (knowing when to go home, Ch. 7), and post-fieldwork obligations (Ch. 9). To this list Buckland and Gathegi (1991, 66–67) added problems of access to sources, citing the possibility of poor bibliographic control in the host country, and inadequate library resources there. However, the advent of the Web has mitigated these problems somewhat, in that it enables expatriate researchers to access many of the resources in their home libraries. The Internet also mitigates the sense of isolation the researcher may experience in a strange country, enabling contact with friends and family back home, and facilitating collaboration with distant colleagues.

6.22 Evaluation of methods By way of a summary, this section lists a set of questions relating to decisions on methods. These questions may serve to characterize and evaluate a given piece of

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research in international and comparative librarianship. It does not deal to any extent with issues of methods that apply to any LIS generally. Many research method texts provide a list of criteria, for example Connaway & Powell (2010, 314–17).

6.22.1 Language competence – Did the author have an adequate command of the language or language of the country or culture on which the study was situated? – If not, what measures were taken to compensate for this?

6.22.2 Conceptualization and operationalization – Which approach did the author take in defining concepts – qualitative or quantitative? – Does the author demonstrate an awareness of the challenges of “transporting” concepts from one context to another? – What measures did the author take to address these challenges and achieve equivalence of concepts across contexts? – If questioning procedures (e.g. self-administered questionnaires or interviews) were applied, were the different linguistic and/or cultural contexts taken into account? – How were instruments such as questionnaires translated? – Were instruments pilot tested?

6.22.3 Survey design and execution – Does the author demonstrate an awareness of challenges posed by conducting a survey in different contexts? – What measures were taken to ensure that equivalent samples were drawn? – Were the form and mode of delivery of survey instruments appropriate in the context of the study? – Is there evidence that interviews were conducted with cultural sensitivity? – If local staff were employed, was sufficient attention paid to selection, training and supervision? – Were local staff treated as partners? – If coding of responses took place in different countries, did the author take steps to ensure the equivalence of coded data?

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6.22.4 Documentary sources – Were documents used as the main or supplementary sources of data? – Were primary and/or secondary sources used? – Were primary source documents adequately evaluated to determine their authenticity, integrity and credibility? – In the case of content analysis or bibliometric studies, was an adequate account given of the rationale and method? – Were secondary sources appropriately chosen and adequately assessed?

6.22.5 Practical challenges – Did the author spend an appropriate amount of time in the country studied? – Does the author demonstrate an awareness of the challenges of working in a foreign context? – Were the challenges overcome?

6.23 Conclusion Research involves decisions, which ultimately determine the validity and usefulness of the results. In practice, however, many decisions are taken by default, without reflection. In this chapter and the two which preceded it, I have tried to raise awareness of the decisions that are needed in international and comparative LIS research and of their implications, in the hope that this will promote more conscious decision making and more informed evaluation and utilization of findings. This concludes Part 2, in which three sets of evaluative questions have been proposed. When these have been considered, we are left with a final, fundamental question, that of the contribution of a given piece of research to international and comparative librarianship. In Section 5.6, attention was paid to what constitutes “true comparison” in comparative research. Essentially a piece of comparative research must go beyond tabulating and juxtaposing data to the identification of similarities and differences, to their explanation in terms of contextual factors, and, importantly, in terms of theory. The most important evaluative question, therefore, is what contribution the research – whether comparative or not – makes to the development of theory in our field.

Part III: Political economy

7 The political economy of LIS Political economy means different things even to informed scholars. Like a Rorschach ink blot, one’s favored definition reveals much about one’s background and interests. For some, it means Marxism. . . For others, it means neoclassical economics. . . (Keech and Munger 2011, 1245). Economic concerns with innovation and growth, on the one hand, and the core political values of human development, justice, and freedom, on the other, are being affected by a set of policies historically thought of in technical terms, but now increasingly seen and engaged for what they really are: policies that are of central importance to political economy and the moral quality of contemporary society (Benkler 2010, 217–18). Information wants to be free (Origin contested1).

Outline 7.1 7.2 7.3 7.4 7.5 7.6 7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14

Introduction 357 Political economy 358 International political economy 360 Civil society 361 The business sector 369 The public sector 375 Intergovernmental organizations 381 The digital divide 388 Information/knowledge as an economic good Information as a resource 393 Intellectual property 395 Intellectual property in international context Contesting intellectual property 409 Conclusion 414

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7.1 Introduction Concepts from political economy frame much of the discussion of international information relations, whether explicitly or implicitly. Many international or comparative studies in LIS ignore or fail to understand or appreciate the national

1 Attributed to Stewart Brand, who, however, said: “. . .information almost wants to be free” (Gans 2015). https://doi.org/10.1515/9783110267990-007

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or international political context within which libraries exist. International information relations, which are largely determined by political-economic factors, have a big influence on the capacity of libraries world-wide to serve their users. Increasingly, library and information organizations are mobilizing their members both nationally and globally and conducting advocacy for equitable and empowering regimes within which they may pursue their missions. This chapter and the next therefore present an overview of the international political economy of information, with particular emphasis on access to information and knowledge.

7.2 Political economy In the nineteenth century economics and politics formed a single field of study, before they diverged and developed into the disciplines of economics and political science respectively. Today, political economy remains as a more specialized field in its own right, defined as “a current of study that analyses the reciprocal influences among economic, social, and political factors and their impact on how activities are regulated in different institutional contexts” (Ramella 2007, 3433), or more simply as “the study of the interdependence of economics and politics” (Alexiadou 2011, n.p.). These definitions mask a great diversity of viewpoints. British and American ‘schools’ of political economy differ considerably. The American school emphasizes methodological rigour and focuses on market processes. The much older and methodologically more eclectic British school tends to make broader and more normative claims (cf. Underhill 2009; Keech and Munger 2011). Many scholars in the field are left of centre politically – sometimes outspokenly so – and are critical of capitalism and the contemporary world order. Just as households generally have limited resources and have to make decisions on how much they can spend on what (Dick 2002b, 87), so governments have to make decisions on allocating resources: Political economists are interested in analyzing and explaining the ways in which various sorts of government affect the allocation of scarce resources in society through their laws and policies as well as the ways in which the nature of the economic system and the behavior of people acting on their economic interests affects the form of government and the kinds of laws and policies that get made (P. M. Johnson 2005).

In concrete terms, political economy is concerned with such matters as the formation of policies governing the distribution of, and access to, resources in society, including fiscal policy (taxation) and trade policy (free trade/protectionism) as well as policy on the functioning of markets, investment in infrastructure,

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distribution of income, welfare, health services, education, media and information. It is also concerned with the role of governments, institutions (e.g. central banks and regulatory authorities) and other role-players such as the legislature, courts, political parties, labour unions, interest groups, and civil society. The effects of their decisions on people are considered not only in economic terms, but also in terms of development, well-being, and social justice. Underlying all these issues is a fundamental question on how decisions on the allocation of resources are made: should they be left to market forces, or is it necessary for governments to intervene? Classical economic theory holds that markets are (mostly) efficient. At the risk of over-simplification, the assumption is that the forces of supply and demand work together without state intervention to ensure that goods and services are distributed in the best interests of both producers and consumers, all of whose actions are motivated by self-interest. The system therefore is regulated by what Adam Smith (1723–1790) famously called the “invisible hand” (cf. Askari 2016). The eminent American economist, Joseph Stiglitz, has rejected this notion, suggesting that the “invisible hand” may not be visible because it is not there, or if it exists, that it is “slightly palsied” (Stiglitz 1985, 26). He pointed out that markets will not work well when there are externalities.2 The problem is that, according to Stiglitz, externalities are more the rule than the exception: Whenever there are “externalities” – where the actions of an individual have impacts on others for which they do not pay or for which they are not compensated – markets will not work well. Some of the important instances have been long understood – environmental externalities. Markets, by themselves, will produce too much pollution. . . ... But recent research has shown that these externalities are pervasive, whenever there is imperfect information or imperfect risk markets – that is always. (Stiglitz, in Q&A with Altman 2006).

In the following paragraph the international dimension of political economy is introduced. 2 Externalities (or “spill-over effects”) are an important concept in relation to the economics of information and knowledge. An externality occurs when actions by one party have benefits for unrelated others for which the latter do not have to pay, or costs to unrelated others for which the latter are not compensated. An example of a positive externality (or “external benefit”) can be found in higher education. A person who goes to university and graduates, benefits by being able to get a better paid job, but society as a whole benefits as well by having a better educated workforce that make possible a more competitive economy and better standard of living for members of the society, not just for the graduate. An example of a negative externality (or “external cost”) occurs when an energy company burns coal to generate electricity but at the same time causes air pollution with costs for public health (cf. Atteberry 2010, n. 38).

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7.3 International political economy As the name suggests, international political economy, not to be confused with international relations (Cox 2000), is concerned with the international dimension of political economy: International political economy (IPE) is about the interplay of economics and politics in world affairs. The core question of IPE is: what drives and explains events in the world economy? For some people this comes down to a battle of ‘states versus markets’. . .World markets and countries, local firms, and multinational corporations which trade and invest within them are all shaped by layers of rules, norms, laws, organizations, and even habits. Political scientists like to call all these features of the system ‘institutions.’ International political economy tries to explain what creates and perpetuates institutions and what impact institutions have on the world economy (Woods 2001, 277).

In relations of political and economic power exercised among states and globally, the control of resources looms large. In the competition for resources, ideologies serve to legitimize, in the eyes of the competing parties, their policies and actions. In recent decades, the great struggle between capitalism and communism has morphed into a struggle between neoliberalism and various groups, both on the left and the right of the political spectrum, that are opposed to it. Neoliberalism has evolved over time, but in the 1970s economic challenges led to its becoming “a dominant economic model that suggested a political-economic practice in which human beings can best be advanced by liberating entrepreneurial freedoms” and a “framework characterized by strong private property rights accompanied by free market trade” (Adams 2012, 1074). Critics of neoliberalism reject some or all of its tenets, especially the belief in the self-correcting action of markets, the insistence on smaller government, and the notion of the “trickle-down effect”, the idea that increased income flowing to the rich, e.g. through tax breaks, will stimulate the economy and create jobs and greater prosperity for the poor (Martinez and Garcia 1997).3 At the international level, neoliberalism found expression in the “Washington Consensus,” a set of ten economic prescriptions formulated by the economist John Williamson for an economic reform package for developing countries. The prescriptions have subsequently become a sort of credo for neoliberal economists (J. Williamson 1990). They include: a self-regulating market, de-unionization of labour, reducing public expenditure, deregulation and privatization. From the 1990s, the prescriptions were applied to developing countries by international

3 In fairness, not all supporters of (neo)liberalism and market economy subscribe to this notion (e.g. Horwitz 2016).

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financial institutions. As a condition for loans, these countries had to agree to “structural adjustment programmes” (SAPs), which are alleged to have had a negative impact on health, education and the environment, and to have made their economies more dependent on the rich countries (Haynes 2008; Emeagwali 2011). All this has marked impacts on LIS in developing countries. Not surprisingly, development, and North-South relations more generally, constitute important themes in international political economy. Broadly speaking, there are two main theoretical perspectives on development: modernization theory and theories of underdevelopment (A. Webster 1984, chaps 3&4; Graaff 2003, chaps 2&3). These are dealt with more fully in Chapter 10. In brief, modernization theory assumes that all nations will ultimately develop along the same trajectory. This means that the developing countries have to break the shackles of tradition and adopt the cultural, political and economic policies of the West. Theories of underdevelopment tend to be of Marxist or neo-Marxist inspiration. They include dependency theory and world-system theory, which emphasize unequal trade between countries, implying that under-development must be attributed not to failures in the developing countries, but to systemic problems in the global capitalist system (Haynes 2008, 20–28). It will be noted that the two perspectives are roughly aligned with neoliberalism and its opponents respectively. The related theme of globalization, already discussed in Chapter 1, Section 1.9, is also prominent in international political economy. The economic, political, cultural, social, and environmental dimensions of globalization (Beckfield and Brady 2008) all reflect power relations. Here it suffices to note a few examples that are relevant to international librarianship and information work: multinational corporate expansion (with impacts on the production, pricing and distribution of information and media worldwide), the role of intergovernmental organizations concerned with trade in information and media, the role of international non-governmental organizations concerned with equitable access to information and freedom of expression, and the worldwide mobilization of civil society in the anti-globalization movement (Juris 2008).

7.4 Civil society International or global civil society as such is a relevant theme in international political economy. ‘Civil society’ is a broad term, used to refer to various organizations and groups that have in common only that they are not governmental agencies or for-profit business corporations. It includes non-governmental organizations (NGOs) of many different kinds (Vakil 1997), community-based organizations (CBOs), non-profit organizations such as museums, universities

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and hospitals, foundations, charities, and the like. Even quite loosely organized and spontaneous groups such as the Occupy Wall Street movement, can be seen as part of civil society. Other terms encountered are ‘non-profit sector’ and ‘voluntary sector’. In Britain, the National Council for Voluntary Organisations (NCVO) regards the voluntary sector as a subset of civil society, including in it all ‘charities’ other than those that are controlled by government, independent schools, religious organizations and some others.4 In the UK, the term ‘charity’ has acquired a very wide legal scope, including such institutions as universities, which are not associated in the public mind with charitable giving. The difficulties of definitions and classifications are multiplied when we look at other jurisdictions. Thus, the nonprofit sector is immensely heterogeneous, spanning from large, multibillion dollar, mainstream, professionalized institutions that function similarly to for-profit firms and have close relations to governments and corporations, to small, hardscrabble all-volunteer organizations providing shoe-string services or pushing for systemic change from the fringe (Casey 2016, 189).

Internationally, ‘civil society’ is used as a collective name for the various groups (other than governments and companies) that engage in advocacy, and they are seen as forming a “third sector” in society, between government and business (Eglin 2011). Data collected by the United Nations Statistics Division showed that non-profit contributions to GDP in 16 reporting countries ranged between 0.8% (Thailand) and 8.1% (Canada). In the USA the non-profit share amounted to 6.6% (Casey 2016, 196–97). Civil society entities fall within the larger class of non-state actors – those individuals and entities that are not states. These include, inter alia, international (or intergovernmental) organizations, NGOs, foundations, business corporations, trade associations, terrorist groups, and transnational criminal organizations (Wagner 2009). Among various other types of entities we can also mention epistemic communities, also described as ‘advocacy networks’, which base their advocacy on scientific expertise (Martin 1999, 60–61), advocacy coalitions with shared belief systems (Sabatier 1987, 660), and think tanks (Krastev 2000). Non-state actors, initially disregarded in international relations, have come to play a significant role in world affairs. Here our concern is mainly with NGOs and philanthropic foundations.

4 National Council of Voluntary Organisations, “UK civil society almanac 2013: what do we mean by the voluntary sector?” https://data.ncvo.org.uk/a/almanac13/what-do-we-mean-bythe-voluntary-sector-2/, accessed 2018-05-21.

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7.4.1 Non-governmental organizations There is no general agreement on how to define NGOs. NGOs are commonly seen as “a sub-set of the non-profit sector, dedicated to work on humanitarian relief, international development, conflict resolution, human rights, and environmental protection” (Themudo 2012, 937). Steinberg (2001, n.p.) identified four characteristics of NGOs: They are formal organizations (as opposed to ad hoc entities); they are, or aspire to be, self-governing on the basis of their own constitutional arrangements; they are private, in that they are separate from governments and have no ability to direct societies or to require support from them; and they are not in the business of making or distributing profits. This section focuses on international and other major NGOs which have transnational goals, operations or connections, and may have active contacts with the UN and other intergovernmental organizations. CBOs are grass-roots organizations that develop and work within their specific communities. Their work is usually of more limited scope, and they are run by community members. They are not always clearly distinguishable from NGOs. The activities of NGOs are mainly concerned with service and advocacy, often on behalf of disadvantaged groups. They supplement government programmes but also criticize and exert pressure on governments for action or change. Therefore, their relationships with governments, and also with the donor organizations that fund much of their work, are complex and sometimes problematic (M. Edwards and Hulme 1996; Steiner-Khamsi 1998; Themudo 2012). In recent decades, NGOs have attracted critical scrutiny in respect of accountability, credibility, representativeness, efficiency, and general trustworthiness (e.g. Keating and Thrandardottir 2017). Unlike most governments, NGOs are not accountable to an electorate, and while governments can be said to represent the populations of their countries in international forums, NGOs cannot be said to represent anyone other than their supporters and personnel. Not all NGOs are what they claim to be. Also, NGOs tend to focus on specific issues and do not necessarily have to consider alternatives or trade-offs. In many cases, different NGOs hold opposing viewpoints. This makes their representations less credible. Since there are so many NGOs, they have to compete fiercely for funding. Although NGOs step into the breach where governments have failed to provide services because of inefficiency and bureaucracy, NGOs are not immune from these themselves. Fundraising, marketing and promotion may eat up a large part of the funds they raise. NGO employees have a vested interest in continuing operations and may be less than motivated to sign off on completed projects. NGOs may contribute to systemic distortion: the presence of NGOs in a conflict zone may inadvertently prolong the conflict, and in poor countries, NGOs may “cream

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off” the best local personnel, whilst spending by well-paid NGO personnel may distort local markets. Well-meant interventions may be culturally inappropriate and cause unrest. Since the 1980s there has been a very rapid growth in the numbers and the influence of NGOs5 and International NGOs (INGOs) (Fisher 1997, 440). Between 1981 and 2001 the number of INGOs tripled, from 13,000 to 47,000 (Themudo 2012, 937). The Yearbook of international organizations, 2016–2017 (Union of International Associations 2016, vol. 5, pp.7–25), which has a detailed classification of international organizations, covered 60,919 international NGOs of all kinds, of which 26,838 were inactive, and 9,008 were regarded as “conventional” international NGOs. As these organizations started mobilizing and networking across borders, they attracted the attention of scholars in various disciplines, who noted their growing power in international affairs (E. J. Friedman, Hochstetler, and Clark 2005, chap. 1; Rudasill and Witt 2010; Murdie and Davis 2011). In some issue areas, such as human rights, certain NGOs have gained significant international authority (Clark 1995). They have also attracted public attention by their sometimes disruptive participation in international summits such as UN environmental conferences (Death 2015). Mostly, however, their role is positive. NGOs (and civil society more generally) are playing an increasingly visible role internationally, advising intergovernmental organizations, carrying out projects for them, and conducting advocacy work. They make important contributions to international development work. Nevertheless, in the context of international political economy, NGOs have attracted criticism beyond the concerns already cited. For example, they have been labelled “Trojan horses for global neo-liberalism” and for promoting Western hegemony (G. W. Wright 2011, 123). In a critical history of the development of education-related NGOs since the 1970s, Steiner-Khamsi (1998, 35) observed that as they gained momentum in the 1980s, their activities gradually became “skewed towards donor-driven agendas” so that they have become “disguised state functionaries and administrators of official aid. . . co-opted and corrupted by their external funders.” A more radical criticism of NGOs is that they are handmaidens of neoliberalism (Klees 1998, 2008a). Klees has warned that the proliferation of NGOs is a side-effect of neoliberalism, and that NGOs may be

5 For example, in 2013 it was estimated that there were some 100,000 registered and 50,000 unregistered NPOs (“non-profit organizations,” corresponding roughly to NGOs) in South Africa. See SANGONET, “The South African Nonprofit Sector: Struggling to Survive, Needing to Thrive,” http://www.ngopulse.org/article/south-african-nonprofit-sector-struggling-sur vive-needing-thrive, accessed 2018-05-23. South Africa’s population was around 51 million in 2010. This amounts to roughly one NGO per 340 inhabitants.

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co-opted to serve a neoliberal agenda. By stepping into the breach, he argued, NGOs allow governments to evade their responsibilities, absolving them of a commitment to invest in the development of a social services infrastructure. In a critique of “NGOization” and the “hegemonic role” of civil society, Choudry (2010) implied that civil society has been co-opted by the neoliberal system, which it serves to legitimize: During the 1990s, NGOs and “civil society” organizations and rhetoric mushroomed exponentially worldwide, alongside an expansion in the formal or de facto subcontracting of NGOs by states and international financial institutions. Increasingly, governments, intergovernmental organizations, and international financial institutions promoted “strengthening civil society” and “good governance” – both intrinsic pillars of a neoliberal policy environment (p.18).

It is indeed the case that civil society has become an established part of international political economy. A large number of NGOs, both domestic and international, have formal relations with the United Nations and its agencies. ECOSOC (the United Nations Economic and Social Council) has a Standing Committee on NGOs. The UN’s NGO Branch, within the Department of Economic and Social Affairs (UN-DESA), is the main point of contact between the United Nations and the world’s NGOs. ECOSOC allocates various levels of “consultative status” to international and regional NGOs (i.e. NGOs operating in more than one country). Depending on its status, an NGO can register to participate in international meetings organized by UN bodies, such as UNESCO and WIPO. The NGO Branch maintains a website6 to provide services to 4,500 NGOs that have been granted “consultative status” with ECOSOC and over 31,000 other NGOs working with the United Nations. The Conference of NGOs in Consultative Relationship with the United Nations (CoNGO) is an independent, international, non-profit membership association of non-governmental organizations (NGOs).7 It facilitates the participation of NGOs in United Nations debates and decision-making.

6 United Nations. “NGO Branch,” http://csonet.org/, accessed 2018-05-23. The site has a list of NGOs in consultative status with the UN. 7 CoNGO: Conference of NGOs in Consultative Relationship with the United Nations, “Home,” https://www.ngocongo.org/, accessed 2018-05-23.

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7.4.2 NGOs and LIS In LIS, the history of NGOs goes back to the nineteenth century (cf. Chapter 1), and significant growth occurred after the First World War (Witt 2014a). Towards the end of the 1980s, the end of the Cold War heralded a growth spurt in civil society (Selchow 2010), which was also reflected in NGOs relevant to LIS. Most of these NGOs are involved in seeking, using, repackaging and disseminating information, to a greater or lesser extent, and in some cases on a large scale. Many maintain a library or information resource centre to support their work. They play an important role in areas such as human rights information, development, education, professional development of LIS staff, and advocacy for freedom of access to information and freedom of expression (Rudasill and Witt 2010). Several clusters of international NGOs play a role in the international political economy of information and libraries. Mention has already been made of IFLA, which holds a central position in our field. IFLA forms part of a group of four international NGOs that are concerned with heritage and information: IFLA, the International Council on Archives (ICA), the International Council of Museums (ICOM), and the International Council on Monuments and Sites (ICOMOS). These four are recognized by UNESCO as the leading international bodies (‘peak bodies‘) in their respective fields, and are regularly consulted by UNESCO on relevant issues.8 Representatives of these four bodies together with a representative of the Co-ordinating Council of Audiovisual Archives Associations (CCAAA) form the International Committee of the Blue Shield (ICBS), a body set up under the Second Protocol of the Convention for the Protection of Cultural Property in the Event of Armed Conflict (Hague Convention 1954) to promote the protection of cultural property, including archives, libraries and their holdings.9 Another cluster of peak bodies is comprised of IFLA, the

8 Information about NGO partnerships with UNESCO can be found at UNESCO, “non-governmental organizations,” https://en.unesco.org/partnerships/non-governmental-organizations, accessed 2018-05-22. UNESCO reported maintaining “official partnerships” with 389 INGOs and 31 foundations (UNESCO, “Non-governmental organizations,” https://en.unesco.org/part nerships/non-governmental-organizations, accessed 2018-09-13). UNESCO makes a distinction between consultative status and associate status, the latter being reserved for NGOs having a longer track record of partnership with UNESCO. A recent (but undated) list of these included 63 NGOs, among them IFLA. (UNESCO “NGO partners admitted to associate status: individual fact sheets,” http://www.unesco.org/new/fileadmin/MULTIMEDIA/HQ/ERI/pdf/Individual% 20factsheets%20NGO%20associate%20status.pdf, accessed 2018-09-13.) 9 ICOM, International Council on Museums, “International Committee of the Blue Shield,” http://icom.museum/programmes/museums-emergency-programme/international-committeeof-the-blue-shield/, accessed 2018-05-23.

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International Publishers Association (IPA), the European and International Booksellers Federation (EIBF), and the International Federation of Reproduction Rights Organizations (IFRRO).10 These bodies share an interest in promoting books and reading (in the widest sense, not limited to printed books) and they meet regularly to discuss shared concerns, including their rather different positions on copyright and related legal matters. Other clusters that can be identified concern the promotion of reading and especially children’s books,11 and intellectual, media and internet freedom.12 These bodies do not by any means agree about everything, but depending on the international issues, they will form shifting coalitions, which will often also include major national NGOs, to conduct advocacy on matters of common interest at UN summits and conferences of intergovernmental organizations.13

7.4.3 Foundations Philanthropic foundations have been mentioned several times.14 The nature and types of foundations differ from country to country. In the USA, which has the most numerous and wealthy foundations active in supporting LIS, a foundation has been defined as “a non-governmental entity that is established as a nonprofit corporation or a charitable trust, with a principal purpose of making grants to unrelated organizations, institutions, or individuals for scientific, educational, cultural, religious, or other charitable purposes” (Grantspace 2018). Since the early twentieth century, philanthropic foundations have made important contributions to LIS, although by no means all of them have engaged internationally. American foundations have been especially influential. The Carnegie Corporation

10 Reproduction rights organizations (RROs) manage rights relating to copyrighted works through licensing and rights clearance systems. International Federation of Reproduction Rights Organizations, “What is IFRRO?” https://www.ifrro.org/content/what-ifrro, accessed 2018-05-27. 11 These include, inter alia, the International Literacy Association, and the International Board on Books for Young People (IBBY), and IFLA. 12 These include, inter alia, PEN International, IFEX (formerly the International Freedom of Expression Exchange), Article 19, and the Electronic Frontier Foundation. 13 Patterns of networking among INGOs in relation to various issues have been studied by Murdie and Davis (2011). 14 For a general, albeit somewhat meandering, overview of philanthropy in libraries, see Munigal and Chakraborty (2014), whose heavy emphasis on the USA is mitigated by interesting perspectives from India.

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of New York,15 the Rockefeller Foundation, and the Ford Foundation were the first among the large foundations to support library development in the developing countries (Brewster 1976, chap. 2). The Andrew W. Mellon Foundation, and the Open Society Foundations, founded by George Soros, with its network of national foundations, were active in promoting library development in Central and Eastern Europe and the former Soviet republics after the break-up of the Soviet Union (e.g. Quandt 2002; Śliwińska 2014; Vilks and Dreimane 2014), while the Bill and Melinda Gates Foundation, which initiated its LIS-related programmes in North America, has been very involved in developing IT infrastructure in selected emerging and developing countries (Fried et al. 2014; Munigal and Chakraborty 2014, 43–44). Although major foundations are not an exclusively American phenomenon, the capitalist system there makes it possible for individuals or families to amass very large fortunes, and the U.S. tax system rewards philanthropic spending by wealthy individuals and corporations. There too, the biblical injunction that the left hand should not know what the right hand has given (from Matthew 6, verse 3) is honoured more in the breach than in the observance. Like NGOs, foundations are open to criticism as lacking accountability, credibility, representativeness, and efficiency. They have sometimes been seen as primarily a means of tax avoidance or publicity. Concern has been expressed about the ideological motives of some major U.S. foundations (Kamalakanthan 2013) while it has been pointed out that the growth of U.S. charitable giving is accompanied by a concomitant flow of wealth from the general population to a small elite in that country (Laskowski 2011). Much of the literature on the work of philanthropic foundations has been contributed by foundation staff or grant recipients and is generally uncritical. When we consider the role of foundations from a political-economic perspective, a more nuanced picture emerges. Writing about the international grant-making activities of U.S. foundations, Lehn M. Benjamin (2012, 597) observed that these activities reflected “the place of the United States on the global stage and its shifting geopolitical concerns,” as well as the efforts of the foundations “to craft an autonomous role despite their dependence on state authority for their legitimacy.” This is reflected inter alia in the account by Brewster (1976) which was referred to above. During the Cold War, U.S. foundations patriotically supported U.S. efforts to contain the Soviet Union; after the end of the Cold War, they

15 In spite of its name, the Carnegie Corporation of New York is a foundation. For descriptions of fifteen of the trusts and institutions founded by Andrew Carnegie, see Carnegie Corporation of New York (2007).

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contributed to U.S. efforts to wean the Central and Eastern European countries and the former Soviet republics from their communist past, establish the Western “market economy” model in those countries, and promote liberal democratic institutions there (Basora and Boone 2010). This process was seen by some political scientists as a transition from Soviet to Western hegemony (Janos 2001). Library renewal projects, especially in higher education, were intended to help disseminate Western economic and political concepts. This is not to deprecate the good work done by foundations in developing and emerging countries. Just as the wrong thing is often done for the right reason, good work may be done by organizations whose ideological motivation is contested. A serious criticism of the international philanthropic activities of foundations, which are not accountable to the public, is that by channelling large amounts into developmental initiatives, they can unintentionally skew or distort the development trajectory and cause unforeseen problems in the recipient country. For example, health professionals have criticized the effects of the very large amounts channelled into global health by the Gates Foundation (e.g. Piller and Smith 2007; Fortner 2009; D. McCoy et al. 2009). On a smaller scale, this is also true in LIS, for example, where large book donations may have unintended negative effects on the book industry of a developing country (e.g. Rosi 2005, 20–22; Altbach 2006; Sturges 2014).

7.5 The business sector Whilst the terms ‘civil society’ and ‘non-state actors’ are commonly used in sociology and international politics, economists make a distinction between economic sectors, namely the public (or government) sector, and the private sector, which comprises “the part of a country’s economy that is not controlled directly by the government,” and which is seen as including not only businesses of all kinds but also households, individuals, non-profit organizations, charities and NGOs (Bitzenis and Marangos 2008, 480). For our purposes it is useful to distinguish between the non-profit organizations – also known collectively as the ‘voluntary sector’ (in the USA) and the ‘third sector’ (in the UK), which were dealt with above as part of civil society – and the for-profit enterprises, popularly known as the private sector. To avoid confusion, I refer to it here as the ‘business sector.’ It is worth bearing in mind, however, that the distinction between the business sector and the voluntary sector is not watertight. There are hybrid organizations which partake of the characteristics of both, and it has been suggested that a continuum exists between the two extremes, the borderlines being drawn differently in different countries (Westall 2009).

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7.5.1 Growth and power of the business sector The business sector is an extremely important and powerful part of the economies of both developed and developing countries. In 2004, the private sector share of the gross domestic product (GNP) of member countries of the OECD16 was around 85% (e.g. Sweden 78.2%, Germany 85.3%, USA 89.5%). In developing and transitional economies, the private sector share was generally below 75% (Bitzenis and Marangos 2008, 480). It was not stated what the respective shares of the business and voluntary sectors were, but in light of the data cited in Section 7.4 we can assume that the business sector contributes by far the largest share of the private sector. Before the spread of limited liability companies in the nineteenth century, businesses were mainly owned and managed by the same individuals or families. Limited liability means that investors who buy shares in a company are liable for debts incurred by the company only to the value of their initial investment. While a bankrupt individual or sole proprietor would be liable to lose everything he owns, the shareholders of a bankrupt company would lose only the money they invested in it. By reducing investors’ risk, this provided a vehicle for the investment of capital and gave a huge boost to economic development. But by reducing risk, it also encouraged corporate irresponsibility (Cray and Drutman 2005, 316–17). Today large corporations17 are to a large extent owned by shareholders who play no part in running them and may have only a transitory interest in them, buying and selling shares as they see fit, or in the case of members of pension funds, having little or no insight in the composition of their share portfolios. Corporations grew. During the twentieth century a small number of large corporations came to control ever more economic activity. By 2012, the revenue of the “Global 1000” corporations amounted to $34 trillion, and they directly employed 73 million people, with hundreds of millions more employed in their supply chains. They wield immense power: These companies and their supply chains have an enormous potential to confer both good and ill on society. They create goods and services for customers, wealth for their shareholders, and jobs for millions of people. They also consume vast amounts of natural resources, pollute local and global environment at little or no cost, in the case of large

16 OECD: Organization for Economic Cooperation and Development. Its membership is largely comprised of the developed countries of the North. 17 The terms ‘company’ (British usage) and ‘corporation’ (American usage) are roughly synonymous. We tend to use the latter for large companies.

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financial institutions they throw economies into recessions because of poor risk management, and, in some cases, hurt employees’ well-being if wages and working conditions are inadequate (Serafeim 2014, 6).

Since the 1980s, the concentration of corporate power through ongoing processes of mergers and acquisition has resulted in key economic sectors, including food and the media, being controlled by a handful of conglomerates (Serafeim 2014, 10). In the information industries, corporations such as Amazon, Facebook, Google, Microsoft and the RELX Group (formerly known as Reed-Elsevier) stand out as giants in their respective sectors and wield great power. They exercise power inter alia through lobbyists deployed at legislatures and through trade or industry associations. Trade associations are NGOs which provide “representative and other collective services to businesses, generally in a specific sector, with common interests” (Boléat 2003, 1). In our field one of the best-known industry associations is the Software & Information Industry Association (SIIA), an internationally powerful body based in Washington DC. One of its “principal missions” is to protect the intellectual property of its member companies and to advocate for a favourable “legal and regulatory environment.” It states that it “aggressively promotes and protects the interests of its member companies in legal and public policy debates by working with state, federal and international policymakers and participating in landmark legal decisions.”18

7.5.2 Relations to government Political and economic power relations are the stuff of political economy. Some attention has been paid to relations between business and civil society. Two further important issues are the relations between the business sector and the state, and corporate accountability. In “market capitalist economies” (as in advanced industrialized countries), it is thought that governments should promote and support the private sector by creating a favourable legal and fiscal environment, providing some basic infrastructure, and initiating favourable macroeconomic policies, for example those relating to interest rates and taxes (Bitzenis and Marangos 2008, 480). In practice, there are no pure capitalist economies. Almost all developed countries, including the USA, have mixed economies, in which economic activity is guided not only by market mechanisms but also by government measures. Since the 1980s, however, neoliberal 18 SIIA, “About SIIA,” https://www.siia.net/About/About-SIIA, accessed 2018-05-23.

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economic policies place greater emphasis on markets, and government interventions by such means as legislation and regulation are seen as harmful (Mote 2008, 593)―except when they favour business; for example, the information business sector actively lobbies to extend and strengthen copyright legislation, as will be discussed in following sections. Klaus Schwab, the founder and executive chairman of the Global Economic Forum, stated that at the same time as state power has declined, the influence of corporations on communities, on the lives of citizens, and on the environment, has sharply increased. This fundamental shift in the global power equation means that just as communities and citizens look to government for answers and leadership, so now they target corporations with both requests for help and criticism for wrongdoing (Schwab 2008, 109).

Measures inspired by neoliberal thinking to reduce the role of government have had particularly detrimental effects on health services, education, and libraries, in some developing countries. This is discussed in Chapter 10.

7.5.3 Corporate social responsibility As the balance of power is thought to be shifting from governments to business, questions of accountability have become more pressing. While large corporations are now “the dominant institutions in our society” and have immense power, they have little accountability to society (Cray and Drutman 2005, 307). The traditional view of corporate accountability is that of ‘shareholder primacy,’ which requires corporations to prioritize the interests of shareholders by maximizing profits. Three decades ago, an alternative was put forward in a book by R. Edward Freeman (1984), namely stakeholder theory. In terms of this theory managers of corporations are expected to consider not only the shareholders but also the interests of other stakeholders (D’Orazio 2015, 5). These comprise internal stakeholders (employees, managers and owners) and external stakeholders: customers, suppliers, banks and other creditors, competitors and special interest groups, governments and local communities, pressure groups and NGOs or public interest bodies (Du Plessis, Hargovan, and Bagaric 2011, 22–35). A set of principles of corporate governance drawn up by the OECD for the G2019 group of economies proposed that the rights of stakeholders,

19 G20 stands for the Group of Twenty, an international forum for governments and central bank governors of twenty major and emerging economies.

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including investors, employees, creditors, customers and suppliers, be recognized in national corporate governance frameworks (OECD and G20 2015, 37). The concept of corporate social responsibility20 dates back to the 1950s. Its underlying principle is that “companies must not only be concerned about profits and economic performance” (Valor 2005, 193). This expands the scope of corporate responsibility. There are critics who decry any departure from the principle of stakeholder primacy. In an article entitled “The social responsibility of business is to increase profits,” the Nobel Prize winning economist, Milton Friedman, accused advocates for social responsibility of “preaching pure and unadulterated socialism.”21 Nevertheless, the concept of ‘corporate social responsibility,’ defined as “transparent business practices that are based on ethical values, compliance with legal requirements, and respect for people, communities, and the environment” (Rionda 2002, 2) is increasingly accepted. It requires corporations to be environmentally and socially responsible in conducting their business and extends the notion of accountability to wider communities and future generations.

7.5.4 Multinationals The global power of corporations and their potential for both social benefits and serious harm across many countries, means that their accountability is an issue of particular importance to global civil society. Civil society has placed particular emphasis on sustainable development and the impact of global corporations on the environment, human rights, health and safety. Here multinational corporations (MNCs) loom large. It is not unusual for large MNCs to dwarf the economies of smaller countries. Comparing data on value added by corporations with the GNP of states, de Grauwe and Camerman (2002, 5–6) found that, for example, in 2002, Wal-Mart was “bigger” than Pakistan, Peru and Algeria, while Volkswagen was “bigger” than Uruguay and Tunisia.22 20 Many other terms have been used. In the late 1990s a new term appeared: ‘corporate citizenship.’ There is a great deal of overlap between the two major terms, ‘corporate social responsibility’ and ‘corporate citizenship.’ Valor (2005) has analysed and compared the two concepts. 21 Theoretical and practical arguments for and against social responsibility are summarized in management texts such a Montana and Charnov (2008, 41–43). For a refutation of arguments against, see Corporate Watch (2006). 22 According to a frequently cited estimate, derived from World Bank data, of the 100 largest economies in the world, 51 were thought to be corporations and only 49 were countries (Petkoski, Jarvis, and Garza 2006). According to de Grauwe and Camerman (2002, 3–4) this is

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An MNC can be defined simply as “a company that manages and controls facilities in at least two countries.” Essentially, a multinational corporation has “(a) company headquarters far removed from the country where the activity occurs, (b) foreign sales representing a high proportion of total sales, and (c) stock ownership and management that are multinational in character” (Andreopoulos and Panayides 2008, 600). Other terms in use are ‘multinational enterprises’ and ‘transnational corporations’ (TNCs). The latter differ somewhat from MNCs and have been described as a subset of MNCs, but the differences are not of consequence for our purposes.23 MNCs can create problems in the home country, for example by ‘exporting jobs’ to low-wage countries. In host countries MNCs can have positive effects on production and employment, but they can also have negative effects. Because of their large size, they can dominate the host country’s economy and exert a political influence (in some cases going so far as seeking to unseat unsympathetic governments). They may use inappropriate technologies, for example, capital-intensive production techniques in a country which needs labour-intensive industries. It is possible for MNCs to obtain local resources at low prices and make high profits which are not reinvested in the host country (Andreopoulos and Panayides 2008, 602).

7.5.5 Relations with civil society The relationship between business and civil society organizations concerned about these issues has frequently been confrontational. Many consumers and NGOs remain deeply sceptical about the sincerity of global business, and question the motives of corporations, suspecting that their corporate social responsibility programmes primarily serve public relations purposes, as a smokescreen for undesirable activities (Vaccaro 2016). Corporate publicity may be dismissed as “windowdressing, green-washing (linking the organization or brand with sustainability) and bluewashing (linking the organization or brand with the UN)” (Elving 2012, 1–2). Corporations have deep pockets and are able to counter NGO efforts by massive lobbying exercises, for example at the Rio Earth Summit of 1992 (Corporate Watch 2006, 6). The International Chamber of Commerce has lobbied

incorrect and misleading because sales are a significant overstatement of the actual size of a corporation’s economy. For this reason, they used value added as a measure of corporate size. They also found that the larger countries were many times larger than the corporations, and that there was no evidence that corporations were growing dramatically in size and power. 23 For more on terminology see Hines (2007).

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against binding emissions targets in the Kyoto Protocol, while Business Action for Sustainable Development, established to project the influence of business at the Johannesburg Earth Summit of 2002, succeeded in substituting voluntary mechanism for binding measures, thereby reducing the effectiveness of the measures that had been proposed (Corporate Watch 2006, 13). The latter case illustrates the strategy of deflecting well-supported international moves rather than directly opposing them. Business lobbies are also very active at national legislatures and the European Commission (Traynor et al. 2014). Corporate social responsibility itself has become big business which supports consultancies, seminars, conferences, journals, research and post-graduate courses. Dialogue between the corporate world and advocacy NGOs is growing. This is a somewhat conflicted relationship, but in an ethnographic study Conley and Williams (2008, 14–15) observed that NGOs themselves were taking on corporate characteristics. In addition, many NGOs rely on corporate sponsorships to balance their budgets. This is also true in LIS, for example in the case of IFLA. Although librarians are often very critical of journal publishers, IFLA counts several such corporations, including Elsevier, among its “supporters” (i.e. sponsors).24 Sponsors donate resources, especially at high-profile national and international conferences, to generate publicity and goodwill and to exert influence. This makes it more difficult for NGOs to take positions opposed to the sponsors. They must therefore tread warily to avoid problems that may arise from conflicts of interest.

7.6 The public sector The public or government sector comprises those agencies and organizations that are funded from the public purse and controlled by government. The Institute of Internal Auditors (IIA), an international body based in the USA, has defined the public sector as consisting of “governments and all publicly controlled or publicly funded agencies, enterprises, and other entities that deliver public programs, goods, or services.” These exist at any of four levels: international, national, regional (e.g. a province), and local or municipal, and comprise three types of organizations. The IIA classifies these as “core government” (e.g. government departments and ministries), “agencies” (public organizations that are part of government but that exist as separate organizations with a degree of

24 IFLA, “Silver supporters,” https://www.ifla.org/corporate-supporters/silver, accessed 201805-23.

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independence), and “public enterprises” (agencies that deliver public programmes but operate independently from government, receive government funding but may also have their own sources of revenue, may compete in private markets and may make profits, for example, a national railway company or power utility). In addition, they identify two other categories of organizations that inhabit a grey zone, and that might or might not be part of the public sector, namely state businesses and public contractors (Institute of Internal Auditors 2011, 3–4). Governments and their agencies are involved in many aspects of LIS and in the wider contexts of culture, language and heritage; the book and media industries; ICT; research, development and innovation; and education.25 Government involvement can embrace a range of functions, such as promoting, planning and policy making, legislating and regulating, registering, licensing, standardsetting, establishing, operating, funding, subsidizing, coordinating, inspecting and/or levying taxes in respect of the following areas: – Literacy and reading – Authorship (including promotion of indigenous languages) – Creative industries (film, media, etc.) – News and propaganda media – Access to government information – Traditional and indigenous knowledge – Publishing and bookselling – Education – Research and innovation – ICT infrastructure (e.g. research networks and broadband connectivity) – Libraries, archives and museums These are examples only, not a complete inventory. Government interventions in other areas, for example through limitations on budgets, may influence LIS as well, directly or indirectly.

7.6.1 Three illustrative cases As stated earlier (Section 7.2) political economy is concerned with the ways in which various sorts of government affect the allocation of scarce resources in society. It is therefore of interest to consider briefly how three different types of

25 See Figure 3.10 (Chapter 3).

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political systems deal with some of the above areas. For this purpose, three illustrative cases are presented here. They are ‘ideal types’, in the sense that elements from more than one country are combined in each one to create an abstraction which does not exactly match any individual country but exaggerates the characteristics of interest in the typology.26 The three presented here are distinguished on the basis of the relative power of the three sectors: the public sector, the private sector, and civil society, and they are depicted schematically in Figure 7.1.

A Big Government

Government

B Small Government

Business

Government

Government

Civil Society Civil Society

C Transitional economy

Business

Business

Civil Society

Figure 7.1: Typology: relative power of government, business and civil society.

CASE A: Big Government This is typified by a single-party, socialist country. The government exercises centralized control of all the agencies and processes listed above. Small business enterprises are reluctantly tolerated. Agriculture, mining and manufacturing are carried out by state enterprises. The government sponsors a number of GONGOs (government-sponsored NGOs)27 to convey the government’s message at international meetings, but such genuine civil society as exists, operates precariously on the margins of society. All spheres of society, including all forms of creative expression and communication, are subjected to state control. The government carries out all but a few of the functions listed above. The systems are directed from the centre. Market forces and considerations of efficiency play little or no part.

26 For the concept of an ideal type, see Chapter 5, Section 5.11. 27 Cf. Steinberg (2001).

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The book industries are heavily subsidized and may be inefficient. Books are produced according to government directives, sold below production cost and distributed to libraries with little regard to user demand. A dense network of popular libraries (public libraries, factory libraries, army libraries, etc.) is maintained. Staffing in libraries is generous but personnel are poorly motivated. There are large research libraries, but materials which do not satisfy ideological criteria are made available only to approved users. Although composers and dramatists are inhibited by ideological constraints, education in the arts is of a high standard, and world-class artists and ensembles perform classical works for worker audiences at minimal cost. CASE B: Small Government This country has a market capitalist economy, and neoliberal capitalist ideology exercises a strong influence on resource allocation. There is a powerful and assertive private sector, and a diverse and vocal civil society. The national government generally steers clear of involvement in the areas listed above, restricting itself to some high-level policy and regulatory matters (e.g. concerning access to telecommunications) and providing some funding to institutions through grant-making agencies. More hands-on involvement and funding, where provided, is left to lower levels of government. Levels of funding are variable, depending on the political climate, and institutions compete for grants from grant-making agencies, foundations and private donors. There is a great variety of initiatives and systems at the regional and local levels. In these circumstances creating a broad-spectrum national information policy is not feasible. Instead, there is a complex bundle of sectoral legislation, policies, agreements and industry standards. In the legislatures and in the corridors of power of national, provincial and local governments, legions of corporate lobbyists advocate for tax breaks, privatization, deregulation, and protection for their business models. Under the banner of small government and efficiency, neoliberal think tanks and pressure groups lobby to reduce the government’s expenditure and involvement in all spheres of society, including health care, education, information services, and the media. Pressure is applied to state-funded institutions to apply modern management principles, increase efficiency, and cut costs. These measures sometimes affect information services and, more generally, damage staff morale and relations with clients. Those affected refer to this as ‘managerialism.’ The corporate lobbyists do not have it all their own way, however. Civil society in this country is large, vibrant, and vocal, and a diverse array of NGOs and CBOs lobbies for their respective causes, including such issues as libraries, freedom of information, privacy, and access to the internet. Nevertheless, there

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is a growing gap between rich and poor in respect of both wealth and income. Service industries are highly developed, but blue-collar jobs are being lost to automation, outsourcing and the relocation of manufacturing plants to developing countries with low-paid and poorly regulated labour. Although social mobility is declining, the economic system allows a minority of citizens to become extremely wealthy, and many of these individuals and their corporations donate generously to such institutions as colleges, hospitals and libraries, in the process earning substantial tax breaks and much publicity. There are profitable and competitive media and book industries. Press freedom is valued and there is a strong tradition of critical and investigative journalism. A “sunshine” (freedom of information) law ensures access to government information. However, critics complain about the quality of commercial media, claiming that citizens are poorly informed of national and international affairs, not because of government censorship, but because thoughtful, in-depth coverage does not attract large audiences and concomitant advertising revenue. There are universities and colleges with top-ranked, productive academics able to attract large research grants. The top institutions have magnificent facilities, including imposing libraries with rich collections. Public libraries in the more affluent communities are spacious; they offer excellent services and a wide range of books and media, with an emphasis on satisfying popular demand. Librarians and allied groups vigorously resist community-based censorship attempts. When library branches, personnel or opening hours are threatened by austerity measures, CBOs and national organizations quickly mobilize to counter the threat. Schools in the more affluent communities have well-stocked and professionally staffed school libraries. However, in the less affluent inner-city wards and rural areas, resources are not so plentiful. Because of funding cuts, in many such areas schools can no longer afford to employ qualified school librarians. CASE C: Transitional economy This case concerns a fairly large developing country which is classified by the UN as an ‘economy in transition.’ Both political and economic transformation is in progress. The economy is very dependent on exports of unprocessed minerals and agricultural products. Income from these fluctuates, since exporters of resources are at the mercy of importers in the developed countries, which try to force down prices. Because the costs of importing manufactured products from the developed countries are high, efforts are being made to develop manufacturing industries to process the country’s raw materials, for example beneficiation of minerals. In addition, a transition from big government towards smaller government is under way. A number of industries, nationalized

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during an earlier, socialist-oriented phase, are being privatized. These include the national publishing house producing school textbooks. Such transitions are seldom smooth, and they provide opportunities for clever individuals to enrich themselves by gaining control of newly privatized enterprises. In this case, there is much alarm about the threat of ‘state capture’, a situation where the state is “captured” by powerful businesspersons colluding with influential politicians to manipulate government decision-making to their mutual advantage (Lugon-Moulin 2010).28 The business and political elites become increasingly indistinguishable. Through family ties and friendships, businesspersons are able to gain a significant degree of control of a country’s government, in order to gain lucrative deals and siphon off funds from the national treasury. The resulting loss of government revenue reduces the money available for infrastructural and social spending, affecting health, education and LIS. These are also plagued by corruption and inefficiency. There is a vibrant press, and freedom of the press is guaranteed under the Constitution. However, community activists and investigative journalists at times face obstacles and harassment. A freedom of information law is on the statute books, but government officials use delaying tactics to prevent access to ‘sensitive’ government information. The value of information is recognized in principle; the country has a national information policy and LIS is included in the current five-year development plan, but funds are not voted to give effect to it, and LIS remains neglected. Funding of libraries is inadequate. Facilities are decaying and collections out of date. University students, unable to afford textbooks or borrow them, make heavy use of pirated textbooks. To meet the terms of a proposed trade agreement with the EU, the country is enacting quite restrictive copyright legislation. This will make it even more expensive legally to copy books and journal articles for educational use. To protect the emerging pulp and paper industry, in which foreign corporations have invested, heavy import duties are imposed on paper and printed matter, including books. This makes both imported and locally printed books more expensive. Recently a group of American publishers initiated a scheme to donate unsold books to the country’s schools. Currently several con-

28 The opposite of state capture is where the government controls a large number of enterprises which are nominally part of the private sector, such mining, manufacturing and financial enterprises owned and run by the armed forces. In both cases, the boundary between the public and private sectors is blurred, and we enter the grey zone identified by the IIA.

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tainers of these books are held up by customs officials at the port of entry, pending payment of customs duties, which the Ministry of Education is unwilling to pay.

7.6.2 Implications The three cases provide ample clues to the effects of various political-economic factors. In the remaining sections of this chapter, and in several further chapters, many of these factors are examined more closely.

7.7 Intergovernmental organizations This overview would be incomplete without a mention of intergovernmental organizations (IGOs), which play a significant role in many spheres of international political economy.29 An intergovernmental organization can be defined as a formal organization, established by intergovernmental agreement, with members from three or more states, that pursues a specific set of goals, the members being sovereign states represented by their governments. The latter criterion in particular distinguishes intergovernmental organizations from international NGOs, the members of which may be individuals, groups or associations (Gutner 2017, 3–4).30 IGOs are generally established by means of an international treaty under public international law. The treaty provides for a constitution, usually called a “charter,” for the body. IGOs need to be distinguished from treaties as such, for example NAFTA, the North American Free Trade Agreement, as well as from the far more numerous international NGOs which were dealt with in Section 7.4 above. As mentioned in Section 1.8, IGOs were founded from the mid-nineteenth century onwards as part of the rise of polity internationalism. The aftermath of the Second World War saw the founding of the United Nations, the World Bank, the International Monetary Fund, GATT, and European Coal and Steel Community. The latter eventually evolved into the European Union. Important IGOs which had been founded in the second half of the nineteenth century became members of what is referred to as the “United Nations family.” In 29 Section 6.19 covers information on international organizations. 30 There are some hybrid organizations, in which members are not limited to governments. An example is the International Labour Organization, whose governing body includes representatives of governments, employers and employees (Gutner p.4).

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addition, many new IGOs were created to deal with the daunting array of what UN Secretary General Kofi Annan called “problems without passports”31 facing the modern world. During the 1970s the number of international NGOs and IGOs grew strikingly, as did other non-state, non-territorial actors such as multinational corporations (Akira Iriye 2002, 129–30). Although NGOs far outnumber IGOs, the growth of the latter was also significant. The Yearbook of international organizations, 2016–2017 (Union of International Associations 2016, vol. 5, p.25) covered 275 conventional IGOs, of which 201 were regional bodies. IGOs are active in many spheres. The Oxford handbook of international organizations (Cogan, Hurd, and Johnstone 2017) included chapters on their engagement in peace operations, human rights, humanitarian action, refugees, development, environment, communication and the internet, among others. For our purposes, the roles of IGOs in respect of education, science, culture, information and communication (the sphere of activity of UNESCO), and in respect of development (a range of IGOs), intellectual property (WIPO) and international trade in information products (WTO) are of particular interest. Their main functions are information provision, standard setting, monitoring of compliance, and dispute resolution. Generally, their power and authority depend on delegation by the member states; they “are properly seen as assisting states in resolving their cooperation dilemmas, rather than acting as an authoritative enforcer of rules and norms” (Martin 1999, 52–53). An exception to the latter observation is formed by supranational organizations (SNOs), which some authors include among IGOs, whilst others exclude them. SNOs have a greater degree of “autonomous regulatory power” than IGOs. Within the scope of the authority delegated to them, they can make rules, adjudicate, and enforce their legislation (Lindseth 2017, 152–53). The prime example (and for some authors the only true example) of an SNO is the European Union. It has three distinctive features: (1) decisions that will bind all members can be taken by a majority of members; (2) the majority decisions become EU law, which “attains supremacy over conflicting domestic law”; (3) EU law is effective in the domestic legal systems of member states and may be invoked against them by their own citizens. Thus, EU members are said to have “transferred part of their sovereignty to the EU” (Klabbers 2015, 26–27).

31 Cited by Weiss and Thakur (2010, 50).

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IGOs can be classified in various ways, in terms of their goals or missions, their fields of activity or issue areas, geographical scope (global or regional), their composition, structure, governance and the extent of their authority. Across these categories, the main groups of IGOs which are of interest in our field are the UN and its related organizations, the “Bretton Woods institutions,” certain regional IGOs, and the European Union. The EU is discussed in Section 12.5, and its role as a provider of international comparative data is mentioned in Section 6.16.

7.7.1 The United Nations and related organizations The United Nations Organisation (UN), founded in 1945, directly after Word War 2, is the most globally prominent of all the IGOs. At time of writing it has 193 members, including almost all of the world’s sovereign states. According to its Charter, the UN aims: – to save succeeding generations from the scourge of war, – to reaffirm faith in fundamental human rights, – to establish conditions under which justice and respect for the obligations arising from treaties and other sources of international law can be maintained, – and to promote social progress and better standards of life in larger freedom.32

The UN has five principal organs, the General Assembly, the Security Council, the Economic and Social Council (ECOSOC), the Secretariat, and the International Court of Justice (in The Hague). There is a sixth organ, the Trusteeship Council, which suspended operation in 1994, when the last remaining UN Trust Territory, Palau, became independent. The United Nations handbook (Manhire 2017, 8–10) lists a large and confusing number of organizations and agencies which report to the General Assembly, the Security Council, ECOSOC, and/or the UN Secretariat. These include subsidiary bodies, funds and programmes, commissions, departments and offices, research and training institutes, specialized agencies and related organizations. The specialized agencies include the Food and Agricultural Organization (FAO), the International Labour Organization (ILO), UNESCO and the World Health Organization (WHO), which have been mentioned in Section 1.8 in relation to polity internationalism and/or in Sections 6.16, 6.17 or 6.19 in relation to their roles as providers of international statistical data. They are autonomous organizations whose work is coordinated

32 United Nations, “The essential UN,” https://www.un.org/en/essential-un/, accessed 201805-24.

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by ECOSOC. The International Atomic Energy Agency (IAEA) and the World Trade Organization (WTO) are in the category of “related organizations.” They are also autonomous but have different reporting relationships to the UN. The “World Bank Group” includes the International Bank for Reconstruction and Development (IBRD, commonly known as the World Bank) and the IMF (both discussed below under “Bretton Woods Institutions”). The WTO is not strictly part of the United Nations “family” but contributes on an ad hoc basis to the work of the General Assembly and ECOSOC (Manhire 2017, 8).33 It has its origins in the General Agreement on Tariffs and Trade (GATT) and is discussed briefly in Section 7.12 below. The International Telecommunications Union (ITU) and World Intellectual Property Organization (WIPO) are both listed under “World Bank Group” in the United Nations handbook 2017–18. Both are of significance to LIS in that they play significant roles in international telecommunications and intellectual property policies respectively. All the agencies and organizations mentioned so far play a role in international LIS to a greater or lesser extent, but for LIS the most important of the UN specialized agencies, has been UNESCO, which has five “sectors,” for Education, Natural Sciences, Social and Human Sciences, Culture, and Communication and Information. The latter, the smallest and least prominent, has some responsibilities relevant to libraries.34 Historically, UNESCO has played a very important role in LIS development, as described in Section 1.8, and in chapters 10, 11 and 12, but the priorities of the Communication and Information Sector have shifted towards issues of information, the knowledge society and media, in which libraries barely feature. UNESCO tends to function within the “silos” of its five sectors, with the result that LIS, which are relevant to all five, tend to be ignored by the other sectors (Lor 2012b, 278–79). A number of other UN agencies are relevant to LIS, for example, the: – UN Development Programme (UNDP) – Office of the UN High Commissioner for Refugees (UNHCR) – UN Children’s Fund (UNICEF) – Functional Commissions, such as those on Population and Development, Science and Technology for Development, and Statistics – Regional Commissions such as the Economic Commission for Africa (ECA) – UN Department of Public Information (DPI)

33 For further discussion of the World Trade Organization, with a case study on intellectual property issues, see Gutner (2017, chaps 9 & 10). 34 UNESCO, “Communication and Information,” http://www.unesco.org/new/en/communica tion-and-information/themes/, accessed 2018-05-25.

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The UN has a worldwide library system. Its major library, the Dag Hammarskjöld Library,35 is at its headquarters in New York (Garde 1970; Orlov 1983; Chepesiuk 1998). It provides library and information services to UN member delegations, staff, and researchers. It also creates tools to enable access to UN documents, maintains the archive of UN documents and serves as the centre of a network of UN libraries. The network includes the UN Library in Geneva, originally founded as the League of Nations Library.36 The United Nations iLibrary provides online access to digital content created by the UN.37 The Dag Hammarskjöld Library administers the UN Depository Library System, which distributes UN documents and publications to users around the world. At latest count there were 356 UN depository libraries in 136 countries.38 The United Nations system is often accused of being a bloated and cumbersome bureaucracy (e.g. Hollard 2017). Whilst there is undoubtedly some truth to this accusation, it should be seen in context. It has been pointed out that Disneyland and Disney World together employ more people than the UN (Gutner 2017, 6–7).

7.7.2 The “Bretton Woods institutions” Strictly speaking, for political scientists the word ‘institutions,’ commonly used to refer to the IGOs discussed here, which are also referred to as the ‘international financial institutions,’ is misleading. In international politics, the term ‘institutions’ refers to sets of rules and norms, such as the system, set up in 1944 to promote economic stability by regulating international monetary relations. Within this system are a number of intergovernmental organizations (Gutner 2017, 4). Towards the end of the Second World War, representatives of forty-five allied governments met at Bretton Woods, New

35 Dag Hammarskjöld Library, “Our mandate and history,” https://library.un.org/content/ourmandate-history, accessed 2018-05-24. 36 The UN Library in Geneva is an important resource for access to League of Nations documents. See UNOG, the United Nations Office at Geneva, “Library and archives,” https://www. unog.ch/library, accessed 2018-05-25. 37 UN iLibrary, “About United Nations iLibrary,” https://www.un-ilibrary.org/about/aboutun, accessed 2018-05-25. 38 Dag Hammarskjöld Library, “United Nations Depository Programme,” https://library.un. org/content/united-nations-depository-library-programme, accessed 2018-05-25.

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Hampshire to discuss the reconstruction of Europe and the global economic system and to work out ways of preventing the recurrence of disastrous financial policies such as those that had led to the Great Depression of the 1930s. This meeting resulted in the establishment of two major IGOs, the International Monetary Fund (IMF) (Eichengreen and Woods 2016), and the IBRD (World Bank) (K. Marshall 2012). The World Bank is in fact a cluster of five associated institutions, one of them being the IBRD proper. There is some overlap in the activities of the IMF and the World Bank, but the IMF has come to focus on fiscal stability, while the World Bank concentrates on investment for development. Both are key players in the international political economy, and both are frequently at the centre of international political debates, criticized inter alia for being tools of the United States and other developed countries. Voting power on the board of the World Bank is determined by the financial contributions of the member countries. As the biggest contributor, the USA has often dominated its decision making. From the late 1970s onwards, the IMF and World Bank were responsible for imposing structural adjustment programmes (SAPs) in heavily indebted developing countries as a condition for loans. The SAPs required budgetary austerity, which in some countries resulted in severe cutbacks in health, social and educational spending (Emeagwali 2011). These also affected LIS development there. The World Bank was initially concerned with the post-war rebuilding of Europe and then shifted its attention to developing countries. It has a large professional staff and has built up great expertise in various areas of development policy (Kennett 2001, 18–20; Haan 2009, 37–42). The World Bank and IMF are referred to in Section 6.16 as sources of statistical information and in Section 10.9 in relation to development.39

7.7.3 Regional IGOs Regions can be defined in many ways, taking into account geographic location, culture, languages, and ideologies (Gutner 2017, 207). They include organizations with a general scope such as the Organization of American States (OAS) and the Council of Europe, both of which have had some LIS-related programmes.

39 For further discussion of the World Bank and the IMF, with case studies of policy issues, see Gutner (2017, chaps 5–8).

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Other regional IGOs focus on sectors such as regional trade, e.g. Mercosur in the ‘southern cone’ of South America; security, e.g. the North Atlantic Treaty Organization (NATO) and the Organization for Security and Co-operation in Europe (OSCE); development, e.g. development banks, and legal institutions such as the Inter-American Court of Human Rights. Their influence on LIS is indirect through their impact on regional security and development.

7.7.4 IGOs in international political economy IGOs are frequently under fire for various deficiencies. It has also been said that the symbolic value of an IGO allows “everybody to declare themselves in favour of truth, beauty, goodness, and world community, while leaving governments free to pursue national self-interests and do exactly what they wish” (Strange 1982, 484). Sometimes, like NGOs, they have been described as handmaidens of the capitalist world order, or as forming “a web of sub-national authorities and spaces that represent. . . the decentralized face” of an “emerging imperial global state” (Chimni 2004, 1). Indeed, IGOs, like civil society, occupy the space between nation states. Since the Second World War, this has expanded, and IGOs and civil society have grown to fill it. As IGOs became more active in international programmes dealing with issues such as disaster relief, development and the environment, civil society organizations stepped in and made themselves indispensable to states and IGOs in delivering services “on the ground.” And as IGOs became forums for international policy on major global issues, international civil society seized the opportunities offered by IGO assemblies and their high-profile international summits, to exert pressure on national governments. IGOs have to steer a course between serving idealistic international objectives (such as promoting worldwide access to scientific knowledge) and accommodating the interests of the member governments to which they are ultimately accountable – governments which in this instance may be under pressure from domestic lobbies to tighten intellectual property protection. Because civil society represents a wide range of sometimes conflicting positions, its twofold role in service delivery and advocacy, has resulted in complex relations between it and IGOs. For LIS this plays out in areas such as freedom of expression and the freedom of access to information, where governments of member states are themselves at odds. Here we often find civil society aligned with developing countries in opposition to the neoliberal positions held by the USA and its allies. Untrammelled by accountability to government, civil society is better placed to expose the hypocrisy pointed out by Strange.

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7.8 The digital divide The diffusion and use of information and communication technologies is an important theme in international political economy. These technologies are indispensable for participation in a modern economy. Again, it is, at least at face value, a matter of access to resources, an issue most vividly captured by the term ‘digital divide,’ which originated in the 1990s.40 It was popularized by Larry Irving, who headed the U.S. National Telecommunications Infrastructure Administration (NTIA) during the Clinton Presidency, and authored three reports entitled Falling through the Net. These tracked access to telecommunications and information technologies, including telephones, computers and the internet, across racial, economic, and geographic lines within the USA (Gunkel 2003, 501–3). In the third report in the series (‘Falling through the Net: Defining the Digital Divide’ 1999, Introduction), the digital divide was simply described as “the divide between those with access to new technologies and those without.” Over time, the emphasis shifted to the digital divide as a global phenomenon – the divide between the “haves” and the “have-nots” in the regions of the world. Johnson Paul (2002, 13) described the digital divide as “. . .the unequal and disproportionate pace of development in societies having access to digital infrastructure and services.” In this context we tend to think primarily of the gap between developed and developing nations, and the digital divide, measured in terms of availability of technology, internet access and penetration, and investment in infrastructure, became a major topic in development economics (e.g. Guillén and Suárez 2005; Kshetri and Dholakia 2008; Pick and Azari 2008) and informatics (e.g. D. S. White et al. 2011). Similar studies examined the digital divide between Western and Eastern Europe (e.g. Hubregtse 2005), and between mainstream society and marginalized groups such as first peoples in Australia (e.g. Samaras 2005) and New Zealand (e.g. Cullen 2003). A further shift occurred as recognition grew that the divide is not merely technological but has many dimensions. This is exemplified by the “eight Cs of success in the internet economy” proposed by Madanmohan Rao (2000): Connectivity, Content, Community, Commerce, Capacity, Culture, Cooperation, Capital. I have suggested that the list be expanded to include capacity (mainly human resources),

40 See “A short history of the digital divide: a high-tech ‘who done it’,” by Richard Rapaport at https://web.archive.org/web/20170703193705/; https://www.edutopia.org/digital-genera tion-divide-connectivity, accessed 2018-05-26.

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business environment (business culture, adaptability and entrepreneurship), legal and regulatory environment (legislation and regulatory bodies, policy framework (including national information policy and policies on education, IT, knowledge society, e-government, e-commerce, languages, literacy, etc.), and a moral and ethical framework (covering issues such as national sovereignty and trade relations in respect of information, media, and culture, and issues of democratisation, diversity, inclusiveness, and transparency) (Lor 2003). The digital divide as a concept has been widely discussed and critiqued (e.g. Gunkel 2003; Luyt 2004). Warschauer (2002) examined the outcomes of three acclaimed projects, including the well-known Indian “hole-in-the-wall” experiment.41 He argued that simply putting ICTs in place can make only a very limited impact and may even have negative side-effects. Finding the digital divide to be a flawed concept, he proposed instead an alternative concept, “technology for social inclusion.” Livingstone (2005, 13–15) traced the evolution of research on the digital divide from an initial focus on ICT through quality of access to digital inclusion, encompassing “wider debates over social inclusion and exclusion.” Such debates indeed took place at the World Summit on the Information Society (WSIS), held in two phases: Geneva (in 2003) and Tunis (in 2005), against a background of growing multilateral engagement with information society issues (Lor 2008b). It had been recognized that the digital divide constituted a barrier to the attainment of the United Nations’ Millennium Development Goals. This had contributed to a UN resolution to convene this summit, initially conceived by the International Telecommunications Union (ITU). The participation by UNESCO alongside the International Telecommunications Union (ITU) in convening the summit helped to broaden its scope beyond technology to a wide range of political-economic, cultural, and ethical issues. These included controversial questions around human rights and freedom of expression; intellectual property rights and free access to knowledge; privacy, digital solidarity and internet governance (Kleinwächter and Stauffacher 2005, 3–4). Participation by civil society, itself controversial (Bloem 2005), ensured that these questions could not be swept under the carpet (Cukier 2005). For many civil society organizations, including IFLA (Lor 2008b), the summit served as a wake-up call and an introduction to international advocacy in the political-economic arena. A ten-year period of follow-up actions was concluded in 2015 (United Nations 2015a).

41 “Hole-in-the-wall Education Project,” http://www.hole-in-the-wall.com/, accessed 2018-05-26.

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Judging by the literature, interest in the digital divide as such seems to have waned in the course of the first decade of the twenty-first century,42 as attention shifted to new initiatives. The barriers that inhibit access to ICTs in developing countries continue to receive attention, and a wide range of related issues is being addressed inter alia within the framework of the Information and Communications Technology for Development (ICT4D) approach.43 The basic question to be asked of initiatives to bridge the “digital divide” is, how freely will the information flow, in which direction, and with what effect? Questions arise, for example, concerning cultural influences and cultural diversity (e.g. Tomlinson 1991; UNESCO 2003b; Hassi and Storti 2012), the survival of “small” languages (e.g, McCarty 2003; Ngulube 2012), and the flow of culture and intellectual production “against the current,” not only from developing countries to the developed world (e.g. Britz and Lor 2003; Salager-Meyer 2008) but also from non-English speaking countries to the Anglophone world (e.g. Casalini 2016). For our purposes, the most relevant theme in international political economy is that of the international political economy of information. Having briefly considered the international context of access to information and communication technology, I now turn more specifically to international policies and interactions related to information and knowledge. Many international forums, agreements, treaties and institutions deal with media ownership and control, internet governance, freedom of access to information, intellectual property, licensing, digital rights management, orphan works,44 digitization, the pricing of information, and factors facilitating and obstructing the flow of information among the countries of the world. It is not possible to deal with all of these here. Instead, I concentrate on access to information and knowledge.

42 New work continues to appear, for example a study by Lindblom and Räsänen (2017) comparing the use of the internet for social purposes in three European countries. 43 For an introduction to ICTD (ICT4D) for librarians, see Coward (2010). ICT4D has been fiercely criticized inter alia by development sociologist Nederveen Pieterse (2010, 166–81), who sees it as driven by capitalist market expansion, and decries it as “technology boosterism” and “cyber utopianism” (p.166). 44 The European Orphan Work Directive describes a work as an orphan work “if it is in copyright, and if the holder of the copyright cannot be identified, or cannot be found” (EIFL 2013). This makes it very difficult to obtain permission to re-use that work.

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7.9 Information/knowledge as an economic good Among various themes in the political economy of information,45 the most prominent and controversial one revolves around the ownership of information and knowledge. It has been said that economics is about “the allocation of scarce resources among competing desirable ends” (Farley and Kubiszewski 2015, 199). The classic economic resources, or factors of production, were land, labour and capital. Today, it is widely recognized that information is increasingly critical to economic growth (Kapczynski 2010, 18–21), hence a key resource in all societies. It is not surprising that interest has grown in the political economy of information and knowledge.46 For brevity, in what follows, when I refer to ‘information’ I include knowledge as well. From an economic perspective we can consider information as a good (Linde and Stock 2011, chaps 2 & 3). Defining goods broadly as material or immaterial means that may be used to satisfy human needs, economists distinguish two kinds of goods: free goods, which are immediately available to everyone, such as water and air47; and scarce goods, for which people are prepared to pay, and which are therefore reckoned as economic, or marketable, goods. Writing about digital information in the information economy, Linde and Stock (2011, 24) defined “an information good” pragmatically as “anything that is or can be available in digital form and which is regarded as useful by economic agents.”48 Information goods as so defined have a number of peculiarities. They always have a dual character, namely content and a carrier medium, and in the case of electronic information good, an end device such as a Kindle or DVD player is needed. This blurs the distinction between goods and services. Information does not conform fully to the nature of an economic good, because to a large extent it is available abundantly. Therefore, scarcity does not necessarily arise from limited supply but may also arise from the limited ability of consumers to process information (Linde and Stock 2011, 23–26).

45 For an outline of the “political economy approach to information,” see Dick (2002b, 89–91). 46 The political economy of information is not to be confused with the economics of information (information economics) (Stiglitz 2000). 47 Water is no longer a free good in many parts of the world, and because of pollution clean air can no longer be assumed to be freely available to all. 48 LIS deal with information in both digital and analogue form, but since the latter can in most cases be digitized, this definition is usable for our purposes.

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Information goods have a number of characteristics which can give rise to market failure. In layman’s terms, market failure occurs when the market is not governed perfectly by the laws of supply and demand.49 The first characteristic is that the cost of making and transmitting copies of an information good after the first copy has been created is much lower, or even negligible in the case of electronically transmitted information. In the case of digital media, the relation between high fixed costs (for content production, editorial processing, design, marketing, etc.) and the very low variable costs50 of electronically distributing copies, gives rise to “fixed cost degression,” also known as the First-Copy-CostEffect. This also applies to conventional industrial products such as printed books, but in the case of digital products the difference between fixed and variable costs is much greater (Linde and Stock 2011, 35–38). The second characteristic is that the consumer of an information good cannot easily assess its value before purchasing it. In the case of printed material this can be remedied by inspecting a book in a bookshop or a library, or by reading reviews, or snippets on the Web. The more information that is freely available, the greater the likelihood that the consumer may not need to purchase it. In the case of electronic information, such as e-journals, librarians may purchase journal titles based on the reputation of the publisher. It is not possible to assess the individual articles before they are published, or even afterwards (e.g. because of the sheer volume of material, or because the librarian may lack the necessary expertise). The latter point is an illustration of the third characteristic of information goods, namely that they have “experience and credence qualities” (Linde and Stock 2011, 42–43). The last characteristic is that information goods are “network goods,” which have “network effects”: essentially, their value increases with increases in production and the number of consumers. For example, a journal which is widely read and heavily cited has greater value than an obscure journal, whereas a material consumer good such as a Maserati derives value from its scarcity. The net effect of these characteristics is that information goods tend toward being public goods rather than private goods. Private goods are goods of which the ownership rights can be allocated to a single owner exclusively (the principle of excludability), and which, if consumed, cannot be consumed by anyone

49 Linde and Stock (2011, 33, citing the Gabler Wirtschaftslexikon) state that “market failure occurs when the result of marketary coordination deviates from the economically ideal allocation of goods and resources in the model of complete competition.” In laymen’s terms, it occurs when the free market does not work efficiently. Or, to embroider on Stiglitz’s metaphor, when Adam Smith’s invisible hand has lost its touch. 50 Variable costs are those costs that vary with output.

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else (the principle of rivalry). Public goods are those goods to which both these principles do not fully apply (Linde and Stock 2011, 61–65). This can be illustrated by the following example. When a scholar develops a new theory and describes it in an expensive book that few can afford, information about the theory is bound to “leak” out sooner rather than later; professors may use it in teaching, other scholars will write about how they applied the theory, it will be taught in workshops, etc. This violates the principle of excludability. But the value of the information does not decrease as it spreads. It is not lost to the person who created it. This violates the principle of rivalry (also referred to as rivalrousness). In fact, the scholar will want as many people as possible to know about his/her theory. That will add to her prestige, and the more the theory is cited and used, the greater its value to the scholarly community ― which is an illustration of the network effect. In respect of certain categories of information (such as private information and market information) the creator may have an interest in preventing its dissemination, at least for some time, but this will require stringent precautions of secrecy and legal protection. It should be noted that there is a grey area between private and public goods: in many cases public goods may not fully satisfy both the requirements of nonrivalrousness and non-excludability. These goods may then be considered to be ‘impure public goods’ as distinct from ‘pure public goods,’ which do meet these requirements (Kaul, Grunberg, and Stern 1999b, xx). On the basis of the two requirements, Linde and Stock (2011, 61–63) distinguished between private goods (rivalrous and excludable, e.g. clothes, or food), public goods (non-rivalrous and non-excludable, e.g. public streets), ‘societal common goods’ (rivalrous but nonexcludable, e.g. fish in the sea), and ‘natural monopolies’ (non-rivalrous but excludable, e.g. toll roads). The distinctions between these are not inherent in the goods but may be determined by traditions or policies. For example, in some countries public libraries are free for all to use, in which case they are a public good. In others, people have to pay to use them, in which case they are natural monopolies. If we consider information goods such as government documents, commercial TV shows, or bibliographic databases, we can appreciate that there may be differences of opinion on how they should be dealt with.

7.10 Information as a resource LIS professionals like to refer to information as a resource. If information is an economic resource, the same questions arise as for other resources: how is it to be valued, distributed and exploited? One approach is implied by the term ‘intellectual property’ which has been defined as “the ideas, designs, inventions,

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or concepts created by a person or organization” (Schneider 2009, 601), or “creations of the mind” (Nicholson 2009, 19). All of these are bearers of information. In the case of a book or DVD, this is obvious, but information is also embedded in any product if a patent has been utilized in its manufacture.51 There is a danger inherent in the metaphor of information as a resource, in that it provides a justification for treating it as a commodity. Information is a rather special type of resource, for it does not conform to the characteristics of other resources. Writing about knowledge rather than information, Stiglitz (1999, 309–10) stated that it is “nonrivalrous” and “nonexcludable.” The vocabulary differs a little, but the principle is consistent with the economic concept of a public good as discussed above. This has important implications for intellectual property, which itself is a contested term.52 The implication of the non-rivalrous nature of knowledge is that information is not a scarce resource like energy, water or land. The implication of the non-excludable nature of knowledge is that it cannot be “owned” in quite the same way as other types of resources, and that the property rights that people have who own resources, for example the exclusive right to use the property, to benefit from its use, and to sell or dispose of it (cf. Alchian 2008; Benham 2017), do not necessarily apply in the same way to intellectual property. An additional consideration is that information is an “additive resource” in the sense that it improves through use (Farley and Kubiszewski 2015, 203). The dissemination of information is what makes progress in the arts, scholarship, science and technology possible. In all fields of human endeavour, we build on what has been discovered and created by others.

51 Benkler (2006, chap. 9) distinguished between “information-embedded goods” (such as pharmaceuticals, in which technological advances are embedded or applied in their production); “information-embedded tools” (“tools necessary for innovation itself,” such as technologies, materials and compounds for research); information; and knowledge. 52 Contributions to the literature of intellectual property come from various traditions in law, economics and political economy, and also from ethical, social justice and human rights perspectives. As a result, there is much terminological variation and inconsistency. Much of the literature is partisan and critics of the intellectual property system (and of capitalism and neoliberal ideology) dominate it. Radical opponents have labelled the term ‘intellectual property’ a “seductive mirage” (Stallman 2006), an oxymoron or “nonsense word” (e.g. Aaeru (pseudonym) 2013), and a “fraud” (e.g. McElroy 2017). For more scholarly critiques that call into question the concept and its utility, see Boldrin and Levine (2010) and Kinsella (2015).

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7.11 Intellectual property 7.11.1 Definition and scope The WIPO intellectual property handbook (2004, 3) of the World Intellectual Property Organization (WIPO) has defined intellectual property broadly as “the legal rights which result from intellectual activity in the industrial, scientific, literary and artistic fields.” This implies that intellectual property refers to the rights, not to the objects of the rights.53 A book such as this is not intellectual property, but certain legal rights relating to it, are. Intellectual property is in essence a construct ― one which developed in the political-economic context of capitalism. This construct did not exist until the relatively recent past. It is still unknown in many non-Western societies, and it is one which is being challenged today by some groups in Western society. In terms of the 1967 Stockholm Convention, Convention Establishing the World Intellectual Property Organization (WIPO), Article 2(viii), intellectual property includes rights to literary, artistic and scientific works, performances of performing artists, phonograms and broadcasts, inventions in all fields of human endeavour, scientific discoveries, industrial designs, trademarks, service marks and commercial names and designations, and protection against unfair competition, and all other rights resulting from intellectual activity in the industrial, scientific, literary or artistic fields (WIPO 2004, 3).

The ‘intellectual property’ in the above list of intellectual creations can be divided into two broad categories: industrial property, which is protected inter alia by patents and trademarks; and literary and artistic property, protected by copyrights (Schneider 2009, 641).54 The term ‘literary and artistic’ is somewhat

53 The implication is that the term ‘intellectual property rights’ is a tautology. It is therefore avoided here unless required by the context of the cited literature. 54 Copyright is primarily an Anglo-American concept. In continental Europe, the term “author’s rights“ (droit d’auteur in French, Urheberrecht in German) is used instead of copyright. The difference in terminology reflects differences in legal philosophies and systems which cannot be dealt with here, but it is necessary to note that there is a conceptual difference between copyright and author’s rights. The latter comprise two distinct sets of rights: economic rights (analogous to copyright) and ‘moral rights’, which are separate from copyright and concern the right of an author to control what happens to his/her work: primarily the right of paternity or attribution (to be recognized as author of the work) and the right of integrity (to object to adaptations or modifications which might prejudice the author’s reputation (O. H. Dean 1996, 38–39; Rosenblatt 1998). Moral rights are more comprehensively covered in European than in British and US legislation (International Federation of Journalists n.d.).

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misleading, as is the term “literary works,” found in the legislation of some countries. The range of works covered is far wider than it suggests and includes all kinds of expressions of original ideas, in literary, dramatic, musical, and artistic works, such as poetry, novels, movies, songs, as well as in scholarly, scientific, technical and related works, computer software, and architecture.55 In the USA the term used for this is “works of authorship.”56 Although industrial property is by no means irrelevant to LIS, in what follows, I concentrate on works of authorship (intellectual creations) and the protection thereof by means of copyright, with emphasis on scholarly and scientific works. Copyright applies to the “intellectual creations.” Ideas themselves are not protected by copyright unless they are fixed in a medium of some sort.

7.11.2 Purpose According to WIPO (2004, 3), States have two main reasons for enacting intellectual property legislation: One is to give statutory expression to the moral and economic rights of creators in their creations and the rights of the public in access to those creations. The second is to promote, as a deliberate act of Government policy, creativity and the dissemination and application of its results and to encourage fair trading which would contribute to economic and social development (WIPO 2004, 3).

For this purpose, intellectual property law gives the owners of intellectual property a “state-protected monopoly” (Farley and Kubiszewski 2015, 205) which entails exclusive ― but time-limited and conditional ― rights to decide by whom and how it may be used, and to be compensated for its use. Not only are intellectual property rights of limited duration, but they are also not absolute. For example, many copyright laws include provisions that permit certain forms of access to copyrighted works for the public good, without the permission of the

55 This wide scope is a mixed blessing, since the same provisions apply to works of all kinds. As a result, the term of copyright, has been extended repeatedly to ensure that copyright on such property as Walt Disney’s fictional characters does not lapse. A term of 50 or 70 years after the death of the author of a scientific article is ludicrous. 56 See Copyright.gov, “Copyright in general,” https://www.copyright.gov/help/faq/faq-gen eral.html, accessed 2018-05-26.

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copyright owner. After the statutory period of protection, the property becomes part of the “public domain”57 and can be used freely by anyone.

7.11.3 Stakeholders While the above statement by WIPO focuses on creators, and while it refers to the rights of “the public,” discussions of copyright usually deal with at least three distinct constituencies whose interests have to be addressed: creators, producers, and users. By producers, we understand the publishers, media houses, and other entities which commercialize or otherwise disseminate creator’s works. They package and market information-bearing products, such as books, films, or industrial products in which patents are utilized. In practice, they are usually the owners or assignees of the intellectual property, this having been ceded or “assigned” to them by the creators – who subsequently find themselves in a weak bargaining position (Ginsburg 2015, 3–4). Generally speaking, both creators and producers favour strong protection of intellectual property, although not all categories of creators are equally concerned about remuneration. Scholarly authors, for example, may be more concerned about recognition, in which case they will want to have their work widely available. Authors need a balance between protection (and the income it is supposed to ensure) and access.58 Few authors write without intending to reach an audience. Producers, who have incurred costs in producing information-bearing products, seek strong protection in order to recoup their investment and make a profit. Users include the general public, both current and future, who seek access to the work of the creators at minimal cost and with minimal effort. They favour little or no protection (cf. Ncube 2013, 371). If we bring Stakeholder Theory (discussed in Section 7.5) to bear on the publishing houses and the media corporations which mostly own the copyrights, we can identify the following interested parties:

57 “Public domain” refers to works that are not protected by copyright, patents or other intellectual property laws. “The public owns these works, not an individual author or artist. Anyone can use a public domain work without obtaining permission, but no one can ever own it.” Stanford University Libraries, “Welcome to the public domain,” http://fairuse.stanford.edu/ overview/public-domain/welcome/, accessed 2018-05-26. 58 Here the interests of authors of top-selling undergraduate textbooks and those of authors of specialized monographs will obviously diverge.

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Internal stakeholders include employees, managers and owners. D.J. Brown (2016, 65–70) has discussed the importance of investors (shareholders) in the commercial publishing of scientific, technical and medical journals. External stakeholders include a wider range: – Customers: readers, viewers, listeners, actual and potential; libraries purchasing publications for the use of their clients – Suppliers: authors and creators, including, translators, editors, compilers, adaptors, illustrators, photographers, cited authors, and others who have contributed to the work in various ways. In the case of films, musical, artistic and dramatic performances, there is a wider range of stakeholders, and in the case of media transmitted electronically, stakeholders such as telecommunications carriers, internet service providers, and manufacturers of computer hardware and software may also have to be considered (Kaye 1999, 8) – Banks and other creditors – Competitors: publishers are competing for both customers and authors. Publishers’ brands depend on the quality of the works they publish. For this they depend on recruiting authors. But because they enjoy a time-limited monopoly, the unique products they sell are not subject to competition. Even if it were longer, had many more references, and appeared in a first-rate journal, an article by Joe Bloggs on the structure of DNA cannot substitute for the classic paper by James Watson and Francis Crick (1953), which is little more than a page in length and has only six references, and for which the journal Nature holds the copyright – Special interest groups: these could include the research institutions employing authors, scientific societies, other research groups and laboratories, etc. – Governments and local communities: the public sector and other institutions funding the research on which the work is based, as well as the libraries in which the work is to be accessed – Pressure groups and NGOs or public interest bodies: for example, charities, support groups for persons with dread diseases or disabilities, library associations, author associations, freedom of expression advocates From this it is evident that the simple triad of authors, publishers and readers is an inadequate model.

7.11.4 Copyright owners and their critics It has been strenuously argued that since the nature of information as a resource is different from that of other economic resources, intellectual property

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rights are not identical to the rights to material property (Gross 2006, 108). As mentioned earlier, some theorists consider ‘intellectual property’ to be a contradiction in terms. However, powerful owners of intellectual property have during the last four decades exerted great pressure on governments and intergovernmental organizations to subject information to an owner-friendly market economy regime, for example by whittling away copyright exceptions,59 extending the duration of copyright, extending copyright to additional types of information content which were formerly free for all to use, introducing technological measures to prevent contravention and inhibit legal copying, and exacting harsher penalties for contraventions (Gross 2006, 109–15; Kapczynski 2008, 821–25; Farley and Kubiszewski 2015). These measures are justified by copyright holders on the basis that respect for copyright protects a major industry, and that strong copyright protection encourages creativity. This is illustrated by the following extracts from the website of the International Federation of Reproduction Rights Organizations: Copyright industries represent some 4–6% of the Gross Domestic Product (GDP) in developed countries. Frequently, they are the fastest growing sector of the economy and the most important contributor to the creation of new jobs. ... Copyright industries are important to the economy of a country, thus they should be adequately protected. Piracy has a most devastating effect both on copyright industries and on a nation’s economy. Annually, some 300 billion photocopies of copyrighted materials are made world-wide. The sheer volume of photocopying represents a threat to the creative industries if rightsholders are not properly remunerated. . . . ... The services provided by RROs benefit both rightsholders and users, and in the long run, society as a whole. Users are granted reasonable access to copyrighted material and copyright holders are compensated for use of their works. In 1999, RROs collected and distributed EUR 300 million to rightsholders world-wide.60

59 In the case of copyright, legislation typically contains ‘limitations‘ and ‘exceptions .’ The distinction between these two is not always clear. Gervais (2008, n. 2) stated that: “‘limitation’ refers to conditions on the exercise of copyright, including transforming an exclusive right into a right to remuneration (e.g. a compulsory license). An ‘exception’ is a full nonapplication of the exclusive right in a specific situation.” However, in his report to WIPO, Kenneth D Crews, does not maintain this distinction and uses exceptions as the generic term (Crews 2015, 7–8). 60 International Federation of Reproduction Rights Organizations, “Respect copyright – encourage creativity,” https://www.ifrro.org/content/what-ifrro, accessed 2018-05-21. “Copyright industries” is an interesting construct, which situates intellectual property in purely economic terms, to be dealt with on a par with other industries. Intellectual and artistic creativity is reduced to a commodity. As an author, I object to being assigned to the “copyright industries.” Note that the threat posed by “piracy” is commonly emphasized in arguments for strong protectionism.

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Critics of this line of argument point out that the effects of the above-mentioned measures are to keep more information out of the public domain for longer, making it more difficult and expensive ― often prohibitively so ― for users to access and use it. This is thought to put a brake on research and scholarship, and to inhibit technical innovation and the improvement of human services such as medical care (for examples cf. Nicholson 2009). Cases where drugs needed to treat life-threatening conditions such as HIV/AIDS (e.g. Agada et al. 2009) have been prohibitively expensive as a result of patent protection, cause much indignation. Intellectual property restrictions affect the less affluent members of society more than the wealthy. As a result, intellectual property has become an arena of conflict, in which issues of ethics and social justice have been raised.

7.12 Intellectual property in international context 7.12.1 Globalization and concentration of control The international implications of intellectual property rights are best considered against the background of globalization. Globalization affects access to information in various ways. It stimulates intellectual awareness and collaboration among scholars across national boundaries, generating demand for publications regardless of country of origin. Globalization also allows publishing houses to become global players, buying up rivals as well as local publishers in developing countries. Large publishing houses themselves merge or get absorbed into large multinational media corporations with big market shares – a trend which was well under way before the advent of the internet (Golding 1978). In the USA, a small number of major publishing houses account for the lion’s share of the book industry. A small number of major media corporations in a handful of countries control the world’s media industry. Publishing and media companies may be bought up and become part of a conglomerate controlled by a corporation of which the holdings are mainly in other industries (Dick 2002b, 97–100). The result is concentration of power in the market for information. This is certainly true of scholarly journal publishing, as shown in a study in which 45 million documents published between 1973 and 2013 were analysed. It was found that the top five publishers have been increasing their share of published output, especially since the advent of electronic publishing. In 2013, they accounted for more than 50% of all scientific papers published (V. Larivière, Haustein, and Mongeon 2015b). Concentration is particularly marked in the publishing of scientific, technical and medical (STM) journals. In

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January 2015, the merger of Springer and Macmillan led to the creation of the world’s second largest scholarly publisher, after Elsevier (Bosch and Henderson 2015). The big five scholarly publishers are located in just four countries, the USA, UK, the Netherlands and Germany. This degree of concentration contributes to the ability of journal publishers to raise prices at a rate which is comfortably higher than inflation and to maintain profit margins of 30–40% on their scientific, technical and medical (STM) titles (V. Larivière, Haustein, and Mongeon 2015a, 106). D.J. Brown (2016, chap. 7) has described STM publishing as “dysfunctional.” The long-term trend of rising prices has squeezed library budgets in developed countries since the 1980s and has been referred to frequently as the “serials crisis” (e.g. Das 2015a). According to a study by Higher Education Strategy Associates (n.d.) of scientific journal purchases by U.S. academic libraries, between 2000 and 2016 average journal prices in U.S. dollars rose by 107% after inflation, that is roughly 5% per year. Although these figures may not adequately represent the cost to libraries of serials subscriptions,61 there is general concern among librarians, academics, and university administrators about the increases in journal pricing. A special concern is the cost of publishers ‘big deals,’ in terms of which libraries purchase access to bundles of journals, not all of which are needed by their institutions. At the time of writing, in mid-2018, an increasing number of institutions and consortia were refusing to renew licence contracts with major publishers such as Elsevier.62 Rising prices and growing resistance on the part of buyers as well as the advent of the ‘open access’ movement (discussed in Chapter 8) are symptoms of a larger problem: the scientific publishers and the scholarly community are struggling to adapt to the new digital environment. While the major publishers, especially those publishing STM journals, constitute a powerful lobby in national legislatures, especially at the U.S. Congress, and at the European Commission, they face a

61 The report by Strategy Associates was based on the annual surveys of journal prices published in Library journal. It has been argued that these figures are based on list prices for print subscriptions and do not therefore reflect real costs to libraries, which increasingly subscribe to online journal packages. It has also been argued that since the number of articles published per journal title has been rising steadily, it would be more meaningful to calculate the cost per article rather than per journal title. In this case it can be shown that the average cost has remained stable (Gantz 2012). 62 E.g. OpenAccess.se, “Sweden stands up for open access – cancels agreement with Elsevier,” http://openaccess.blogg.kb.se/2018/05/16/sweden-stands-up-for-open-access-cancelsagreement-with-elsevier/, accessed 2018-05-21; Inside Higher Ed, “Florida State cancels bundled journal deal with Elsevier,” https://www.insidehighered.com/quicktakes/2018/04/26/flor ida-state-cancels-bundled-journal-deal-elsevier, accessed 2018-05-21.

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growing lobby of information creators and users, and of funding bodies having to pay for access to information on behalf of users. The effect of globalization is also seen in general book publishing and bookselling. The dominance of English as the international language of business, education and science ensures that British and American publishers have global markets. Partly as a result, publishing in many developing countries is underdeveloped, book production is inadequate, and users buy imported books, which are very expensive in local currencies (J. Feather 2013, 126–27). However, international development agencies and national governments of developing countries are also to blame for failing to foster the development of local publishing industries. The internet has given rise to major online retailers such as Amazon.com and Alibris, which provide access to a very wide range of books, both new and second-hand. Their business model allows them to undercut high street and campus booksellers, with the result that many, including Borders, a major U.S. chain, have gone out of business.63

7.12.2 Harmonization A significant international trend in intellectual property is harmonization, by which is meant, not imposing a single law on different countries, but bringing their national legislation into line with a set of agreed legal principles. Harmonization of intellectual property entails potential benefits as well as risks. In the case of the European Union, harmonization of copyright would benefit libraries and their users in that this could make possible or simplify cross-border access to copyrighted material (e.g. EBLIDA et al. 2016). However, there are also risks. Harmonization makes it easier for copyright holders to detect and prosecute infringements, and in the legislative process the powerful publishing lobbies may try to insert restrictive clauses in treaties or agreements which may have the effect that countries with more liberal copyright legislation are forced to restrict or rescind the exceptions and limitations in their laws. Thus, various interest groups, such as, IFLA, the European Bureau of Library, Information and Documentation Associations (EBLIDA) and the (American) Library Copyright Alliance

63 Competition from Amazon.com was not the only reason for the demise of Borders. Decades of bad business decisions were to blame, including failure to adapt to the shift to online shopping (Sanburn 2011). The demise of the major bookselling chains in the USA has been mitigated by a resurgence of independent bookseller. See American Booksellers Association, “Independent bookstores are thriving,” http://bookweb.org/for-the-record, accessed 2018-05-21.

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(LCA) have to be vigilant and conduct intensive advocacy at the relevant international forums.

7.12.3 Impact on developing and emerging countries At the international level, intellectual property restrictions affect the flow of information from the developed countries to the developing and emerging countries.64 The experience of Asian countries such as Japan (now regarded as part of the North) and of Singapore and South Korea, which are often reckoned among the countries of the North, shows that scientific and technical information plays a very important role in economic development (J. Feather 2013, 114–20). The South Commission’s Report (1990, 39–44) described the South’s continuing scientific and technological dependence on the North. Almost thirty years later, a web-based citation analysis which quantified global knowledge flows showed that, although Asia has seen considerable growth in scientific productivity, the world’s dependence on knowledge produced in North America and Western Europe has increased. The other regions of the world remain net importers of knowledge, by a very wide margin (Mazloumian et al. 2013). It is commonly stated that, lacking the necessary financial and human resources, these regions produce much less intellectual property than the North and need to import information as a resource for development (e.g. Nicholson 2009, 26–27), although this may be overstated because much of their output is not visible in the English-speaking world. Copyright fees and patent royalties contribute to the high cost of student textbooks, journal literature, industrial technology, life-saving medications, software and the like. The effect of continuing journal price increases is exacerbated by unfavourable exchange rates in developing countries. As the dollar gets stronger, their purchasing decreases (Bosch and Henderson 2015). At the turn of the century, Arunachalam (2003) described a situation in which researchers in the South were seriously disadvantaged not only because of their lack of access to research literature, but also because lack of access to ICT prevented them from taking part as equal partners in publishing, refereeing

64 Various terms have been used to refer to developing countries. These are discussed in Chapter 10, Section 10.6. Here the terms ‘South’ (which has more pronounced political-economic connotations) and ‘developing countries’ are used interchangeably, depending on the context, while the term ‘emerging countries’ refers to those “in between,” either because they are ‘emerging’ from the effects of communism, or because they have shown significant economic growth and are ‘emerging’ as significant players in the world economy.

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submissions, and other scholarly collaboration. He claimed that the advent of the new technology had made matters worse. Since then the chorus of such laments has decreased somewhat, possibly thanks to the various mitigating and remedial initiatives to be described below. However, access to educational material remains a problem in the South. Reporting on a study of eleven countries in Asia, Consumers International (2006) stated that “copyrighted educational materials are indeed prohibitively priced in developing countries and in that manner pose a barrier to access to knowledge” (2006, 3). Access to texts for higher education remain a problem in Africa (Armstrong et al. 2010) and even highly regarded universities in South Africa struggle to pay for journal subscriptions (Habib 2011). Critics of the intellectual property regime argue that the South faces restrictions on access to knowledge which did not apply when the developed countries were at an analogous stage of development. From the point of view of development economics, the intellectual property regime should be related to a country’s development trajectory (Drahos 2010, 199–200). “Piracy” in the sense of unauthorized publication of works by British authors was rampant in the USA from the eighteenth century and during the nineteenth. While on his 1842 lecture tour to the USA, the British novelist Charles Dickens made himself highly unpopular by complaining about piracy of his books. American publishers at the time could not survive without publishing pirated books from England and Europe.65 In fact, the USA only joined the Berne Convention in 1989, after it had become a net exporter of intellectual property (Nicholson 2009, 26). Piracy is a ‘loaded word,’ which critics say is used as a pretext for restrictive copyright rules, for ‘clamping down’ and for harsh measures against transgressors. It has been argued that in the USA the trend to depict ‘intellectual property theft’ as a national cybersecurity threat serves as a justification for enhanced surveillance and control over the internet (Halbert 2016). From a Marxist perspective, Mylonas (2011, n.p.) has defined piracy as “a negative term describing the worldwide popular practice of sharing, distributing and consuming cultural and intellectual goods without authorization,” and has problematized the term as “a hegemonic discourse and technology of control.” It is true that in many countries such unauthorized use is widespread; in developing countries one sees copy shops at the gates of university campuses openly making illegal copies on demand for students who cannot afford to buy the originals. Copyright holders claim that they suffer immense losses as a

65 See The Victorian Web, http://www.victorianweb.org/authors/dickens/pva/pva75.html, accessed 2018-05-28.

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result. However, a study of copyright law and its implementation in eight African countries (Armstrong et al. 2010) showed that the prices of American and other Western textbooks are beyond the reach of African students. For them buying a pirated copy is not a discretionary option ― it is either a pirated copy or nothing. Writing about the study by Consumers International referred to earlier, in which prices of textbooks in Indonesia, Thailand and the USA were compared, Kanniah (2009) asserted that most copyrighted university textbooks are priced beyond the affordability of the average student. This leads to unauthorized photocopying.66 The complaint by publishers that piracy is eating into their sales is questionable, since in the absence of buyers there is no substantial market.

7.12.4 The drive to seek ever-stronger protection The distress caused in the South by the international intellectual property regime is a side-effect of “the central policy drive of both the United States and the European Union” to seek “ever-stronger proprietary protection” (Benkler 2010, chap. 9 p. 2). This process is motivated by assumptions about intellectual property which have been described as follows: The mainstream understanding of intellectual property by its dominant policy-making institutions – the Patent Office and U.S. trade representative in the United States, the Commission in the European Union, and the World Intellectual Property Organization (WIPO) and Trade-Related Aspects of Intellectual Property (TRIPS) systems internationally ― is that strong protection is good, and stronger protection is better. In development and trade policy, this translates into a belief that the primary mechanism for knowledge transfer and development in a global information economy is for all nations, developing as well as developed, to ratchet up their intellectual property law standards to fit the most protective regimes adopted in the United States and Europe (Benkler 2010, chap. 9 p. 12).

To maximize profits, media and publishing corporations continue to press for more restrictive copyright laws, lobbying for extension of the term of copyright and of the range of materials covered, and trying to whittle away at the established exceptions and limitations, which allows works or parts of works to be copied for certain educational and library purposes. The wealthy nations, more

66 Kanniah (2009, 49) illustrated this point by calculating that for an Indonesian student an American text costing US$82 would amount to the equivalent of US$3,171 if adjusted for the difference in GDP per capita, or US$913 calculated at purchasing power parity (PPP) exchange rate.

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particularly the USA and the European Union (EU), have taken the lead in setting international standards to ensure that the interests of IPR owners are better protected. There is a strong drive to ensure that these interests are also protected in the developing countries (Rikowski 2005). Here digital works are particularly targeted. Two mechanisms are used in this drive: international treaties under the auspices of intergovernmental organizations, and bilateral and multilateral free trade agreements. In both of these mechanisms, pressure is exercised using a “carrot and stick” approach. The “stick” is the imposition of prohibitive tariff barriers and loss of competitive advantage if developing countries do not join up. The “carrot” is the opening of large, apparently lucrative markets in the North to them. Here harmonization is abused to enhance protection of the intellectual property of the most developed countries. Developing countries may even be required to adhere to requirements that are more stringent than those that apply to the internal market of the dominant partner (Nicholson 2009). The result is that those developing countries may fail to incorporate in their legislation all the available limitations and exceptions that could be used to open up access to knowledge for their populations (Consumers International 2006). Instead, such access is inhibited by high copyright fees. Unfortunately, the “carrot” sometimes turns out to be disappointingly small, when various rules and standards are applied in such a way that access to markets in the North is not nearly as free as promised.

7.12.5 Intellectual property treaties One of the first treaties relating to intellectual property is the Paris Convention for the Protection of Industrial Property, first agreed in 1883.67 This laid the basis for the international patent system. The oldest international copyright treaty is the Berne Convention for the Protection of Literary and Artistic Works (the Berne Convention), first agreed in 1886, and subsequently revised and expanded (IFLA 2002). It has 174 contracting parties (signatory countries).68 Two major inter-governmental organizations together control the international intellectual property regime, the World Trade Organization (WTO) which governs international trade generally, and the World Intellectual Property Organization (WIPO), which has a narrower focus. 67 WIPO, “Paris Convention for the Protection of Industrial Property,” http://www.wipo.int/ treaties/en/text.jsp?file_id=288514, accessed 2018-05-28. 68 WIPO, “WIPO-administered treaties,” http://www.wipo.int/treaties/en/ShowResults.jsp? treaty_id=15, accessed 2018-05-28.

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The WTO (which is not a UN agency) is the successor of the General Agreement on Tariffs and Trade (GATT), which was established after the Second World War, largely at the instigation of the USA, to establish and enforce rules for the international trading system. GATT hosted eight rounds of multilateral trade negotiations, and the WTO was established in 1995 by the last of these, the Uruguay Round of 1986–1994. The Uruguay Round also concluded a number of other agreements, including the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) (VanGrasstek 2013, chap. 1). The TRIPS Agreement requires all countries to implement very high levels of protection in various areas of intellectual property, including patents, protection of plant varieties, and copyright. In the case of copyright, it imported most of the provisions of the Berne Convention (Kapczynski 2008, 824). This means that all countries, including the South, are required to comply with a range of copyright protection measures. The TRIPS requirements, which are based on the legislation of the North, impose hardship on the South, since in many cases they are more restrictive than those incorporated until then in the South’s legislation. For example, the duration of copyright protection was extended to the life of the author plus fifty years (IFLA 2002; Nicholson 2009, 27–28). The TRIPS Agreement is administered by the WTO in cooperation with WIPO, which had been set up in 1970, becoming a UN agency in 1974. WIPO administers a number of treaties relating to intellectual property, including the Berne Convention. WIPO has a close relationship with the WTO (VanGrasstek 2013, 178; Kapczynski 2008, 824). All members of the WTO are bound by the TRIPS Agreement; and since the WTO has powers of enforcement in the full spectrum of trade relations, this indirectly gives WIPO treaties “teeth.” In 1996 a third international copyright treaty was concluded: the World Intellectual Property Organization (WIPO) Copyright Treaty (WCT), which entered into force in 2002. Ostensibly intended to adapt the copyright regime to the new digital media, it expanded the scope of copyright in several ways and also requires signatories to enact legislation to prevent the circumvention of technological copyright protection measures (TPMs). These cause problems because they may prevent users from gaining access to materials to which they are entitled (Kanniah 2009, 45).

7.12.6 Trade agreements The second mechanism used by the North in the drive to extend protection of intellectual property worldwide is that of bilateral or multilateral trade agreements, called free trade agreements or economic partnership agreements, which

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reduce or remove restrictions and tariffs on cross-border traffic between the contracting countries. In such agreements the USA, the EU and some other wealthy countries offer a “carrot” by opening up some access to their markets to individual countries or groups of countries in the South. For such access, conditions are set with which the South must comply. Such conditions may include accepting exports of cheap, subsidized agricultural products from the North, putting at risk the livelihoods of local farmers.69 Agreements with the USA or the EU usually contain a chapter on intellectual property which requires the South to enact legislation extending protection of intellectual property beyond what is already required by TRIPS, hence these chapters are referred to as TRIPS-PLUS (Nicholson 2009, 27). For example, the USA-Singapore Free Trade Agreement, seen as a model for U.S. negotiation with other countries in South-East Asia, requires Singapore to join the WIPO Copyright Treaty. This adds various restrictive intellectual property restrictions, for example an extension of the term of copyright to the life of the author plus seventy years (Kanniah 2009, 49) and the criminalization of unauthorized circumvention of TPMs (Kapczynski 2008, 824). In negotiations on bilateral trade agreements, small, poor countries desperate to sell their products in major markets of the North are in a very weak bargaining position when facing a team of skilled trade negotiators in Brussels or Washington. In the case of multilateral trade agreements negotiations are typically conducted with disturbing secrecy, for example the Anti-Counterfeiting Trade Agreement (ACTA) (Pilch 2009c), and the US-EU trade agreement, known as the Transatlantic Trade and Investment Partnership (TTIP) (Electronic Frontier Foundation 2013).70 Following on from TRIPS the efforts of intellectual property holders and their governments to extend intellectual property have shifted to bilateral trade agreements (Drahos 2010, 207–9). Concern has been expressed that free trade agreements are being used as a divide-and-rule tactic, as a means of bypassing complex and timeconsuming negotiations at WIPO and the WTO, where the South has become more united and better organized, and as a tool to gain leverage at WIPO:

69 A typical example: in order to continue enjoying the trade benefits of the US African Growth and Opportunity Act (AGOA), South Africa was forced in 2016 to agree to importing 65,000 tons of US “bone-in” chicken duty-free per year, putting at risk many jobs in the local poultry industry (Health24, “Unwanted American chicken dumped in South Africa,” http:// www.health24.com/Diet-and-nutrition/Food-safety/unwanted-american-chicken-dumped-insouth-africa-20160324, accessed 2018-09-14. 70 ACTA was signed in 2011 but is not yet in force as it has not yet been ratified by enough states. The European Parliament voted against it by a large margin in 2012 (Politico, “Anti-piracy agreement rejected,” https://www.politico.eu/article/anti-piracy-agreement-rejected/, accessed 2018-05-28). In 2017, shortly after taking office, US President Donald Trump cancelled US participation to the Trans-Pacific Partnership (TTP) and scrapped the TTIP (O’Grady 2017).

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Bilateral trade negotiations are one domain that is beginning to play an important role. In these, the United States or the European Union can force a rice- or cotton-exporting country to concede a commitment to strong intellectual property protection in exchange for favorable treatment for their core export. The intellectual property exporting nations can then go to WIPO, and push for new treaties based on the emerging international practice of bilateral agreements. This, in turn, would cycle back and be generalized and enforced through the trade regimes. Another approach is for the exporting nations to change their own laws, and then drive higher standards elsewhere in the name of “harmonization”. Because the international trade and intellectual property system is highly “playable” and manipulable in these ways, systematic resistance to the expansion of intellectual property laws is difficult (Benkler 2006, chap. 9 p.13).

In these circumstances it is not surprising that ethical concepts such as social justice, human rights, and the common good are being brought to bear on the problems of North-South information flow (e.g. Lor and Britz 2005; Britz, Lor, and Bothma 2006) and that alternative agendas are being put forward, such as a human rights-based agenda for “communication rights for the information age,” according to which nations retain sovereignty over their domestic information policies, the “intellectual commons” is protected, intellectual property rules serve to promote, not inhibit, creativity, and intellectual property rules shrink, not increase the knowledge gap, among other principles (Gross 2006). I note in passing that intellectual property issues do not only arise in relation to the North-South flow of information. Attention also has to be paid to a different kind of “piracy” occurring in the South-North flow of information, namely attempts by powerful corporations in the North to patent indigenous and traditional knowledge (e.g. Britz and Lor 2003, 169–70) and to appropriate intangible cultural heritage (e.g. Oguamanam 2009).

7.13 Contesting intellectual property Moves to extend intellectual property have elicited fierce resistance from disparate groups including students, AIDS activists, computer programmers and farmers, who are challenging copyright law, drug, software and seed patents, and licensing practices which impede the creation, development, communication and sharing of knowledge.71 A general, but heterogeneous resistance movement

71 This is just one factor in the emergence of a resistance movement. For an in more in-depth analysis, see Benkler (2010, 218–23), who identified four major contributory trends: “the rise of a globalized, liberal trading system, the rise of the information economy, the subsequent genesis of a networked information society. . .and. . . the rise of human rights in general as an ideal and the idea of development as freedom” (p.223).

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has emerged, which advocates for free or less restrictive access to information and knowledge. Here I outline the theoretical bases of the resistance. Several clusters of concepts recur in the theoretical literature opposing the extension of intellectual property rights: a cluster using the terms ‘public goods’ and ‘the public good,’ and a cluster using the terms ‘the commons,’ and the ‘enclosure of the commons.’ With some exceptions (e.g. Jayaraman and Kanbur 1999; Kurbalija 2012; Ros-Galvez and Rosa-Garcia 2015), authors stick to terminology from one of the two clusters.

7.13.1 Information/knowledge as a public good In the first cluster, the expression ‘public good,’ occurs with two meanings. When used in the plural (‘public goods’) and (mostly) in the singular preceded by the indefinite article (‘a public good’), it refers to the countable entities discussed in Section 7.9 above. Here ‘public good’ is an economic concept, with much emphasis on the distinction between public and private goods. The nature of information goods as not being (absolutely) rivalrous and excludable, so that they cannot be dealt with as private property or as a commodity, is central to the argument against the extension of intellectual property rights. The authors using this terminology are mainly economists. In a chapter devoted to the definition of public goods, Kaul, Grunberg and Stern (1999a) stated two criteria for global public goods which they discussed at some length: The first is that their benefits have strong qualities of publicness – that is, they are marked by nonrivalry in consumption and nonexcludability. These features place them in the general category of public goods. The second criterion is that their benefits are quasi universal in terms of countries (covering more than one group of countries), people (accruing to several, preferably all, population groups), and generations (extending to both current and future generations, or at least meeting the needs of current generations without foreclosing development options for future generations (pp.2–3).

Stiglitz (1999, 310–11) has discussed the concept of knowledge as a global public good. Essentially Stiglitz transposed to the global level the concept of information as a public good. His argument is primarily an economic one, concerned with externalities inherent in the dissemination and use of knowledge, and with balancing “static inefficiency” and “dynamic efficiency.” “Static inefficiency” results from the protection of intellectual property, which limits and delays access. “Dynamic efficiency” results from the rapid

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availability of the new knowledge for innovation and as an input for the production of further knowledge. Describing global public goods as public goods of which the benefits are not limited geographically to a particular country, he identified five such global public goods: international economic stability, international security, the international environment, international humanitarian assistance and knowledge. Although some knowledge may be of limited interest outside a given country, scientific truths are not. The benefits of basic research, in particular, are “widespread and diffuse” (p.314). Developing countries are very dependent on the developed countries for the knowledge derived from research and development. However, the intellectual property system (in this case, patents) gives developed countries most of the bargaining power. In the case of patents, for example, it allows intellectual property owners to charge developing countries high prices, even in cases when much of the intellectual property is based on pre-existing knowledge derived from the developing country.72 “Stronger” intellectual property rights are not necessarily better: Stronger, in the sense of “tighter” protection, could not only have large distributive consequences (between, say, developed countries and less developed countries), but also large efficiency consequences, with the pace of innovation actually impeded and living standards in less developed countries diminished (p.315).

Stiglitz therefore argued for an “international intellectual property regime, designed to facilitate the production and use of the global public good – knowledge – in a way that sustains high rates of growth and is consistent with broad notions of equity. . .” (Stiglitz 1999, 316). Writing about internet governance, Kurbalija (2012, 165–66) discussed the concept of a global public good in relation to the internet. Nuss (2010) critiqued the concept from a Marxist perspective.

7.13.2 Information for the public good When ‘public good’ occurs in the singular preceded by the definite article, in the expression ‘the public good,’ it denotes an abstract concept of beneficence, with moral and ethical connotations, where the beneficiaries are not limited to any particular group or groups in society. For example, referring to the WIPO

72 For example, in cases where patents are awarded in developed countries for medicines based on traditional knowledge from the developing world.

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Development Agenda (discussed in Chapter 8), Pilch (2009b, n.p.) wrote that the Agenda was intended “. . .to ensure that intellectual property law and policy continue to serve the public good . . . in all parts of the world, and that intellectual property serve all sectors of society.” Discussing moral aspects of NorthSouth and South-North information flows Lor and Britz (2005, 62) contrasted public good and private interests. Discussing the obstruction of access to HIV/ AIDS medications in Africa, Mahood (2015, 31) contrasted public good and private profit. The disciplinary background of authors using this terminology is varied but they include librarians and information workers.

7.13.3 The commons and its enclosure The second cluster of concepts has to do with information or knowledge as public or private domain, using the metaphor of a “commons” and its “enclosure.” The commons in question is variously termed the “information commons”73 (e.g. Gross 2006; Benkler 2010), “knowledge commons“ (e.g. Morrison 2015, 256) or “intellectual commons” (e.g. Kapczynski 2008, 829). 74 Several of the leading authors using this terminology have a background in law, including Harvard University law professor Lawrence Lessig (2001), a leading advocate for the commons and founder of Creative Commons.75 The term “enclosure” is a reference to the enclosure movement in Eighteenth Century England in which common land was fenced off and turned into private property. This is said to have had beneficial effects in increasing agricultural efficiency and productivity, but at the same time it destroyed rural communities and created a landless proletariat (Boyle 2003, 34–36). In this century, as “the enclosure of the intangible commons of the mind,” the concept of “enclosure” has been applied to refer to “things that were formerly thought of as either common property or uncommodifiable.” These are being made subject to new property or extended property rights (Boyle 2003, 37). P.W. Elliott and Hepting (2015, 4) 73 The term ‘information commons,’ is also used in a much narrower sense to refer to a particular physical configuration of learning and research facilities in academic libraries more often referred to as a learning commons (e.g. Beagle 2006). 74 Some authors prefer the term ‘public domain’ to ‘commons,’ contrasting it with the ‘enclosed domain’ (e.g. Benkler 1999, 361–63). Benkler offered the following functional definition of the public domain: “The public domain is the range of uses of information that any person is privileged to make absent individualized facts that make a particular use by a particular person unprivileged” (p.362). 75 Creative Commons, “Lawrence Lessig,” https://creativecommons.org/author/lessig/, accessed 2018-05-28.

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defined a “knowledge commons” as “a public place where knowledge is made freely accessible for the public good.” As globalization proceeds, the enclosure of the information or knowledge commons has serious consequences for the developing world, for access to knowledge and information is a determinant of global wealth and power (Balkin 2006, n.p.) The notion of a ‘commons’ has become widespread among U.S. interest groups since the 1990s, especially among environmentalists who used the concept to serve as a philosophical framework for their advocacy.76 They were advocating for the recognition and management of certain shared natural resources (such as the atmosphere, the oceans, groundwater, wilderness, and beaches) as commons. These they saw as “resources that everyone has a moral if not legal interest in, and which should be managed for the benefit of all” (Bollier 2007, 31–32). Hess and Ostrom (2007, 10–13) sketched the evolution of the commons concept in the USA and pointed out that an information commons is different from a natural resource commons. A resource such as forests or water cannot be open to a free-for-all, as it could be degraded and depleted, while in general providing open access to information and knowledge will not deplete it. On the contrary, open access to information provides a universal public good (Hess and Ostrom 2007, 13). This attribute has been called “the cornucopia of the commons.” As we saw earlier, it corresponds to what economists call “network effects.” The more people use the resource, the more value is created (Bollier 2007, 34). Discussing the enclosure of the knowledge commons from a library perspective, Kranich (2007) pointed out that the advent of the internet had promised unimpeded access to abundant resources. However, the same technologies that enable unfettered access also enclose these commonly shared resources, thereby restricting information choices and the free flow of ideas. As a result, many of the scholarly resources formerly available through libraries are now enclosed, unavailable from the commons where they were openly shared in the past (p.85).

Kranich (2007, 86–88) cited the privatization of government information, increasing corporate control through technological protection measures, licensing and digital rights management techniques, commercialization of journals formerly published by scholarly societies, soaring prices of scholarly journals, and other symptoms of the concentration of control referred to 76 The concept of ‘enclosure of the commons’ was popularized among environmentalists through a seminal article by the ecologist Garrett Hardin (1968) on “the tragedy of the commons,” where “tragedy” results from over-exploitation of unregulated common resources. The inevitability of this outcome has been challenged (e.g. Elahi et al. 2013, 142).

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earlier in this section as they have affected libraries. Librarians have therefore joined forces with scholars and other affected parties in world-wide collective action to counter the enclosure.

7.14 Conclusion In this chapter the range of issues and the role-players in the political economy of information have been explored. The relative power of three sectors of society, civil society, the private sector, and the public sector, and how they interact, are important in determining access to information and knowledge in individual countries and internationally. Emphasis was placed on intellectual property as a contested field. This provides the background to the Access to Knowledge movement and the global flows of information that are dealt with in Chapter 8.

8 Access to knowledge and global flows of information (1) Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in scientific advancement and its benefits. (2) Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or artistic production of which he is the author (Universal Declaration of Human Rights, Article 27). The generation of knowledge is only one part of the research process; for knowledge to be useful, it should be shared with other researchers and communicated, in a suitable format, to different users/stakeholders. Every scientist also would like his/her work to be used by others. In fact, scientists dream of their papers becoming citation classics. Thus, information and communication are two very important aspects of research (Arunachalam 2003, 134). Limits to people’s freedom to collect and share information are unacceptable, except for the purpose of protecting the rights of individuals (Píratar, “Core policy of the Icelandic Pirate Party,” https://piratar.is/english/core-policy/, accessed 2018-06-08).

Outline 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13

Introduction 415 The access to knowledge movement 416 Mitigating intellectual property restrictions 419 Pushback: international advocacy for access 421 Open access 429 Other legal strategies 435 Radical and extra-legal resistance 436 Globalization and information flows 438 Global information flows: North – South 440 Global information flows: South – North 446 Global information flows: South – South 454 Global information flows: North – North 457 Conclusion 459

8.1 Introduction As an introduction to this chapter, the reader is invited to consider the following vignettes:

https://doi.org/10.1515/9783110267990-008

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A teacher working in a Malawian NGO which conducts literacy programmes in poor rural areas, finds a reference to an article entitled “Library and information services in marginalised and under-resourced communities in South Africa: ecosystem services and their implications” (Mojapelo and Dube 2017). Following the link, she finds a promising abstract, and is offered access to the full text of the article at 30 Euros, 42 U.S. Dollars, or 23 Pounds Sterling. The per capita gross national income (GNI) of Malawi in 2015 was USD 250,1 which works out at 20.83 U.S. Dollars per month. A team of students enrolled in the Master of Library and Information Science degree at an American university were tasked with producing a country report on LIS in Peru. Although all three had some high school or college Spanish, the bibliography of their report contained only a handful of items in Spanish, and even fewer items published in Peru. They had found it difficult to identify such material, and also to evaluate and use it because of lack of familiarity with Spanish LIS terminology and concepts. In addition, names of Peruvian institutions, laws, and library qualifications did not correspond to those in the USA. On a visit to a large campus bookshop in a major U.S. city and wanting something absorbing to read on a long flight home, this author was unable to find any detective mysteries in German, French or Italian. Six months later, in a bookshop in the relatively small German city of Münster, he found a large section of foreign literature in various languages, including hundreds of detective fiction titles in English, along with many translations into German of English and other foreign fiction titles. “In 2012, a patron at Columbia University requested two pages from an early twentieth century literary journal found only at the British Library. Although the Library had the journal, it was not allowed to send the pages. The patron couldn’t comprehend the refusal” (U.S. librarian, cited by Hackett 2016b, 9).

These cases illustrate aspects of the global flow of information, and of politicaleconomic and other constraints inhibiting it. Here the exploration of politicaleconomic factors that was initiated in the previous chapter is followed up, with the emphasis on access to knowledge and global information flows between major regions of the world.

8.2 The access to knowledge movement Some of the resistance to what are seen as an unjustified and extortionate intellectual property system, described in Chapter 7, has coalesced under the

1 The Nation, “Malawi has world’s lowest income per person – report,” http://mwnation.com/ malawi-has-worlds-lowest-income-per-person-report/, accessed 2018-06-08.

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banner of A2K (access to knowledge). A2K is an interconnected international movement that encompasses “activist efforts to challenge the contours of intellectual property law,” as a reaction to structural trends in technologies of information processing and in law, and as an emerging conceptual critique of the narrative that legitimates the dramatic expansion in intellectual property rights that we have witnessed over the past several decades (Kapczynski 2010, 17).

Here I use ‘access to knowledge’ (A2K) as an umbrella term for A2K proper and related movements such as A2M (Access to Medicines). These have been subjected to much critical and scholarly scrutiny, being seen as examples of very diverse coalitions and of international civil society in action (e.g. Kapczynski 2008; Atteberry 2010; Benkler 2010; Muñoz Tellez and Musungu 2010; Gómez and Bongiovani 2012). In a comparison of the A2M and A2K movements, Marcellin and Kawooya (2014) asserted that the A2K campaign is less focussed; the issues are more complex, there is a lack of agreement on the issues and how to deal with them, and the movement lacks leadership. However, a good outline of the thrust of the movement can be found in the Adelphi Charter (‘Adelphi Charter on Creativity, Innovation and Intellectual Property’ 2005). This statement was drafted by an international commission of lawyers, economists and academics, including some of the leading theorists in the field. The Commission had been set up by the Royal Society for the Encouragement of Arts, Manufactures & Commerce (RSA). The Charter states a number of principles, including the following: 1. 2. 3.

8.

Laws regulating intellectual property must serve as a means of achieving creative, social and economic ends and not as ends in themselves. These laws and regulations must serve, and never overturn, the basic human rights to health, education, employment and cultural life. The public interest requires a balance between the public domain and private rights. It also requires a balance between the free competition that is essential for economic vitality and the monopoly rights granted by intellectual property laws. ... Intellectual property laws must take account of developing countries’ social and economic circumstances (pp. 4–5).

Since precise definitions of access to knowledge are lacking, it is difficult to measure progress. Shaver (2008a) proposed an A2K index which would assess five key dimensions of how well countries promote access to knowledge: “education for information literacy, access to the global knowledge commons, access to

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knowledge goods, an enabling legal framework, and effective innovation systems” (pp. 237–238). A number of indicators were proposed for each of the areas identified within each dimension. This yields a multi-facetted view of access to knowledge at the national level and is also of interest methodologically as an instrument for cross-national comparisons. Elsewhere, Shaver (2008b, 12) observed that in academic studies access to knowledge was primarily conceptualized within the framework of economic development, but that there is potential for it to be advanced within a human rights framework. Essentially A2K is both a campaign slogan and a movement that opposes the expansion of restrictive intellectual property law. It aims at the adoption of national and international policies and legislation that are based on justice, recognize the importance of knowledge for human development and well-being, and encourage the world-wide sharing of knowledge. Balkin (2006, n.p.) has stated three basic theoretical propositions concerning A2K: Access to knowledge is (1) “a demand of justice,” (2) an “issue of economic development and an issue of individual participation and human liberty,” and it is (3) not only about access to intellectual property but also about technological, legal and policy constraints (Balkin 2006). Internationally, the A2K movement comprises, or coincides with, a variety of proposals, actions and programmes, not all of which would be approved of by the RSA’s distinguished panel. I have grouped these under the five approaches which are discussed in the following sections: – Mitigation of the restrictive effects of intellectual property (Section 8.3) – Pushback: international advocacy to restrain and roll back the increasing restrictions imposed by intellectual property rights (Section 8.4) – Open access (Section 8.5) – Other alternatives to the intellectual property rights system (Section 8.6) – Radical and extra-legal resistance to the intellectual property regime (Section 8.7). In what follows, the emphasis is on scholarly communication. In this context, attitudes to the intellectual property regime and the positions and initiatives taken in response to it, can be placed on a continuum ranging from acceptance (explicit or implicit) of the intellectual property system, through increasing resistance, to rejection of it. This is depicted in Figure 8.1.

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Acceptance

Ambivalence, Resistance

Rejection

Pay subscription/ licence fees Mitigation schemes

Pushback; Advocacy

Section 8.3 E.g. HINARI, INASP, Consortia

Section 8.4 E.g. Marrakesh Treaty

Open access Section 8.5 E.g. Open archives OA repositories OA journals

Nonproprietary alternatives Section 8.6 E.g. Creative commons, Copyleft

Avoidance Section 8.6 E.g. Unpaywall

Evasion; Piracy Section 8.7 E.g. ResearchGate

Figure 8.1: Acceptance/rejection of the intellectual property system.

8.3 Mitigating intellectual property restrictions Since the 1990s various international initiatives and schemes have come into existence to meet the needs of developing countries for scientific and scholarly literature (Tenopir 2000; Rowland 2005; Malapela 2017). Two main types of mechanisms can be distinguished for access to subscription-based journals: free or subsidized access mediated mainly by UN agencies, and negotiated access schemes. (An increasingly significant mechanism, open access, is discussed in Section 8.5 below). The most significant mediated access programme is the Research4Life (R4L) programme, a public-private partnership of four intergovernmental organizations – the World Health Organisation (WHO), the Food and Agriculture Organisation of the United Nations (FAO), the United Nations Environment Programme (UNEP), and the World Intellectual Property Organisation (WIPO) – together with two U.S. universities (Cornell and Yale), and the International Association of Scientific and Medical Publishers. The programme provides eligible libraries and institutions with access to over 30,000 journals as well as other materials, through four portals: – WHO’s HINARI (originally standing for Health Internet Access to Research Initiative) – FAO’s AGORA (Access to Global Online Research in Agriculture) – UNEP’s OARE (Online Access to Research in Environment) – WIPO’s ARDI(Access to Research for Development and Innovation) (Malapela 2014, 70–74).

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In response to challenges identified in user communities, R4L has developed outreach and training programmes and a network of regional centres based in developing countries (Saric 2016). The R4L schemes have not been without controversy. For commercial reasons cooperating journal publishers may decline to provide access, or cut off access, to countries which do satisfy the criteria for free or inexpensive access (Morrison 2015). Countries such as China, Egypt, India, Indonesia, South Africa and Thailand have been excluded from HINARI because these countries offer sizeable commercial opportunities. Plans by a number of major medical publishers to withdraw free access to their journals by research institutions in Bangladesh and Kenya in 2011, gave rise to controversy about HINARI and raised questions as to whether the scheme is truly a development project (Koehlmoos and Smith 2011; Y. Sharma 2011). It is naive to assume that the motives of the participating publishers are entirely altruistic. The schemes do not provide open access, but access to subscription-based journals. By providing free or inexpensive access to these, the publishers are growing potential markets. Among the various negotiated access schemes, two stand out: the Programme for the Enhancement of Research Information (PERii, initially PERI) which is operated by the International Network for the Availability of Scientific Publications (INASP), and the EIFL licence negotiating scheme provided by Electronic Information for Libraries (EIFL). These organizations negotiate with journal publishers on behalf of libraries in certain developing countries for electronic access to journals at reduced rates. INASP and EIFL also have other programmes, which are referred to elsewhere in this chapter. There are various other initiatives that assist libraries in developing regions in providing their users with access to scholarly material. These include the JSTOR African Access Initiative, which provides access to materials in the arts, humanities and social sciences (Malapela 2014, 70–77) and The Essential Electronic Agricultural Library (TEEAL) from Cornell University’s Albert R. Mann Library (Vent 2005).2 The eGranary Digital Library offers libraries lacking internet connectivity a selection of internet sites downloaded onto a hard drive that can be loaded onto a local server or PC (Solis 2016). In developing countries with relatively sophisticated ICT infrastructure such as South Africa and Sri Lanka, academic consortia and national site licences have also been initiated as strategies to reduce the cost of access to subscription-based journals (Baker 2004; Kirsop and Chan 2005; Halland 2012;

2 For more current information, see TEEAL’s website: “teeal: a digital library for excellence in agricultural research and education,” https://teeal.org/, accessed 2018-06-08.

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Sekaram 2017), although it has been pointed out that there was little empirical evidence to support claims for their effectiveness (I. M. Johnson 2006). In many cases they were encouraged and assisted by EIFL. An informal group, the International Coalition of Library Consortia (ICOLC), provides an international platform for sharing experiences and collaboration. However, only 15% of its membership is located in the developing world (C. Feather 2015). Aid can have unintended consequences. These can also manifest here. One of the possible negative side-effects of programs to provide users in developing countries with access to major international journals is that the recipients may tend to overlook useful material produced in their own country or neighbouring countries. Such material may be particularly useful because it comes from the same or similar geographical, climatic, cultural, social and other contexts.

8.4 Pushback: international advocacy Campaigners for A2M were successful in pushing for an amendment to the Trade-Related Aspects of Intellectual Property (TRIPS) Agreement and helped to bring down significantly the prices of HIV/AIDS medicines in developing countries. They also lobbied the World Health Organization (WHO) to align medical research and development better with the health needs of the developing world (Kapczynski 2008, 806–8).

8.4.1 Advocacy for A2K Like A2M, the A2K movement (1999) has also worked internationally to resist the extension of intellectual property rights and roll them back, especially in as far as they are applied in developing countries. Gómez and Bongiovani (2012, 344) described the movement as focusing on “enhancing human capabilities to access, use and contribute to (create) knowledge,” in line with the capability approach to development of the Indian economist and winner of the 1998 Nobel Prize for Economics, Amartya Sen (Sen 1985, 1999). During the first decade of the 21st Century there was a notable increase in international advocacy conducted by organizations concerned with scholarly communication, freedom of access to information and freedom of expression, and libraries. This was stimulated by the World Summit on the Information Society (WSIS), referred to earlier, where IFLA’s active involvement served as a valuable learning experience (Shimmon 2005; Haavisto and Lor 2006; Lor 2008b). The planning meetings for the 2003 Geneva Summit constituted an intensive learning experience for the civil

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society organizations which participated and has been seen as a formative phase of the A2K movement (Latif 2010). International advocacy activity related to WSIS continued after the 2005 Tunis Summit. IFLA, as the main international body representing the interests of librarians and information workers, along with other like-minded organizations, has participated in follow-up meetings and projects relating to the eleven WSIS “action lines” set out in the 2003 Geneva Plan of Action (World Summit on the Information Society 2003), and has attended the annual meetings of the Internet Governance Forum (IGF).3 During this time, IFLA continued to develop its advocacy capacity. IFLA’s Committee on Copyright and other Legal Matters (CLM) regularly attended WIPO meetings and met twice a year with representatives of the International Publishers Association. In 2008 a dedicated advocacy unit focussing on freedom, equity and inclusion was set up at IFLA’s head office to support this work (Lor 2008b).

8.4.2 The WIPO Development Agenda The A2K movement gained international prominence through an advocacy campaign which sought to persuade the World Intellectual Property Organization (WIPO) to become more receptive to the needs of developing nations and adopt a “development agenda.” The WIPO Development Agenda was initially proposed by the governments of Argentina and Brazil. It was supported by interest groups concerned with low cost medicines, open science, free software, etc. At a meeting held in Geneva in 2004, these stakeholders adopted the “Geneva Declaration on the Future of the World Intellectual Property Organization”4 in support of the proposed development agenda. Among the more than 500 signatories were representatives of a number of NGOs, including IFLA, four U.S. library associations, Doctors Without Borders, and Consumers International (Gómez and Bongiovani 2012, 345). The Development Agenda was approved in 2007 by the WIPO General Assembly. It comprises 45 recommendations grouped in six clusters: A: “Technical assistance and capacity building”: 14 recommendations, the first of which states that “WIPO technical assistance shall be, inter alia,

3 IFLA, “IFLA and the Information Society: libraries, WSIS and Internet governance, https:// www.ifla.org/information-society, accessed 2018-06-08. For more background on internet governance and the IGF, see Kurbalija (2016). 4 Open Society Foundations, “Geneva Declaration on the Future of the World Intellectual Property Organization,” https://www.opensocietyfoundations.org/sites/default/files/wipo_ declaration_0.pdf, accessed 2018-06-08.

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C:

D:

E:

F:

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development-oriented, demand-driven and transparent, taking into account the priorities and the special needs of developing countries, especially LDCs” “Norm-setting, flexibilities, public policy and public domain”: nine recommendations, dealing inter alia with “the preservation of the public domain within WIPO’s normative processes” and the need to analyse “the implications and benefits of a rich and accessible public domain” (no. 16), “national flexibilities in international intellectual property agreements,” especially for developing countries (no. 17), and “the protection of genetic resources, traditional knowledge and folklore” (no. 18). “Technology Transfer, Information and Communication Technologies (ICT) and Access to Knowledge”: nine recommendations dealing inter alia with bridging the digital divide (no. 24), and with “transfer and dissemination of technology, to the benefit of developing countries” (no. 25). “Assessment, Evaluation and Impact Studies”: six recommendations, including one requesting WIPO “to undertake, upon request of Member States, new studies to assess the economic, social and cultural impact of the use of intellectual property systems in these States” (no. 35). “Institutional Matters including Mandate and Governance”: six recommendations, which include one to “enhance measures that ensure wide participation of civil society at large in WIPO activities in accordance with its criteria regarding NGO acceptance and accreditation” (no. 42). “Other issues”: a final recommendation (no. 45) to “approach intellectual property enforcement in the context of broader societal interests and especially development-oriented concerns.”5

Writing a few years after its adoption, Pilch (2009b, n.p.) commented that the Development Agenda “is viewed by many as being a major historical shift in the direction of WIPO, because it will address the knowledge gap and the digital divide that separate wealthy nations from poor nations.” However, WIPO continues to be seen as problematic by the A2K movement, where there are calls for a complete overhaul of the organization’s governance (e.g. AshtonHart 2012).

5 WIPO, “Development agenda for WIPO,” http://www.wipo.int/ip-development/en/agenda/, accessed 2018-06-08.

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8.4.3 Continuing advocacy at WIPO IFLA and allied organizations have continued to advocate for access to knowledge at WIPO and elsewhere, regularly sending delegations to attend meetings at WIPO’s Standing Committee on Copyright and Related Rights (SCCR), and collaborating there with other organizations such as EBLIDA, EIFL and the Library Copyright Alliance (LCA), to promote copyright exceptions for libraries and oppose new legislation that would limit access (EIFL 2016). A ground-breaking example was set by the intensive lobbying process conducted by the World Blind Union, IFLA, EIFL and other NGOs, which led to the adoption in 2013 of the Marrakesh Treaty (Treaty to Facilitate Access to Published Works for Persons Who Are Blind, Visually Impaired, or Otherwise Print Disabled). Until this treaty entered into force in 2016, there were crippling copyright restrictions which made it impossible for libraries serving the blind legally to import from other countries books and other media that had been transcribed into Braille or recorded in other accessible formats suitable for the visually impaired. This restriction was particularly inhibiting in the developing countries (EIFL 2015; Kawooya et al. 2016). The problems will be mitigated as more countries ratify the treaty.6 It is considered to be significant because it is the “first multilateral agreement to establish mandatory exceptions to the exclusive rights of copyright owners.” It also brings about a convergence between intellectual property treaties and human rights covenants and conventions – especially the Convention on the Rights of Persons with Disabilities of 2006 (CRPD) (Helfer et al. 2016). Following the adoption of the Marrakesh Treaty, the advocacy work of IFLA and allied organizations at WIPO focussed on a further objective, the Treaty Proposal on Copyright Exceptions and Limitations for Libraries and Archives. This is intended to roll back some of the restrictive provisions that limit the exercise of library and archival functions and create an international framework that will facilitate library lending, inter library loan and document supply in digital and print forms; enable use of orphan works; ensure the ability to

6 Progress in implementation is slow. In mid-2018 there were 41 contracting parties. Among countries of the North, only Canada and Australia had ratified, or acceded to, the treaty. The USA and the EU and its individual member states are signatories but had not yet ratified it. For an analysis, see Oppenheim (2017). Progress can be followed at: WIPO, “WIPO-administered treaties,” http://www.wipo.int/treaties/en/ShowResults.jsp?lang=en&treaty_id=843, accessed 2018-09-15. Intensive advocacy activities are under way in many of the countries which have not yet ratified or acceded to the treaty. It is unfortunate, but not coincidental, that countries which are the world’s major producers of intellectual property have been slow to join up. Update: The USA ratified the Treaty on 10 October 2018.

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acquire eBooks from publishers; protect library exceptions from override by contract; among other important library activities.7

In collaboration with other bodies, IFLA CLM has continued to engage with WIPO to counter threats to libraries that are posed by proposals that are put forward from time to time to extend copyright, for example, a proposed Broadcasting Treaty (Treaty on the Protection of Broadcasting Organizations), which would place far-reaching restrictions on broadcast content for 50 years after broadcasting, and which is also opposed by organizations such as the Electronic Frontier Foundation (Malcolm 2017). Copyright expansion proposals have also been opposed in the European Union, where IFLA partners with EBLIDA and EIFL, and in the USA, where IFLA partners with the LCA.8 Advocacy for A2K is also conducted in forums other than intergovernmental organizations. For example, advocacy has been conducted in national legislatures in respect of bilateral and multilateral trade agreements such as the AntiCounterfeiting Trade Agreements (ACTA) (IFLA 2010).

8.4.4 The 2030 agenda for sustainable development At the same time IFLA and allies were lobbying strenuously to ensure that language relating to libraries and information would be included in the United Nations 2030 Agenda for Sustainable Development. Building coalitions and stimulating advocacy at the national level proved important factors in achieving this outcome (Bradley 2015, 2016). As part of the advocacy process, IFLA in 2014 launched its Lyon Declaration on Access to Information and Development, which called on global institutions and associations to “ensure that everyone has access to, and is able to understand, use and share the information that is necessary to promote sustainable development and democratic societies” (IFLA 2014c). Following the adoption of the Sustainable Development Goals, IFLA launched a process to monitor the progress the UN member countries are making to meet their commitments in respect of access to information. The first of a series of progress reports by IFLA on Development and Access to Information (DA2I) appeared in 2017 (IFLA and Technology & Social Change Group, University of Washington 2017).

7 IFLA, “Copyright limitations for libraries & archives: copyright issues for librarians,” https://www.ifla.org/copyright-tlib, accessed 2018-06-08. 8 IFLA, “Copyright and other Legal Matters (CLM) Advisory Committee,” https://www.ifla. org/clm, accessed 2018-06-08.

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8.4.5 Access to the cultural record: orphan works and related materials While I have placed much emphasis on scientific literature, this is by no means the only theme of international advocacy for A2K. For journalists, writers, filmmakers, historians and scholars in the humanities and the social sciences, among others, the most obscure and unlikely published materials – novels by forgotten authors, early children’s’ picture books, street directories, country newspapers and popular magazines – may constitute sources of research data or material for creative reworking. The amount of such material that has been produced is staggering. In 2010 Google estimated that more than 130 million book titles had appeared by then (Taycher 2010). This figure excludes serials, maps, microforms and audio-visual materials. It has undoubtedly grown since then. It has been estimated that every year, around two million new book titles are published world-wide.9 All these materials are produced, sold, read, and ultimately discarded by their intended readers. Over time, a dwindling number of copies survive various catastrophes, the dispersal of private collections, and library ‘deselection’ exercises. The surviving copies remain scattered in libraries where they are difficult to locate. The bibliographic aspect of this diaspora does not concern us here as much as the legal and economic aspects of initiatives to preserve them and make them accessible to users. Many libraries and other institutions are engaged in digitizing newspapers, journals and books that are out of print as well as unpublished archival materials for purposes of preservation and enhanced access. In addition to the technological and logistical problems inherent in such projects, compliance with copyright law poses a major challenge. In terms of the Berne Convention copyright vests automatically in the creator as soon as the work is fixed in a tangible or material form. The creator does not have to complete any formalities. Given the long duration of copyright, even quite obscure material dating from as far back as the first quarter of the twentieth century may be subject to copyright, in which case the copyright owner may be difficult or impossible to trace. This raises the issue of ‘orphan works.’ These are works of which the copyright owners “cannot be identified and located by someone who wishes to make use of the work in a manner that requires permission of the copyright owner.”10

9 Worldometers, “New book titles published this year. . .,” http://www.worldometers.info/ books/, accessed 2018-06-07. 10 Definition by Jill Hurst-Wahl in her blog, Digitization 101, https://hurstassociates.blogspot. com/2009/08/orphan-works-definition.html, accessed 2018-06-07.

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Since unauthorized copying exposes the perpetrator to civil and possibly criminal action, uncertainty regarding the copyright status of the material, and problems of identifying and locating copyright owners seriously inhibit digitization programmes aimed at the preservation of a large swathe of scientific and cultural heritage. The constraints are particularly acute in respect of newspapers, magazines, and other pictorial, audio-visual and broadcast content, where various creators will have contributed to the creation of a work. For example, the British Broadcasting Corporation has over one million hours of programmes in its archives, while the British Library estimated that 40% of its collections are orphaned (EIFL 2009, 25–26).11 Given the constraints imposed by copyright laws, the problem can be dealt with in various ways. One strategy is to limit the digitization project to works published before a safe cut-off date. In the USA this was widely thought to be 1923, but the dates differ depending on the jurisdictions, the type of material, and other factors (Hirtle 2009). They will of course advance year by year. This strategy leaves a vast amount of material in a ‘dark archive,’ from which it may never emerge – an intolerable waste of human creativity. A second strategy is to negotiate agreements with copyright owners if these are known. If they are not known, the digitizing organization can painstakingly check each item to ensure that only material that is in the public domain is included: material of which the copyright has expired or which was not given copyright protection in the first place (such as government publications in many countries). This is a very labour-intensive strategy, which also leaves a great deal of material in limbo. The third, and most radical, strategy is that adopted by Google. That company’s original mission statement, adopted in 1998, was to “organize the world’s information and make it universally accessible and useful.” In pursuance of this mission, Google in 2004 embarked on the Google Books (originally Google Book Search) programme “to digitize all the books in the world” (Taycher 2010). Google started by digitizing the contents of the world’s major research libraries. Regardless of the copyright status of the materials, Google digitized the entire text of these materials and added them to an enormous searchable full-text database. This led to a complicated series of lawsuits in the

11 It has been argued that in the case of books the problem has been overstated and is likely to “shrink” due to various factors, including a trend for publishers to digitize their out-of-print material with a view to further commercial exploitation (Esposito 2011). This is debatable. In the meantime, there is a huge increase in digital material that is placed on the web without any attribution, which in practice orphans it from the start. Since well before the advent of digital publishing, many publishers have not kept good records of their publications, which makes it more difficult to arrange permission for copying.

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USA, pitting authors and other parties against Google, for diverse reasons (Hiltzik 2015). Google sidestepped legal challenges by allowing users to see only ‘snippets’ of copyrighted works, leaving the full-text database available for searching and for bibliometric and other scholarly analyses. Ultimately, U.S. courts found this to be an acceptable application of the ‘fair use’ principle, and not a violation of copyright (Liptak and Alter 2016). Among a number of other large-scale digitization programmes, that of HathiTrust deserves mention. The HathiTrust, a partnership of over 120 major universities, mainly in North America, has since 2008 been building a digital library for long-term preservation and access. By January 2018 it contained over 16 million volumes (734 terabytes of data) derived from various sources, including Google, the Internet Archive, public domain material, and in-house digitization programmes of member institutions.12 The result is a collection of over 16 million volumes (in January 2018). “Full-view” can be provided to about 38% of the collection, whilst the other 62% is “limited-view” material in terms of copyright (Zaytsev 2017). As in the case of Google, all the data can be searched and used for scholarly analyses. Impressive as these figures are, they still leave a huge amount of material inaccessible to those unable to travel to the holding libraries. This problem has received attention in international as well as national forums. In 2007 IFLA and the International Publishers Association issued a joint statement on orphan works.13 A further IFLA statement followed in 2011.14 By that time the issue of access to orphan works had become highly contentious as a result of the ambitious Google Book Search programme that was referred to above. In 2012 the European Commission issued a directive on orphan works (Directive 2012/28/ EU), which permits certain (limited) uses of these works by libraries. Its provisions had to be incorporated in the legislation of the individual EU member states by 2014. The directive also has implications for countries that have trade agreements with EU countries (EIFL 2013), which illustrates the international ramifications of intellectual property legislation. A number of European LIS and related organizations, including EBLIDA, the Association of European Research Libraries (LIBER), and the Conference of European National Librarians (CENL), as well as IFLA, are continuing advocacy efforts for the inclusion in

12 Hathi Trust, “HathiTrust has reached 16 million volumes!,” https://www.hathitrust.org/16million-volumes, accessed 2018-06-08. 13 IFLA, “IFLA/IPA joint statement on orphan works (2007), https://www.ifla.org/publica tions/iflaipa-joint-statement-on-orphan-works, accessed 2018-06-07. 14 IFLA, “IFLA statement on orphan works (2011),” https://www.ifla.org/publications/iflastatement-on-orphan-works-2011, accessed 2018-06-07.

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European copyright legislation of library exceptions to permit digitization of what the European Commission now calls “out-of-commerce” (OOC) works. OOCs are a larger category than orphan works, being defined as occurring “when the whole work, in all its versions and manifestations is no longer commercially available in customary channels of commerce, regardless of the existence of tangible copies of the work in libraries and among the public (including through second hand bookshops or antiquarian bookshops).”15 The general thrust of this advocacy process, which is underway in the EU, in individual countries, and at WIPO, is to arrive at a legal framework within which OOC works can be digitized by publicly accessible libraries and similar institutions (De Ruyck and Fraser 2014).

8.5 Open access 8.5.1 Emergence of open access Foremost among the A2K resistance strategies is Open Access (OA), a movement which emerged at the beginning of the 21st Century and achieved international prominence through three declarations or statements, the Budapest Initiative (‘Budapest Open Access Initiative’ 2002), the Bethesda Statement (‘Bethesda Statement on Open Access Publishing’ 2003), and the Berlin Declaration (‘Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities’ 2003). The Berlin Declaration defined open access to scholarly literature as its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.

Lest it be thought that open access is an entirely new idea, it is worth remembering that open science has been a key characteristic of modern Western science since the close of the 16th Century, when older traditions of secrecy started

15 EBLIDA, “Making out of commerce works available in EU member states,” http://www. eblida.org/activities/position-papers/making-out-of-commerce-works-available-in-eu-memberstates.html; IFLA. “The paradox of the disappearing book,” https://www.ifla.org/files/assets/ hq/topics/exceptions-limitations/oocw_infographic_ver_2.1.pdf, both accessed 2018-06-07.

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making way for a new community of scientific inquiry “governed by a distinctive reward system based upon priority of discovery” (David 2014, 8–10). To claim priority of discovery, scientists needed to disseminate their findings to their peers without delay. Initially, scientific findings were disseminated in self-published books and pamphlets, and in personal letters which were shared within scientific communities. Starting in the second half of the 17th Century the practice of copying and disseminating these letters was formalized through the printing of proceedings and transactions by scientific societies. In January 1665 the first issue of the Journal des Sçavans was published in Paris. It was followed in March of that year by the Philosophical transactions of the Royal Society (Mack 2015). Until relatively recently, scholarly communication was driven by scholars and their learned societies without a profit motive (Das 2015a, 6–11). A policy briefing by the European Science Foundation subtitled “Restoring scientific communication to its rightful owners” touched on the moral as well as the financial aspects of open access: Open access to scientific articles means online access without access-charge to readers or libraries. Committing to open access means dispensing with the financial, technical, and legal barriers that are designed to limit access to scientific research articles to paying customers. It means that, for the sake of accelerating research and sharing knowledge, publishers, institutions and independent initiatives will need to recoup their costs from other sources (Buckholtz et al. 2003, 3).

A pithy definition of open access by Suber (2015, n.p.) is frequently cited: “Open-access (OA) literature is digital, online, free of charge, and free of most copyright and licensing restrictions.” Although various open access models have emerged, L. Chan, Gray and Kahn (2012, 14) have noted that there is a crucial philosophical concept at the heart of the open access movement. The notion that knowledge is a “public good” which can be leveraged by decentralised and democratic communication methods, which in turn leads to increased equity and social justice is a very important feature of open access.

Open access is a broad-based movement in which scholars, librarians, universities and colleges, research bodies, consortia, foundations and government education and science ministries are involved. It is not an isolated phenomenon. Open access emerged roughly at the same time as the notion of ‘open science.’ David (2014, 31–35) has interpreted the advent of open access as part of a bottom-up response by academics to uphold open science. It is no coincidence that the last two or three decades have seen the emergence of other ‘open’ movements and initiatives, such as free and open source software (FOSS), the

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Wikipedia, open educational resources (OER), massive open online courses (MOOCs), and open data. Writing about the “economies of online cooperation,” Kollock (1999, 219) observed that, in an online environment where individuals can participate with relative anonymity, where there is no central authority, and where it is difficult to make people pay for what they use or do, there is a surprising amount of sharing and cooperation. For a concise history of open access, see Albert (2006, 255–56).

8.5.2 Open access models L. Chan, Gray and Kahn (2012, 15–18) identified three main models of open access, namely open archives, open access repositories, and open access journals. The open archives model predates the Budapest, Bethesda and Berlin declarations. In fact, it can be traced back to the set of reprints to which authors of scholarly articles were customarily entitled in the days when journals appeared only in print. Since then authors have continued to make electronic versions of their articles available to colleagues informally by e-mail or on their personal websites. This has been called “grey open access” (D. J. Brown 2016, 343–44). In its modern, more formalized manifestation, open archives can be traced back to the ArXiv electronic archive of self-archived preprints in physics, which was founded in 1991.16 In addition to physics, ArXiv today covers a range of mainly quantitative disciplines, such as systems science, quantitative biology and economics. In October 2017 it held over 1.3 million e-prints.17 Archives such as ArXiv mostly serve research communities in specialized subject fields, where researchers post preliminary research for information and comment, and community review serves as a form of quality assurance. In the case of open access repositories, authors self-archive full-text preprints or post-prints18 of their research papers in a repository maintained by an institution such as a university. Open access advocates have urged the establishment

16 The system was originally named [email protected] and was renamed ArXiv.org in 1998. For an engaging account by ArXiv’s founder of its origins and early years, see Ginsparg (2011). 17 ArXiv, https://arxiv.org/abs/1108.2700, accessed 2018-06-08. 18 L. Chan, Gray and Khan (2012, 16) provide a useful explanation of what is meant by ‘preprints’ and ‘post-prints’: a preprint is “the version of the article submitted to the journal before peer review and editing” and a post-print is “the article revised after peer reviewing, but usually not the edited and typeset version published by the journal, and sometimes embargoed for a period of time.”

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and active promotion of institutional repositories as a key factor in providing rapid “green” open access to the publications of universities and research institutions (e.g. Swan and Carr 2008; Harnad 2015). Major research funding organizations such as the U.S. National Institutes of Health, the European Commission, and the Wellcome Trust (UK) require this of their grant recipients. This model is known as the “green route.” It allows for open access to peer-reviewed articles published in prestigious journals, as well as grey literature, teaching materials, etc. In open access journals, immediate access is provided to articles published on publishers’ websites or other platforms. The journals can be non-profit, e.g. the Public Library of Science (PLoS), or for-profit, e.g. BioMed Central. They are funded by various mechanisms, including author fees, support from philanthropic organizations, and membership fees paid by university libraries. Author fees, mostly paid by the university or funding agency, may be an obstacle in the case of authors from less affluent institutions and low-income countries, although in their case the fees may be waived. This model is known as the “gold route.” There are many variations on these basic models. Commercial journal publishers have devised a range of open access models in which not all content is available to all users immediately upon publication or indefinitely, for example, hybrid, delayed, and partial open access. These models have been summarized by Kanjilal and Das (2015, 22–23).

8.5.3 Objections, advocacy, and promotion As the range of publishing models suggests, open access constitutes a significant challenge to the traditional for-profit publishing business model and to that of other conventional non-profit publishers such as scholarly societies. Not surprisingly, many questions and objections have been raised about open access and the various business models proposed to sustain it. In the USA especially, heated debates have taken place and groups for and against it have engaged in intensive lobbying at times when open access mandates, such as the “Public access policy” of the U.S. National Institutes of Health (NIH), were under discussion in the U.S. Congress. The mandate requires authors whose research was funded by the NIH to “submit final peer-reviewed journal manuscripts to PubMed Central immediately upon acceptance for publication.”19 PubMed Central is an open access repository to which the public has free

19 US Department of Health & Human Services, “NIH Public access policy,” https://publicac cess.nih.gov/, accessed 2018-06-08.

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access. There was fierce opposition to the mandate from the Professional Scholarly Publishing (PSP) Division of the Association of American Publishers (AAP) and a number of other bodies (Albert 2006, 256–57; Morrison 2015, 262–64). There is some disagreement about the extent to which professional society and university publishers are ranged on the side of the commercial publishers.20 The most significant objections concern quality standards of open access journals and specifically their peer review practices. This is a sensitive point, since scholars regard peer review as non-negotiable, and casting doubt on peer review in open access journals is an effective tactic to deter scholars from publishing in them. Advocates for open access journals respond that journals accredited by the Committee on Publication Ethics (COPE) and the Open Access Scholarly Publishers Association (OASPA) follow rigorous peer reviewing processes. They argue that the wide availability and the visibility of open access journals ensure that shoddy work does not pass unnoticed. They also maintain that high rates of citation to respected open access journals provide evidence that high standards are maintained. Online directories, including the Directory of Open Access Journals (DOAJ)21 and the Directory of Open Access Repositories (OpenDOAR)22 facilitate discovery of open access resources. In the case of journals levying article processing charges, the objection by opponents is of an ethical nature, namely that such charges make it difficult for authors to get published and may induce journal editors to relax standards for accepting articles. Other objections concern the sustainability of open access business models, resource discovery, access, and long-term preservation (L. Chan, Gray, and Kahn 2012, 18–19; Kanjilal and Das 2015, 24–29). At a more philosophical level, questions have been raised inter alia about an open access discourse which privileges Western science and which will potentially further marginalize nonWestern knowledge (Haider 2007). Advocates for open access are numerous and vociferous. In addition to moral arguments for open access, there is growing evidence that open access to journal articles increases their citation rate (Gómez and Bongiovani 2012, 348– 49), which is an incentive to authors. Empirical research has shown that this also applies to scholarly books (Emery et al. 2017). There is much emphasis on the benefits of open access for global scholarship and especially for scholars in developing countries (e.g. Kirsop and Chan 2005; Canada 2009; J. Kelly and Eells

20 Suber and Sutton (2007), unabashed advocates for open access, have been at pains to refute assertions that scholarly societies feel threatened by open access. 21 DOAJ Directory of Open Access Journals, https://doaj.org/, accessed 2018-06-08. 22 OpenDOAR, the Directory of Open Access Repositories, http://www.opendoar.org/, accessed 2018-06-09.

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2015; Suber 2015). There is significant support for open access from international bodies. In 2003, IFLA issued a statement in support of open access to scholarly literature and research documentation (IFLA 2003). UNESCO formally adopted an Open Access Strategy in 2011 (UNESCO General Conference 2011) to promote open access among member states in various ways (including access to its own publications) and issued Policy Guidelines (Swan 2012) to this end. UNESCO also launched a “global open access portal” to assist policy makers in member states (UNESCO 2013b) and published curricula for researchers and library schools to promote open access (Das 2015b; UNESCO 2015). In Europe the European Commission has funded open access programmes such as OpenAIRE, which requires beneficiaries of EC grants to ensure open access to their peer-reviewed publications (Rettberg and Schmidt 2015), and MedOANet, which promotes national policies, strategies and structures for open access in Mediterranean countries (Ludewig 2014). Some governments and many academic institutions have issued directives requiring reports on grant-funded research to be made available on open access. Open access is gaining momentum in various developing regions such as Latin America (Gómez and Bongiovani 2012), where the flagship project is SciELO (Scientific Electronic Library Online), created in Brazil in 1998. Today SciELO provides inter alia a platform for indexing and publishing open access online journals from most Latin American countries, Spain, Portugal and South Africa, creating a database of over 1000 journals and 500,000 freely available journal articles. There is a special emphasis on nationally published journals, which is significant as a counterweight to the dominance of journals from North America and Europe (Packer and Meneghini 2014). In comparison with Latin America, in Africa levels of usage and contribution lag behind (Bowdoin 2011). This may be because of low levels of awareness (W. Nwagwu 2013). The worldwide diffusion of open access has been tracked by Xia (2012).

8.5.4 Predatory journals An unfortunate by-product of the emergence of open access journals is the proliferation of predatory journals, dubious online journals which, like the products of earlier print-on-paper vanity publishers,23 exercise little or no quality

23 Since well before the advent of online journals and open access, unscrupulous publishers have been enticing graduate students with offers to publish their PhD and even master’s theses. The snag is that the students pay fees for minimal publishing services and end up damaging their careers by publishing work that should have been properly reviewed and edited. Cf. Northeastern University, “Choosing a publication venue: what is a ‘predatory publisher’?”

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control, offer no certainty of long-term archiving of articles, and exist primarily to extract article processing charges from young and inexperienced researchers anxious to add journal articles to their curricula vitae. In addition, reputable journals are being “hijacked” by unscrupulous organizations which use their names in slightly altered form. Researchers in developing counties are particularly vulnerable to this form of exploitation (Balehegn 2017). In 2012 Jeffrey Beall, a librarian at the University of Colorado-Denver, took the initiative to compile online lists of predatory journals and publishers. On his website Beall (2012) published a set of criteria for identifying predatory journals. His lists were generally welcomed, but he was criticized by open access advocates for conflating predatory journals and open access, and for prejudice and antagonism against open access journals in general (Berger and Cirasella 2015). Beall was also severely harassed by predatory publishers and took down his lists in January 2017 (R. Watson 2017), leaving a gap that is being filled inter alia by a group of anonymous volunteers under the name of Stop Predatory Journals.24

8.6 Other legal strategies 8.6.1 Non-proprietary alternatives Mention should be made here of various non-proprietary alternatives to copyright. Creative Commons, a U.S. non-profit organization founded in 2001, developed a range of Creative Commons (CC) licences that allow creators to release their work for others to use freely while reserving some rights, for example the right of attribution and the right to commercial exploitation. Inspiration for this initiative came from the General Public Licence (GPL) developed by the Free Software Foundation, which also gave rise to Copyleft.25 The general principle of schemes such as Creative Commons and Copyleft is to authorize certain types of usage of works in advance, so that it is not necessary to request prior http://subjectguides.lib.neu.edu/publishing/predatory, accessed 2018-06-08. Similar questionable practices also affect online book publishing and academic conferences (Sewell 2017). 24 Stop Predatory Journals, https://predatoryjournals.com/, accessed 2018-06-07. This site includes a “List of hijacked journals” as well as a list of questionable organizations that mimic reputable citation indexing services such Web of Science and Scopus and issue fake metrics and journal rankings. 25 Copyleft, primarily developed for software, is a scheme for making programs free to develop, modify and redistribute with the proviso that derivative programs must also be free. This prevents parties from converting it to proprietary software. Cf. GNU Operating System, “What is copyleft?” https://www.gnu.org/licenses/copyleft.en.html, accessed 2018-06-09.

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permission from the copyright holder (Sagna 2006, 3–5). Creative Commons claims that over 1.1 billion works have been issued under CC licences.26 Creative Commons licences are commonly used in open access journals. Creative Commons has been criticized inter alia for introducing additional legal complexity (Loren 2007) and for complicity with the capitalist mode of control over culture (D. Berry 2005). Marxist critics reject Creative Commons, Copyleft and similar systems because they accept the basic capitalist premise of the copyright system, namely private property (Nuss 2010).27

8.6.2 Avoidance Another approach to opening up access is that of facilitating the discovery and use of open access versions of copyrighted works. For example, Unpaywall28 is a web browser extension that enables users to quickly find legally uploaded preprints and postprints of commercially published, fee-for-view (“paywalled”) journal articles. Essentially, it facilitates access by means of an online index to PDFs uploaded by authors to personal and institutional repositories (Chawla n. d.; Piwowar and Priem 2017). Other systems, such as ResearchGate,29 take the form of social networking sites for scholars, who are prompted to upload papers that are requested by other scholars. In this way a large full-text database is built up of materials that can be made available to users free of charge.

8.7 Radical and extra-legal resistance While the initiatives and approaches discussed in the preceding sections imply acceptance of the intellectual property regime and seek to work within it, or around it without breaking copyright laws, there is also a more radical strand of resistance to the intellectual property regime. One approach has adopted the 26 Creative Commons, https://creativecommons.org/, accessed 2018-06-09. 27 On the website of copyleft.org, copyleft is described broadly as “a strategy of using copyright law to pursue the policy goal of fostering and encouraging the equal and inalienable right to copy, share, modify and improve creative works of authorship.” This implies that supporters of Copyleft do not reject copyright as such but seek to work within its parameters (https://www.copyleft.org/, accessed 2018-06-09). 28 Unpaywall, http://unpaywall.org/, accessed 2018-06-09. 29 ResearchGate, “About us,” https://www.researchgate.net/about, accessed 2018-06-09. Like other similar social networks, ResearchGate bombards registered users with communications and exhortations to post their work.)

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extra-legal path taken by peer-to-peer file sharing systems which emerged during the late 1990s, intended mainly for software and popular music. A pioneer of this approach was Napster, founded in 1999. It was immensely popular, but it raised the ire of copyright owners, was dogged by legal difficulties, and was subsequently closed down. It was later resuscitated as a legal for-profit undertaking. Various others have followed.30 In the first decade of this century a number of individuals set up “shadow libraries” of “pirated” (illicitly downloaded) published scholarly content. These fragmented activities coalesced around the “Guerrilla Open Access Manifesto” published in 2008 by a young computer scientist and “hacktivist,” Aaron Schwartz,31 who coined the term “guerrilla open access.” In his Manifesto Schwartz declared: There is no justice in following unjust laws. It’s time to come into the light and, in the grand tradition of civil disobedience, declare our opposition to this private theft of public culture. We need to take information, wherever it is stored, make our copies and share them with the world (Schwartz 2008).

His example was followed by Alexandra Elbakyan, an elusive researcher from Kazakhstan. Elbakyan, who was subsequently thought to be based in Russia, out of reach of the U.S. justice system, set up a controversial service called Sci-Hub, a website providing access to paywalled journal articles. It appears that most of the content is uploaded by bypassing publishers’ paywalls using the donated or stolen user credentials of university library users. Publishers have used lawsuits to close down Sci-Hub and other similar sites on the grounds that they violate U.S. copyright law (Schiermeier 2015), but Sci-Hub keeps resurfacing using different internet domain names and IP addresses (Banks 2016). By March 2017 the database was offering free access to around 62 million publications (Greshake 2017, 1). It appears to be heavily used, especially by researchers in developing and emerging countries for whom paid access to paywalled articles is unaffordable. Sci-Hub has drawn much attention, in part because Elbakyan has vigorously defended Sci-Hub on moral grounds. The controversy has exposed the wide gap between the law and the general public’s concept of fair use of media. It also illustrates the nexus between political economy and ethics. Guerrilla Open Access is said to enjoy wide moral support among scholars in both developing and developed countries and has been described as a serious threat to the established scholarly publication model (Banks 2016; Bodó 2016).

30 Wikipedia, “Napster,” https://en.wikipedia.org/wiki/Napster, accessed 2018-06-09. 31 Schwartz, a “hacktivist,” caught downloading millions of articles illegally, was prosecuted in the USA, and committed suicide in 2013 (Bodó 2016, 12–13).

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The moral stance of activists supporting Guerrilla Open Access has found political resonance, especially in Northern and Western Europe. Starting in Sweden in 2005, pirate parties were formed as political parties in various countries. These parties took radical positions on digital rights, privacy, surveillance, civil rights, direct democracy, copyright, and patent law, and were able to elect representatives to some national legislatures and to the European Parliament. Here they exerted some influence in the debate on copyright reform (Steadman 2015), incidentally providing evidence that they are not (or no longer) opposed to copyright as such.

8.8 Globalization and information flows In Chapter 7, attention was paid mainly to two themes in political economy which relate particularly to access to information and knowledge: the digital divide (Section 7.8) and intellectual property (Sections 7.11 to 7.13). This does not exhaust the scope of the international political economy of information. In the rest of this chapter the approach adopted is to consider how political and economic power relationships generally influence global information flows among and between the developed countries (the North), and the developing and emerging countries (the South).32 My emphasis is on scholarly communication, but mention must be made of media and culture more generally, as they provide the broader context to this topic. The flow of information between the North and the South has long been a highly contentious political-economic issue. In a collection of essays on publishing and the dissemination of knowledge in the Third World, Altbach (1987) introduced many facets of North-South information relations, identifying as a major theme, the major international cleavage in knowledge dissemination – the gulf between the power and influence of the major central nations of the Western industrialized world which produce knowledge and the vast hinterland of consuming nations of the Third World, many of which are hardly part of the system at all (Altbach 1987, xii).

Awareness of the global imbalance of information structures has a long history. The Cold War period was marked by a major diplomatic struggle about the idea of a New World Information and Communication Order (NWICO), which pitted the Third World and the Communist Bloc against Western capitalist nations.

32 The terms ‘North’ and ‘South’ are discussed in Section 10.6.

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Developing countries sought to correct what they regarded as imbalances in respect of information flows as well as inaccurate and unfair coverage of the Third World in Western media. The West saw this as interference with press freedom, and a potential curb on the world-wide dominance of capitalist media (Nordenstreng 2010). In the USA, particularly during the Reagan administration (1981–1989), the point of departure was that governments should not interfere in culture and media, and that culture should be governed by the marketplace alone (Calabrese 2005). A key document in the struggle was the MacBride Report, Many voices, one world (International Commission for the Study of Communication Problems 1980). The USA left UNESCO in 1983, citing its displeasure at UNESCO’s “hostility toward a free society, especially a free market and a free press” as one of several reasons for the move (Waxman 2017). The concept of globalization was introduced in Section 1.9. When we consider global patterns of the flow of information, simplistic understandings of globalization as some sort of unstoppable information, media and cultural tsunami, are unhelpful. Globalization is a far more complex phenomenon. No single metaphor or model can do it justice. Among many models on offer, a set of three models put forward by Reyes and Centeno (2011) is helpful because they related them to patterns of global information flow and to “power asymmetries and influence flows.” They distinguished between interdependent, clustered, and hegemonic globalization. Interdependent globalization can be visualized as a non-centric network where there is no stratification or hierarchy; the example they give is of a “corner deli,” a small independent shop which stocks products from many places. In clustered globalization the global system consists of “cliques or subgroups linked by culture, history or geography”; this can take various forms, one example is the “Little Italy” or “Chinatown” found in many cities throughout the world where large immigrant populations settled. Hegemonic globalization takes the form of a web with a very powerful hub, to which all the nodes are linked exclusively and which imposes norms to which they have to conform, for example the McDonalds fast food chain (Reyes and Centeno 2011, 23–25). (This is the model, sometimes called ‘McDonaldization,’ that underlies the more lurid and apocalyptic predictions in the popular press about the global impact of American culture. McDonalds is not entirely monolithic; some adaptations to local cultures are permitted.) Reyes and Centeno applied a network analysis approach, “mapping information flows” (p.28) on the basis of a range of evidence, including such phenomena as corporate mergers, the movements of foreign students, flows of cultural products such as television shows and films, social media usage and internet links. In the general patterns they found, there were very strong links between the wealthy regions in North America and Western Europe. These were

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linked to developing regions, North America having links mainly with Latin America and Australasia, and Europe having more links to sub-Saharan Africa, Eastern Europe and Central Asia, the Middle East and North Africa. While the wealthy regions had links to many parts of the world, poor regions tended to be linked to a single dominant partner, and poor regions had few links with one another. In media and social networks, the USA was dominant (Reyes and Centeno 2011). A decade later, shifts will have occurred, but the general pattern serves as a useful background to the sections that follow.

8.9 Global information flows: North – South In Chapter 7, Section 7.12, mention was made of the South’s continuing dependence on the North for scientific and technological information. Because far greater resources and infrastructure are available there for education and research, the world remains dependent on knowledge produced in North America and Western Europe. The North-South flow of information is critical for development. However, the developing countries suffer from exclusion from the centre of research activity – they stand at the periphery looking in at the western research effort but are unable to interact or communicate with such research on a level playing field (D. J. Brown 2016, 38).

8.9.1 ‘Old’ problems Barriers experienced by information users in the South can be divided into ‘old’ and ‘new’ problems. Old problems include the distances that separate scholars in the South from their peers in the more numerous and well-endowed centres of learning in the North, lack of local resources, and inability to find the foreign currency necessary to buy books and journals from the North. This was starkly evident from a report by Diana Rosenberg (1997), University libraries in Africa: a review of their current state and future potential. It was based on case studies of 18 libraries in eleven countries located in different African sub-regions, which were representative of various colonial traditions. The report painted an alarming picture of inadequate library budgets, excessive dependence on inconsistent donor funding, and a general inability of the African university libraries to support research. Rosenberg noted that it was difficult to obtain materials on interlibrary loan from the North because of prohibitive costs, while little use was made of inter-African interlibrary lending because of inadequate infrastructure

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(Rosenberg 1997, vol. 1). It is ironic that interlibrary loan is highly developed in the countries with the richest library resources, and poorly developed in countries lacking such resources, where the need for sharing would seem to be greatest. But resource-sharing requires resources, infrastructure, and a willingness to cooperate, all of which are lacking in many developing countries. A few years later, in 2003, the year in which the IFLA/UNESCO UAP programme33 was terminated, Arunachalam (2003, 134–35) described a similar situation in India, where inadequate acquisitions budgets left libraries unable to purchase even modest collections of core journals. He graphically described the time-consuming and frequently unsuccessful manual procedures Indian researchers had to carry out to follow up references they found in the literature (Arunachalam 2003, 136). The subsequent advent of online searching, and of full-text databases initially distributed on CD-ROMs and later online, helped to mitigate the South’s lack of access to resources in the North. Economic development in various developing regions, especially in Asia, helped too, as more funding could be made available for libraries. The coming of the internet, along with the mitigation measures discussed in Section 8.3 above, and together with the growth of open access, brought about a considerable improvement.

8.9.2 ‘New’ problems At the same time that the internet and the rapid expansion of networked digital resources offered the South enhanced opportunities for access to literature from the North, new problems arose. The unbundling of journal content enables copyright holders to charge a fee every time a digitized or born-digital article is used, erecting a “paywall“ between its content and the users. Opportunities to open up enhanced revenue streams have added impetus to the attempts of journal publishers to implement stronger protection of intellectual property, as discussed in Section 7.12. Copyright was an ‘old’ problem, but technology has added a new, more complex, challenge to the South. Mitigation measures discussed in Section 8.3 above have helped, and the increasing availability of scholarly content on open access has made a significant difference, but publishers’ paywalls remain a barrier to access. Their impact on access to resources in developing countries is illustrated by the demise of the international document delivery service of the British Library’s Document Supply Centre (BLDSC). Before the advent of the Worldwide Web, the BLDSC provided a worldwide document delivery service

33 UAP is described briefly in Chapter 1, Section 1.8.

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using the inter-library lending technology of the time, sending photocopies by post, then using fax, and in the late 1980s switching to an electronic document delivery system. At its peak in the late 1990s, the BLDSC was by far the world’s largest document supplier and handled around four million requests per annum. Over one quarter of the requests were from overseas libraries (Appleyard 2015, 10).34 After 2000, demand declined because of various factors, including the advent of the internet and the e-journal, for which journal publishers pursued new business models. Seeking to protect “their” intellectual property, and arguing that “digital is different,” they sought to shift the legal relationship between sellers and buyers of journals from copyright law to licensing (cf. Kaye 1999). The old-fashioned copyright provisions permitting the supply of photocopies and faxes between libraries were not acceptable to them in the case of digital documents. To protect the BLDSC from copyright infringements claims, the Library terminated its “Library Privilege” scheme for overseas users in 2011 and introduced the International Non-Commercial Document Supply (INCD) service, a publisher-approved licensing scheme for overseas document supply, replacing the former copyright dispensation (Appleyard 2015, 9–10). Immediately afterwards the number of satisfied requests declined precipitately, and the number of countries served declined from 59 in 2011 to 26 in 2015. The INCD scheme was terminated in June 2016 (Hackett 2016b). The new business models of journal publishers are geared primarily to the needs and ability to pay of academic libraries in wealthy countries. In “big deals,” libraries are induced to buy large multi-year bundles of journal titles, which include titles the libraries do not need or which duplicate titles already received as part of other bundles, so that libraries pay for the same titles twice or more. In terms of the contracts, some major publishers require the libraries not to disclose any details (Bosch and Henderson 2015; D. J. Brown 2016, 84–87). In response to growing library resistance to “big deals,” journal publishers are increasingly offering “pay-per-view” access. Here the user is offered access to a single article for a fee, as in the first vignette in Section 8.1. Alternatively, the user may purchase access to the whole journal issue in which the relevant article appears. Ironically, to view an article on “intellectual property expansion under informational capitalism” (Zukerfeld 2017), the user is invited to choose between 30 days’ access to the journal issue (USD 155) or 24 hours’ access to the article (USD 42.50).35 Even in the North, prices at this

34 Based on personal experience at the South African State Library, I can confirm that during the 1990s the BLDSC served as an indispensable source of supply for Southern African libraries. 35 Taylor and Francis online, “The Information Society,” http://www.tandfonline.com/doi/ full/10.1080/01972243.2017.1354107, accessed 2018-06-09.

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level are unaffordable for individual scholars and students. They have to rely on their research libraries to pay the fees. Individuals who are not affiliated to academic or research institutions have few options but to pay or do without. Not only walk-in users but also alumni and honorary research fellows may be denied access to electronic resources in terms of restrictions imposed in the contracts their universities sign with publishers.36 The same goes for scholars and students in the South, unless the journal concerned is included in one of R4L or similar packages referred to in Section 8.3. In addition, the digital divide remains a factor. There has been considerable progress in extending connectivity, inter alia by means of submarine cables connecting the South to the North, but in the less developed countries, slow internet speeds and very limited bandwidth remain a significant barrier to access to digital resources, whether fee-based access or open access. In some developing countries, telecommunications monopolies keep prices high while service is substandard. Privatising state-owned companies has not necessarily helped. In 2014 there were 31 African countries with a “state-owned incumbent that is either dominant or has monopoly privileges that hamper the growth and efficiency of the market” (Southwood 2014). In Africa, it has been estimated that fixed line broadband will reach only a tiny urban elite in the near future (Stork, Calandro, and Gamage 2013). In a survey of factors affecting e-journal usage in Africa, inappropriate national telecommunication infrastructure policies, inadequate broadband networks, state bureaucracy, price, and speed of connectivity were mentioned as problems experienced by respondents (Shibanda 2006). In South Africa, one of the most developed economies in Africa, political factors have delayed the rollout of affordable broadband (Muller 2017).37 Bandwidth in developing countries can be very expensive. Some African universities are paying about 100 times more than equivalent prices in the USA (Zelnio 2012). In some cases, an entire university community in sub-Saharan Africa has less bandwidth at its disposal than a single private individual in

36 This problem is compounded by risk-averse legal counsel at universities, who prefer their institutions to pay fees which they do not strictly have to, to be quite sure that no accidental infringement takes place (J. Gibson 2007). 37 In 2009 the BBC reported that in South Africa an IT company dramatized the problem by pitting a homing pigeon carrying a 4 GB memory stick against the ADSL (asymmetric digital subscriber line) service of the state-owned Telkom corporation. The pigeon took two hours to cover the distance between the two sites, by which time only 4% of the data had been transmitted by ADSL. BBC News, “SA pigeon ‘faster than broadband’,” http://news.bbc.co.uk/2/hi/ africa/8248056.stm, accessed 2018-06-09.

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the North.38 Available connectivity might be limited to a few dozen PCs in a computer lab, to serve two hundred users a day.39 It is a challenge to meet the constantly rising demand for bandwidth and satisfy competing needs. Academics may have to compete for bandwidth with students trying to download music or videos. A study in Zimbabwe highlighted the need for effective bandwidth management and optimization (Chitanana 2012). As part of its programmes in Africa, INASP promoted improved bandwidth management in universities, including implementation of appropriate policies and technical training of IT staff, (e.g. Belcher, Jackson, and Fearon 2008). Mobile telephony overtook fixed lines at the turn of the millennium, and the rapid spread of smartphones means that mobile internet is rapidly overtaking fixed internet access (Stork, Calandro, and Gamage 2013). It is not yet sure, however, what difference this will make to the use of the internet for scholarly purposes. Much will depend on the cost of data.

8.9.3 North-South flow more broadly To conclude this discussion of North-South flows, it is worth noting a few other aspects of North-South information flows. With some notable exceptions, such as India, developing countries import far more books than they produce. Various factors account for this, including small, linguistically fragmented domestic markets; the cost of importing printing technology, paper and ink; the failure of state publishing enterprises; difficulties of competing with multinational publishers with access to capital, expertise and distribution networks; and a continuing post-colonial mindset of dependence on imported books from the former colonial powers, particularly Britain and France (Altbach 1992, 1996). A decade later there has been considerable development, but in the absence of supportive measures on the part of government and international development agencies, it remains difficult for textbook publishers in sub-Saharan countries to compete with publishers in the North (Read 2015).

38 For example, it was reported in 2012 that the University of Abomey in Benin received a bandwidth upgrade to 20 Mbps (Biztech Africa, “Benin university gets high speed bandwidth,” http://www.biztechafrica.com/article/benin-university-gets-high-speed-bandwidth/4320/, accessed 2018-06-09). In the Netherlands, most households are connected via cable internet, with subscriptions up to 120 Mbps offered nationally in that year. By 2012 virtually all Dutch households had access to broadband of 55Mbps or more (Statistics Netherlands 2012, 73–78). 39 Example cited by K. Lewis (2017).

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Online bookselling, and notably the advent of Amazon.com and the e-book, has had a disruptive effect on traditional bookselling, leading to the demise of both large and small booksellers in the North. It is to be expected that negative effects will be felt in the South, where bookshops are not so well established. Already the internet is changing patterns of book-buying in the South. Clients can now order books online from North-based online stores, especially Amazon.com. For example, in South Africa, academics are reported to be mostly buying their books online. By 2006 hardly any substantial stock-holding academic bookstores remained (South African Book Development Council 2007, 44).40 It is worth noting that online bookstores have also made their appearance in the South, for example in Kenya.41 Because of the dominant North-South flow of books, public lending right (PLR),42 implemented in many countries of the North as a mechanism to compensate and encourage authors, could have detrimental effects in the South. If implemented in developing countries, most of the royalties collected would flow to authors in the North. Given their currency problems, this would add an additional burden to libraries in the South. Obstacles to PLR and its potential negative effects in South African public libraries were discussed by Masango and Nicholson (2013). IFLA has stated that PLR should be rejected in developing countries where resources for payments would have to be diverted from basic public services, and in countries which have low literacy rates and lack a reading culture (IFLA 2016b). Book donations represent a significant North-South information flow. Not all are altruistic; donors may seek to promote their country’s image, their language or religion, or they simply seek tax relief (Sturges and Neill 1998, 96–99; Sturges 2014, 20–24). In small developing countries even well-intentioned book donations may have unintended negative effects on the book chain, swamping the small domestic book markets and stifling indigenous authorship and book production (Rosi 2005, 17–22).

40 Alarm was also expressed in South Africa about the demise, attributed to Amazon.com and e-books, of independent booksellers (Pampalone 2012). However, in the USA, independent booksellers are recovering, while Amazon.com itself started opening physical bookshops (Milliot 2017). 41 The Text Book Centre, in Nairobi, Kenya, is an online bookstore (https://textbookcentre. com/, accessed 2018-06-11). eKitabu, also in Nairobi, sells e-books from around the world (http://www.ekitabu.com/index.php/about-us/, accessed 2018-06-11). 42 Public Lending Right refers to two separate concepts: (1) a limited monopoly right entitling a copyright owner to prohibit public lending of a work; (2) a remuneration right entitling authors to receive remuneration for public lending of their works (IFLA Committee on Copyright and other Legal Matters 2005).

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Conferences, workshops and various professional development programmes offered by organizations in the North constitute an important form of knowledge transmission for LIS development, which will be dealt with in Chapter 9. I note in passing that in North America and Europe, tighter restrictions on the entry of people from the South, can become a serious barrier to entry for academics (Britz and Ponelis 2012; Minai 2018). This affects South-North information flow as well. International standards, guidelines and manifestos for LIS and standards for scholarly communication and media more generally, are largely developed in the North. If developed by international organizations such as IFLA, ISO or UNESCO, there will have been opportunities, albeit limited, for inputs from experts in the South. Industry standards, on the other hand, are largely determined by commercial interests in the North.

8.10 Global information flows: South – North The flow of information from South to North is much smaller than in the other direction. This information flow takes on various forms, each of which has political-economic dimensions.

8.10.1 Seven forms of South-North information flow Six forms of South-North information flow were identified by Britz and Lor (2003). Here seven forms of information flow are identified. For research libraries in the North, the purchase of publications from the South can be quite challenging. They may have to send staff on acquisitions trips and cultivate special relationships with local agencies and suppliers. The field offices established by the U.S. Library of Congress as part of the National Program for Acquisitions and Cataloging (NPAC) were referred to in Chapter 1, Section 1.8. Local purchases by these offices aroused some resentment among African librarians who found that libraries in the North held better, more comprehensive collections of publications from their countries than their own libraries. This response, probably born of frustration at the impediments facing African librarians, appears at first sight to be illogical, because the acquisition of African materials by major institutions provides some safeguard against loss (Britz and Lor 2003, 165–66). However, it was pointed out by U.S. Africanists that these purchases had unintended consequences. For example, the use of local currencies to pay for purchases deprived local publishers of badly needed

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foreign currency (Limb 2002, 53–54). On the other hand, reliance on an agency such as a field office of the LC helps to overcome a barrier to acquisition of material from the South. The acquisition of unpublished documentary heritage materials such as archives by wealthy institutions in the North arouses concern in the South. This kind of South-North information flow really goes back to colonial times, when traders, missionaries and other individuals collected exotic artefacts and reported on their travels. For example, early Western reports on the country now known as Zimbabwe are to be found in Portuguese, English, Dutch, German and French archives (Mazarire 2002, 40–41). Most developing countries have at least some of their records held beyond their boundaries. These include various categories of ‘migrated archives,’ one of which comprises records created in the colonies and subsequently transferred to the colonial powers (Mnjama 2002). This South-North flow continues today when wealthy institutions in the North buy up archives and collections from individuals and institutions in the South, where awareness of their value as national heritage may be lacking. They may also be bought on the open market, where local institutions cannot match the offers of wealthy institutions in the North. For example, the papers of eminent South African authors such as Nadine Gordimer and Athol Fugard are now held in North American universities (Titlestad 2012). Arguably, such collections are part of a country’s national intellectual and cultural heritage and should be held in the country of origin where they are accessible to local scholars and students and can attract foreign scholars who bring with them foreign currency (Britz and Lor 2003, 166–68). It has been suggested that the problems raised in connection with the first two categories can be solved or alleviated by digitizing the materials. Institutions in the North have been active in digitization projects in the South, as they were in earlier large-scale microfilming projects such as the Cooperative Africana Microform Project (CAMP), the Latin American Microform Project (LAMP), and the Middle East Microform Project (MEMP) (Simon 2005). Microfilming and digitization are undoubtedly beneficial for purposes of both preservation and access. However, power relations are also implicit in programmes to digitize both unique unpublished heritage materials and rare and fragile published materials (such as newspapers) from the South. Here questions arise, for example, about who decides what is to be digitized, who interprets the materials, who retains the originals, who holds the rights and may gain access to the digital files (Lor and Britz 2004b; Kagan 2007b; Lor and Britz 2012). Complex ethical and moral problems were found to affect the South African DISA project, undertaken in partnership with a U.S. foundation, to digitize documentary heritage materials relating to the struggle against apartheid (Pickover 2008). In Mali, an

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insightful study of an international collaborative project to preserve the Timbuktu manuscripts, revealed a number of contextual issues, including political sensitivities arising from the postcolonial relationship between the host country of the project, the former colonial power (in this case, France) and the different understandings of African heritage held by the collaborating parties, which also included UNESCO and South Africa. These relationships were “marked by undercurrents of struggle” (Dong 2012, 281). In Section 7.12 reference was made to the exploitation of indigenous and traditional knowledge by corporations based in the North to patent genetic material and drugs known to traditional communities. A well-known case is that of a patent awarded to the University of Mississippi Medical Centre in the USA for the use of turmeric in the treatment of wounds. The patent was revoked by the U.S. Patent Office after the Indian Council for Scientific and Industrial Research showed that this was well known and documented in India, so that the claimed invention did not meet the criterion of novelty (Ganguli 2000, 49–50). While a South-North flow of culture is highly desirable inter alia to counterbalance the cultural influence of the North, there are copyright questions relating to folklore, traditional dance, ceremonies, music, costume, rock art, body painting, etc. There are also questions concerning the appropriate and respectful use of traditional cultural expressions in an alien environment (Pilch 2009a; J. Anderson and Younging 2015).43 Research data are collected or created by researchers from the North in the course of research they carry out in the South. Once a project is completed, some researchers take all their data home with them and fail to give feedback to the communities where they conducted their research. A disastrous example concerns the Ebola epidemic in West Africa in 2014–2015. In Liberia, where health services were taken by surprise, over 4,800 patients died.44 It appears that European researchers had reported in 1982 that Liberia should be included in the Ebola virus endemic zone. However, this information never reached Liberia: Part of the problem is that none of these articles were co-written by a Liberian scientist. The investigators collected their samples, returned home and published the startling

43 Often, the copyright issues arise within developed countries that have populations of First Peoples, such as Native Americans and Australian Aborigines. For a set of informative case studies on the latter, see Janke (2003). WIPO has published a set of Background briefs covering various aspects: WIPO. “Traditional knowledge and intellectual property,” http://www.wipo. int/publications/en/details.jsp?id=3858&plang=EN, accessed 2018-06-11. 44 US Centers for Disease Control and Prevention, “2016 Ebola outbreak in West Africa – case counts,” https://www.cdc.gov/vhf/ebola/outbreaks/2014-west-africa/case-counts.html, accessed 2018-06-11.

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results in European medical journals. Few Liberians were then trained in laboratory or epidemiological methods. Even today, downloading one of the papers would cost a physician here $45, about half a week’s salary (report in New York Times 8 April 2015, cited by Hackett 2016b, 11).

The ethical dimension of this is dealt with in Section 4.10. The migration of well-educated scholars and professionals from the South to the North is referred to as the brain drain. This represents a substantial loss to their home countries. For example, in 2003, it was found that 15% of doctors practising in the USA had received their medical education in low income or lower-middle income countries, with sizable numbers from India, the Philippines, Mexico and Pakistan. Among them, there were over 5,000 doctors trained in sub-Saharan Africa (Hagopian et al. 2004). If anything, the numbers have increased (Firsing 2016). It has been alleged that the monetary value of their education and expertise may exceed the total value of development aid. But there are some benefits for the South too. These scholars and professionals send back remittances to their relatives, and they may return to their countries or visit there from time to time to teach and share knowledge and skills. This is referred to as “brain gain” (Britz and Lor 2003, 170–71; Economist 2011; Benedict and Ukpere 2012). However, a quite rigorous quantitative study of migration by a sample of “the best and the brightest” graduates from four developing countries and New Zealand, while showing that the migrants themselves benefited substantially, did not provide unequivocal evidence of the “brain gain” assumptions posited by other writers (McKenzie and Gibson 2010). Scholarly information is concerned with contributions by scholars and scientists in the South. This is discussed in more detail below. The various forms of South-North information flow have both positive and negative aspects. Certain of them are exploitative. In other cases, the relatively small trickle can be interpreted as neglect. There have been some positive developments since the article by Britz and Lor (2003) was published. For example, awareness of the political-economic and ethical implications of these flows has grown, and this is reflected in publications and actions such as the adoption of ethical codes as referred to in Section 4.10. However, the underlying structural conditions of unequal power relations remain.

8.10.2 Scholarly information Until the advent of open access, scholars in the South who wished to publish their work in journals had two options, to publish in an “international”

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journal45 or in a domestic journal,46 i.e. a journal published in their own country. Generally, the objectives and the economics of international and domestic journals differ. Domestic journals are not expected to generate profits, but they are set up to promote science and scholarship in the country, to cover subjects which are of more local interest, and to disseminate findings to the country’s scientific and professional practitioner communities, including contributions in national languages. A large national system such as SciELO can invest resources in raising the quality of the country’s scholarly output. For the above reasons “national journals” that receive government funding have been established in a growing number of developing countries. Through this intervention, “two parallel communication streams” have in effect been created for scientists in these countries (Meneghini 2012). Unfortunately, some domestic journals are poorly edited and poorly produced, and many appear irregularly. Because of poor bibliographic control, they may be difficult to identify, order and accession. Concerning quality control, Meneghini (2012) has stated baldly that peer-review at national journals is simply of a lower standard owing to several factors that include a lack of training in objective research assessment, greater leniency and tolerance of poor‐quality science, and an unwillingness by top researchers to participate because they prefer to give their time to the selective [i.e. international] journals.

In smaller developing countries, the pool of academics available to edit journals and referee articles is small.47 While a system of double-blind peer review may be in place, in practice authors and referees will quite often be known to one another, which makes it difficult to maintain quality standards. In addition to quality problems, many of these journals have small circulations. Since they do not have many readers outside the country of publication, they are not frequently cited elsewhere (Salager-Meyer 2008, 123). Such factors make them ineligible for inclusion in major indexing and abstracting databases such as Web of Science (originally produced by the Institute for Scientific Information, ISI, currently continued by Clarivate Analytics) and Scopus (published by Elsevier). These are the world’s two largest multidisciplinary citation databases. They use the journal impact factor (a measure of how

45 There is a certain arrogance in assuming that a journal published in Boston or Amsterdam is an “international” journal, while one published in New Delhi or São Paulo is not. 46 I use the term “domestic journal” here, reserving the term “national journal” for publicly funded journals of national scope, as discussed below. 47 For anecdotal evidence, see S. Harris (2015)

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frequently articles in a journal are cited) as a criterion for inclusion, but it is skewed in favour of journals that are already highly ranked. Inclusion in a database enhances a journal’s visibility, so that it will be read and cited more frequently. Conversely, it is difficult for a journal with a low journal impact factor to break into the prestigious circle. A study by Mongeon and Paul-Hus (2016) comparing the coverage of Web of Science and Scopus found that more than half of the journals they covered were published in the USA and the UK. From the South, only China, India and Brazil featured among the top 15 countries, together contributing roughly 6% of the journal titles.48 English-language journals were over-represented. For further data, see Salager-Meyer (2008, 122–23), who has situated this phenomenon in the context of a centre-periphery dichotomy. Web of Science and Scopus are not unique in this respect. The world’s major bibliographic databases are published in the North and tend to have unequal coverage of North and South. The other option for the South’s authors is to submit their work to “international” journals, which in practice means large-circulation, prestigious journals published in the North. A number of developing countries have initiated incentive schemes to encourage their researchers to publish in “accredited” peer-reviewed journals (Kana 2016). These are mainly based in the North, although domestic journals which meet given criteria may also be accredited. Such schemes can have negative side-effects (Vaughan 2008). In prestigious North-based journals, rigorous standards of peer review49 are applied, and their rejection rates are high. Submissions may be rejected for various reasons. Some authors in the South are handicapped by poor command of English and other Western languages and may simply not be able to convey their findings understandably in those languages. Other authors may lack experience in constructing their manuscripts in accordance with Western academic conventions (Canagarajah 1996; Flowerdew 2001). For reasons mentioned earlier, the South’s authors often do not have access to well-stocked libraries, and they may not be able to obtain foreign currency for purchases of books and journals. Some major publishing houses wishing to encourage potential contributors from developing regions offer programmes to assist authors, for example the STAR programme of Taylor and Francis, a publishing house, which offers 31 days’ free access to the

48 The figures I give here are approximations. The two databases differ in size and coverage and their coverage of journals by country and language. Scopus is larger and has better coverage of non-US journals and journals in languages other than English. 49 There is quite widespread scepticism concerning peer review, expressed for example in an article by a former editor of the British medical journal (R. Smith 2006).

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company’s journals.50 In the case of NGOs, authors in the South find out ways to work around the obstacles posed by publishers’ paywalls, for example by asking colleagues in the North to obtain copies of articles for them. This slows down research progress and “creates a dependency among Southern actors on Northern Institutions to access relevant research data. . .which inadvertently become gatekeepers of research articles” (Ashra-McGrath 2017). One symptom of a deficient North-South information flow is the occurrence of out of date references in manuscripts submitted to journals by authors from some developing countries. Referees may also find that these authors are doing research on topics or using approaches that were popular a decade or two ago but are now passé. Some authors from the South may be researching issues relevant to their countries – which is what they should be doing – but which are not seen as of interest in the North. In a study of the New England journal of medicine (a leading U.S. journal) during 1997–2004, Lown and Banerjee (2006) found that less than 3% of its substantive articles dealt with health issues in the developing world. (Coverage in major British medical journals was somewhat better.) Some distortion of research focus may occur, where priority is given to research topics likely to lead to publications acceptable in Western journals, instead of developmentally relevant topics. In Africa, it has been reported that dependence on foreign funding may also shift the focus of research away from work that is more relevant to the local context (Mngomezulu and Maposa 2017, 181–82). More worrying are allegations that simply having an address in the South reduces an author’s chances of being published by ranking journals. There is some empirical evidence to support this (Gibbs 1995; Salager-Meyer 2008, 125– 26). A study by Meneghini, Packer and Nassi-Calò (2008) found that articles from Latin America were cited less frequently than other articles in the same journals, except in cases where they were co-authored by authors from developed countries. However, it could not be determined whether this was the result of quality differences or a “psycho-social trend,” i.e. bias. Obstacles to publication in recognized journals have unfortunately rendered young scholars from the South susceptible to the appeal of predatory journals (Balehegn 2017). The language barrier remains a significant obstacle to international information flows and, for that matter, to information flow among scholars in all parts of the world where different languages are spoken. The rise of English as

50 Taylor and Francis, “STAR: supporting authors in emerging regions: access journals for free,” http://authorservices.taylorandfrancis.com/supporting-authors-in-emerging-regions/, accessed 2018-06-11.

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the lingua franca of science has several negative effects. Non-English publications are under-represented or difficult to find in bibliographic databases. English-speakers tend to assume that most of what is relevant and useful will be in English. They probably make less effort than they used to do to master another language that might be considered significant for communication in their field. However, in a study of the language barrier in biodiversity conservation, it was found that ignoring non-English science means ignoring around 36% of what is available. In any field where geographic variations are significant, this may mean missing data that are important to understanding the global environment. This is also true of the health sciences. When authors from non-Englishspeaking countries publish in English, they also make it more difficult for their compatriots to gain access to locally relevant knowledge (Amano, GonzálezVaro, and Sutherland 2016). A fundamental and complex question related to the barriers affecting the South’s scholars, concerns different understandings of what constitutes science. There is much discussion on such issues as the status of indigenous knowledge and indigenous science, the relationship of culture to knowledge and science, how Southern science relates to Western science, the complicity of the latter with colonialism and capitalism, and the “decolonization” of science and education. For a brief survey of these debates in India, Latin America, Australia and South Africa, see L.J.F. Green (2012). Some mitigation of practical problems is provided by the internet and the advent of open access. Electronic journals offer enhanced opportunities for journal publishing in the South. While the editorial work of an e-journal is no less demanding than that of a print journal, e-journals do not need supplies of imported paper and printing ink, they are not delayed when printing presses grind to a halt because of a lack of spare parts, and no money has to be spent on postage and packaging. If the local e-journal is published using appropriate open access platforms, the visibility of the authors is greatly enhanced; in that respect the internet helps to level the playing field. This also applies when scholars in the South post their work in institutional repositories in their own countries or institutions. Google Scholar, which is much less selective than the commercial citation databases, provides far wider coverage of the South’s publications, especially those in languages other than English (Harzing 2018). It is thought that wider exposure of the South’s research output should stimulate qualitative improvements. A number of aid agencies, such as INASP, have stepped in to assist in the development of open access journals in the South, inter alia by providing training workshops for authors, editors, and publishers. Some specific projects are described in Section 12.7. However, access to reliable bandwidth remains critical. Increasingly, all the

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procedures involved in publishing a journal article are carried out online. To submit an article, revise and proof-read it, or to serve as an editor or referee, a scholar needs a good connection to the internet. This applies to journals published in the North as well as those published in the South.

8.11 Global information flows: South – South In the case of South-South flows a number of factors impede the sharing of information resources produced in the South. This should be seen against the background of political disunity in the South, as diagnosed in The challenge to the South, a report of the South Commission51: South-South co-operation has been a goal of developing countries’ foreign policy for close to four decades. It has evolved in response to changes within the South, as well as in the world economy and in the South’s relations with the North. A great deal of intellectual, political, and organizational energy has been invested in South-South co-operation, much has been learned but so far not much has been achieved (South Commission 1990, 143).

Starting with the Afro-Asian Conference in Bandung, Indonesia in 1955 (the Bandung Conference) and the founding of the Non-Aligned Movement in 1961, a large number of international, regional and sub-regional organizations were created as the countries of the South strove to improve South-South cooperation in order to reduce their dependence on the North. However, the world economy was (and remains) largely organized on a North-South axis, in which the South sold primary products to, and imported manufactured goods from, the North. The South’s bargaining position was further eroded by disunity, rivalry, and weak intergovernmental institutions. Specifically, South-South information flows were neglected: Insufficient attention has been given to the need to improve information flows within the South in order to enlighten public opinion about conditions in the South. Information flows tend to be largely between the North and the South; intra-South information channels are few and weak. In very few developing countries is adequate information available about other developing countries – their institutions, cultures, products, and capabilities (South Commission 1990, 150).

51 The South Commission, chaired by former President Julius Nyerere of Tanzania, functioned from 1987 to 1990. It work was carried forward by the South Centre, an intergovernmental organization of developing countries, which is based in Geneva. South Centre, “About the South Centre,” https://www.southcentre.int/about-the-south-centre/, accessed 2018-06-11.

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Information and communications were listed among the ten “functional areas” (p.165) that were prioritized in the Report. To promote solidarity, it was recommended that information and news about the South should be disseminated to the public and that infrastructural links between the countries of the South should be improved; such “horizontal links” within the South should contribute to “reducing dependence on the North-based global information services, and to diversifying sources of information in developing countries” (South Commission 1990, 195–96). Since 1980 much has changed. One sign of change is the formation in 2006 of BRICS, an association of five major emerging national economies (Brazil, Russia, India, China, and South Africa).52 In 2015 BRICS had 42% of the world population. In the same year, the four original BRIC members accounted for 27.2% of the world’s gross national income (GNI). In 1980, their GNI had amounted to only 12.2%. BRICS seeks to assert its influence vis-à-vis the North and the South. The BRICS countries are having an impact on the development of their less developed neighbours (Morazan et al. 2012, 6–8). The fact that Russia is a member reflects the momentous changes that took place when the Soviet Union broke apart and the old tripartite world order (First World – Communist Bloc – Third World) was disrupted. Although the BRICS Strategy of 2015 refers to “information exchange” in various contexts (BRICS Summit 2015), this does not appear to have resulted in any specific infrastructural or institutional initiatives. At the time of writing BRICS countries were facing a range of economic and political challenges (Tisdall 2016). The rise of BRICS and a number of other emerging economies has also raised questions about the future of cooperation and solidarity among the countries of the South (cf. Gray and Gills 2016). Simplistically stated, will the emerging economies challenge the existing capitalist world order, or will they be coopted by the global political-economic system? Although there have been significant shifts in the economic strength of certain groups of developing countries, this does not yet appear to have significantly altered patterns of information flow among them. This aligns with the finding of Reyes and Centeno, cited earlier. Although they also mention the emergence of regional networks, “each developing sub-network centrality,” they commented that “the ‘Global South’ does not establish links within itself but concentrates on making connections to the rich” (Reyes and Centeno 2011,

52 South Africa was invited to join in 2010. It has a much smaller economy than the other four and does not match their profile but was at that stage the largest economy in Africa (Morazan et al. 2012, 6).

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29). Referring to research on infectious disease in developing countries, Okeke (2007, 78) commented that scientists from the South collaborated with colleagues in the North, while “collaborations, or even interactions, among developing-country scientists are rare, even though objectives and problems are more likely to be shared.” She attributed this to lack of laboratories that have the capacity to lead collaborations. Communication links between countries of the South leave much to be desired. As mentioned earlier, airline routes tend to connect the South with the North more than with the South. South-South air travel is often far more expensive relative to distance. In West Africa, aviation routes tend to connect Francophone West African countries with France and Anglophone countries with Britain.53 Postal and telephone communication between countries of the South are poor, although the internet is helping to bridge these gaps. Nevertheless, continuing dependence on former colonial powers contributes to the persistence of cultural differences which impede communication; in many countries of the South educational and research structures and traditions were formed during colonial rule and remain heavily influenced by their former colonial powers. Together with the dominance of the former colonial languages, this is a barrier to communication between, for example, Anglophone, Francophone and Lusophone countries of sub-Saharan Africa.54 The international dominance of Western science and scholarship causes scholars in the South sometimes to undervalue their own work. This psychological dependence is compounded by dependence on abstracting and indexing databases that are predominantly located in the North. As mentioned earlier, such databases do not ensure good coverage of scholarship from the South. Additionally, bibliographic control in most countries of the South is incomplete, slow or altogether lacking. The result is that it is often much easier to find relevant literature from the North than from one’s own country, let alone from neighbouring countries. This is a problem that is being mitigated by the Web, especially by such tools as Google Scholar and by social networks such as Academia and LinkedIn.

53 In 2003 South African conservators who travelled to Timbuktu to assist in a project for the conservation of manuscript collections had to fly from Johannesburg to Paris, and from there to the Malian capital, Bamako. From there they travelled to Timbuktu by road under armed escort. 54 The divisions between Anglophone and Francophone Africa constitute a significant factor in the African Union. See, for example, Institute for Security Studies, “Africa: It’s Shakespeare vs Molière in the African Union,” https://issafrica.org/pscreport/addis-insights/its-shake speare-vs-moliere-in-the-african-union, accessed 2018-06-11.

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8.12 Global information flows: North – North North-North information flows do not attract nearly as much attention as information flows involving the South. As mentioned earlier, there is far more communication among the countries of the North. Maps of transport and telecommunications links typically show massive bundles of connections across the North Atlantic Ocean and the North Pacific, dwarfing those connecting the North to the South (e.g. Prigg 2012). Maps of internet connections also show extremely dense networks within the USA and, to a somewhat lesser extent, Western Europe (T. B. Lee 2014, fig. 7). Information flows between these rich areas of the world are taken for granted. However, all rich areas are not equal. The USA lies at the heart of what Reyes and Centeno (2011, 29) have called the “global rich clique.” They also observed that “many of the ‘haves’ are not communicating with one another – only their ‘have not’ satellites and the United States.” In the study by Mongeon and Paul-Hus (2016) which was referred to earlier, U.S. journals constituted 28.4% of all the journals included in Scopus (which has a larger database and better international coverage than Web of Science), and U.S.-based authors accounted for 22,5% of the articles in Scopus.55 The UK accounted for 23% of journals but only 6.6% of articles. The third-largest producer of journals was the Netherlands (7.3%), but Dutch authors contributed only 2.1% of the articles. In the case of Germany, the percentages were roughly in balance (5.8% of articles and 6.0% of journals). Five other countries of the North (Japan, France, Italy, Spain and Australia) together contributed 19.2% of the articles and 10.1% of the journals. This imbalance56 suggests that authors from other countries are publishing in the journals published (mainly in English) in the USA, UK and the Netherlands, the three countries where a disproportionate number of the top scholarly journal publishers are based. Thus, in respect of the North-North flow of information there is some evidence for the concentration of scholarly publishing in the “global rich clique” and in the English language. I note in passing that this imbalance is most marked in the case of China, which accounted for 2.4% of the journals, but 16.0% of the articles, indicating that Chinese authors are publishing on a large scale in journals published in the USA, UK and the Netherlands.

55 These inferences are based on their Table 2. 56 In considering the relationship between number of journals and number of articles per country, there are various assumptions. One of them is the assumption that journals in the various countries publish, on average, about the same number of articles.

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All this suggests that an asymmetry exists in North-North information flows which is not unlike that affecting North-South and South-North relations. European scholars are publishing a significant proportion of their work in English and a significant proportion are able to utilize English-language resources. This varies by country and by subject field. In smaller countries such as Denmark or the Netherlands, scholars accept that they must publish in English if they want to be read and cited internationally, and higher education courses are often presented in English. There is more resistance to this trend in France, Germany, Spain or Italy. In the humanities and social sciences, national languages are more widely used, reflecting cultural and paradigmatic differences, for example in philosophy and sociology. On the other side of the Atlantic, scholars are more likely to use only English-language publications. It was estimated in 2010 that only 18% of Americans speak a language other than English,57 while 53% of Europeans speak a second language. At the same time, the number of American students studying a foreign language was declining, and only 50.7% of American higher education institutions required the study of a foreign language for the Bachelor’s degree (Skorton and Altschuler 2012). In the UK, despite official concern, there is a similar reluctance to learn foreign languages (Hutton 2012). In continental Europe, on the other hand, most countries require a foreign language from primary school level onwards, English being the language most chosen (Devlin 2015). Americans’ reluctance to master foreign languages is well known (A. Friedman 2015). This has the detrimental effects already pointed out in Section 8.10 and Section 8.11. Given the excellent broadband connectivity, it is tempting to assume that document supply requests between countries of the North must be filled swiftly and without hindrance. This is not necessarily the case. The same copyright obstacle to North-South flow that was discussed in Section 8.9 also applies to the North-North flow of information. Data obtained by Hackett (2016b, 10) show that from the introduction of the BLDSC‘s International NonCommercial Document Supply (INCD) service in 2011 to 2015, its last full year of operation, document requests from hospitals in fourteen other European countries and Brazil declined from 1775 to almost zero. For decades, the BLDSC was the world’s “library of last resort,” but this role has now been abandoned. Reductions in its budget and the growth in the number of scholarly publications worldwide have also affected its ability to acquire and house material published outside the UK. This is bad news for scholars all over the

57 One assumes that Americans with higher education have more foreign language competence than the average American.

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world. Commenting on the BLDSC’s vital role in document supply, Hackett wrote: Finding alternative sources for material that is not readily available takes time and expertise. Libraries that employ specialist inter-library document supply librarians might have a chance of tracking down hard-to-find items using their expert knowledge, networking skills and online resources. At less well-resourced institutions, and at the majority of libraries that do not have access to specialist staff, faculty, researchers and students are at a loss. When the item cannot be found, it denies or delays research. When the collection of a major library, such as the British Library, is put beyond the reach of libraries in other countries, the loss to the global library and research communities is significant (Hackett 2016a, n.p.).

The implication is that, even in the affluent North, information users who are not affiliated to large academic or research institutions are by no means assured of access to information from libraries in neighbouring countries. Various other aspects of the North-North information flows deserve further attention, for example, the impact of: – The European Union and the Council of Europe, on information flows within Europe, especially in light of widespread exchanges of scholars and students – Controversial proposals for the modernization of EU copyright law, under discussion at time of writing58 – The withdrawal of the UK from the European Union (‘Brexit,’ impending at time of writing) – The intellectual property provisions of proposed free trade agreements spanning the Pacific and the Atlantic (less imminent under the Trump administration).

8.13 Conclusion Patterns of information transfer are morphing, as political and economic power shifts. Simple distinctions between North and South no longer apply. Japan has long been counted as part of the North. South Korea, Taiwan and Singapore have taken on characteristics of the North as well and are often included among the developed countries. China and India are emerging ICT giants: a 2016 survey by the UN Broadband Commission for Sustainable

58 CREATe, “EU copyright reform.” http://www.create.ac.uk/policy-responses/eu-copyrightreform/, accessed 2018-12-04.

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Development showed that both China and India are larger internet markets than the USA.59 BRICS was referred to earlier. Other economic categories of developing countries such as CIVETS (Colombia, Indonesia, Vietnam, Egypt, Turkey and South Africa) and the “Next Eleven”60 (Morazan et al. 2012, 6) are emerging. More nuanced understandings of information flows are needed. There are more international political-economic aspects of LIS that deserve attention. In principle, any aspect of LIS can be examined through the lens of political economy. Relations of political and economic power and influence are relevant far beyond the topics discussed in this chapter. Their effects filter down to the daily working environment of the librarian and information worker, affecting the resources and services that can be put at the disposal of the users – who themselves individually and in aggregate are affected by them.

59 UNESCO, “China, India now world’s largest Internet markets,” http://www.unesco.org/ new/en/media-services/single-view/news/china_india_now_worlds_largest_internet_mar kets/, accessed 2018-12-04. 60 For these and other groupings, see Wikipedia, “Emerging markets,” https://en.wikipedia. org/wiki/Emerging_markets, accessed 2018-11-04.

Part IV: Influence

9 International influence and diffusion of ideas in LIS We cannot wander at pleasure among the educational systems of the world, like a child strolling through a garden, and pick off a flower from one bush and some leaves from another, and then expect that if we stick what we have gathered into the soil at home, we shall have a living plant (Sir Michael Sadler, 1900, cited in Ochs and Phillips 2004, 7).

Outline 9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9 9.10 9.11 9.12 9.13 9.14

Introduction 463 Influence 466 Diffusion 468 Diffusion of innovations: the Rogers model 473 Limitations of the Rogers model 477 Other research traditions 478 Diffusion in LIS 482 Diffusion in ICT and information systems 485 Diffusion of policy 490 Policy transfer in applied social science disciplines 494 Policy transfer in education 501 Towards a framework for studying transfer in LIS 513 Exhibit A: Le retard français 524 Conclusion 531

9.1 Introduction Libraries of one sort or another are to be found in most if not all countries of the world. They differ greatly in their functions, organization, users, collections and resources, but for the most part they are recognizably libraries. An American librarian visiting Canadian libraries will recognize many similarities with those of her own country. A British librarian is likely to feel quite at home in libraries in Australia, New Zealand or South Africa; probably more so than in France or Spain. This raises questions about the reasons for the perceived similarities – are they the result of the influence of one country upon another?

https://doi.org/10.1515/9783110267990-009

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In the second of three essays on comparative librarianship submitted for the (British) Library Association’s Sevensma Prize in 1971, R.K. Gupta (1973, 44) emphasized that the “higher end” of comparative librarianship was to guide the “borrowing” of library ideas from other countries. This emphasis on the practical utility of comparative librarianship in facilitating the “borrowing” of policies or practices takes us back to an earlier, more innocent, period in our field when there was a simpler, somewhat naive, belief in the universality of the basic principles of librarianship. Gupta places this in the context of “cultural borrowing”: The idea behind the concept of cultural borrowing as applied to librarianship seems to be that a good practice, or a successful innovation, in the library art at any point and in any nation should be borrowed and adapted by others. . .. It is probably more difficult to borrow ideas, philosophies or theories than elements of material culture but as librarianship is a worldwide profession, the basic philosophy behind it is likely to have some common elements. The differences are likely to be in details, but as far as the philosophy of the profession is concerned, we expect to find a common denominator (Gupta 1973, 47).

This excerpt raises a number of questions that will be addressed in this chapter, which is about international influences and the international spread or transfer of LIS philosophies, policies, procedures, and technologies from one country to another. How do library ideas spread and what happens to them when they do? What is the role of culture? What is meant by “borrowing”? What is its outcome? To illustrate the pervasiveness of the spread of ideas and innovations in LIS, let us pay a visit, during school hours, to the library of a primary (elementary) school located in one of the more affluent suburbs of a South African city.1 We enter a room about twice the size of the adjacent classrooms. Bookshelves extend along the walls, but some space has been left for posters and artwork. Near the entrance to the room is a circulation desk. At the far end of the room there are tables and chairs, where boys and girls, of different ethnic origins, all clad in their school uniforms, are sitting reading, making notes or discussing group assignments. Closer to the desk there are some low island shelves with reference and non-fiction books. At the shelf ends are posters explaining the Dewey Decimal Classification scheme. Here some students are browsing, pulling out books and paging through them. They are probably looking for information for their assignments. One group is being helped by an older student wearing a red sash identifying him as a library prefect, one of a number of students who help the

1 Regrettably, this scene would not be replicated in a school located in less affluent areas. Less than half of South Africa’s children have access to a functioning and professionally staffed school library (G. Hart and Zinn 2007, 92–93).

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teacher-librarian. In this area there are also a number of internet-enabled computer workstations, each one surrounded by students. This vignette provides evidence of a great deal of international influence and diffusion of innovations that have taken place over a long period. In order of obtrusiveness I note: – The Dewey Decimal Classification – an American invention – is used for the shelf arrangement, here and in many other types of libraries in many countries. – The students are allowed to select books at the shelves ‘with their own grubby little hands.’ Open access to the stacks was an innovation that was hotly debated in American and British libraries in the late nineteenth and early twentieth century (Black, Pepper, and Bagshaw 2009), from where it spread to other countries, such as Denmark (Dahlkild 2006, 2009),2 particularly in public libraries. – The school library – the idea that there should be a library in every school – is part of an American school library model (cf. R. Knuth 1999) that spread to South Africa from the United States together with some competing British influence. More fundamentally, the image also illustrates some ideas of schooling which are probably due to American or British influence: – Co-education (boys and girls in the same school) – U.S. influence – School uniforms – British influence Most fundamentally, the photograph illustrates a major societal innovation (at least for South Africa): – Non-racial education How did these innovations reach South Africa? Did they take root successfully? How did this happen? What was the role of British and American influence? How was it exercised? Were the innovations adopted as is, or were they adapted to local conditions? What were the consequences of adoption and adaptation? In addition to much historical writing on libraries, there is a vast literature, spanning many disciplines, dealing with questions such as these, using terms such as diffusion and adoption of innovations, policy diffusion, technology

2 Black and Dahlkild refer to public libraries. I have so far been unable to find literature on the dissemination of the open access idea in school libraries. F.L. Carroll (1977) and R. Knuth (1999) discussed the dissemination of American and British school library ideas but did not mention shelf access.

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transfer, policy transfer, policy borrowing, policy learning, policy convergence and lesson-drawing (Lightfoot 2003). Various theories and models are proposed. In this chapter, I situate the concept of diffusion within the phenomenon of cultural change, before outlining some of the theories and models which may be relevant to the study of how libraries and information services in one country are influenced by those in another and how LIS-related innovations spread internationally. I then construct a simple general framework for studying this, which serves as background to chapters 11 and 12. This is followed by the first of a number of exhibits, brief and selective accounts of illustrative cases.

9.2 Influence Before proceeding we have to consider what we mean here by ‘influences.’ Can influences be measured? How is influence related to the transplanting or transfer of LIS philosophies, policies, procedures, and technologies from one country to another? The question of what constitutes influence and how it can be demonstrated, is important to historians, whether in political or economic history or the history of art or philosophy (W. T. Jones 1943, 192). In his primer of historical method, Louis R. Gottschalk (1969, 245) defined influence as “a persistent, shaping effect upon the thought and behaviour of human beings, singly or collectively.” This implies that influence is lasting rather than ephemeral, and that it gives rise to action by the party being influenced. Gottschalk’s discussion was mainly concerned with the influence of historical individuals and events. Influence is to be distinguished from the reputation and conspicuousness of the person or event thought to exercise influence. Influence implies significance or importance of the consequences attributed to the figure or event. However, the measurement of influence is a subjective process. The influence of a person or an event is not determined solely by their ‘intrinsic quality,’ but also by the receptivity of those influenced. Also, later events may have been influenced by earlier individuals or events of which the historian is not aware (Gottschalk 1969, 246–49). Thus, our estimate of “influence” can be nothing more than a guess as to what might have happened, what might have been the shape of affairs, if the influencing force had not existed or acted as it did (Gottschalk 1969, 251).

Gottschalk (1969, 261–62) put forward four tests for proving an influence of an event or individual A on an event or individual B. First, A must have preceded

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or at least occurred at the same time as B. Second, the thought or behaviour of B should show similarity to that of A. Third, if B acknowledges the influence of A, this may or may not constitute proof, since not all influence is acknowledged, and influence may be incorrectly attributed. Finally, the best proof that B was influenced by A is obtained by eliminating other apparent causes of B’s thinking or behaviour. However, usually it will be found that other factors cannot be eliminated entirely. Hence, influence with rare exceptions is best conceived of as part of a complicated and not easily separable puzzle. Here again awareness of the intricacies at least makes the puzzle intelligible and may provide a good start toward a solution (Gottschalk 1969, 262).

Jones pointed out that the relation between influencer and influenced (“the relation influencer-influenced”) is similar, but not identical, to that of cause and effect. In a causal relation between two events the effect should always occur if the same cause occurs, but in the influencer-influenced relation the influencing events are “unique and singular.” In a somewhat more rigorous treatment of conditions for determining an influencer-influenced pair A and B, Jones identified four necessary conditions, which I here summarize in somewhat simplified form: – Temporal priority: A must occur before B. – Dependence: In the absence of A, B would not have occurred in exactly the same way. – Awareness: A must have been known “to the owner, or producer of” B. – Similarity: B must be similar to A at least in some respects (W. T. Jones 1943, 194). In this chapter we are concerned with cross-national influence. Taking the school library case described above, it is clear that some forms of influence may be more readily and definitively traced than others. The adoption of the Dewey Decimal Classification (DDC) appears to be a clear example where all four conditions are met, although it must be recognized that intermediate influences cannot be ruled out a priori: the DDC may have reached South Africa via British school library practice rather than directly from the USA. But whether direct or indirect, the influence is undeniable. At the other end of the spectrum, the very concept of a school library is more difficult to attribute to a specific influence. Here the criterion of dependence poses a particular difficulty. The same applies to the acceptance of non-racial education in South Africa, which must be attributed to multiple international and domestic influences, if not pressures. In her doctoral dissertation on American influence on New Zealand librarianship, Maxine Rochester (1981, 208–59) attempted to apply Jones’s criteria

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systematically. She identified four “focuses of American librarianship” that she considered to have been borrowed in New Zealand.3 This was done in considerable detail. She concluded that library development in that country “was substantially changed” by “borrowing from American librarianship” (Rochester 1981, 294). The word “borrowing” is one of the key terms in the diffusion of ideas, but its relationship to influence is complex. Writing about the transfer of ideas in education, David Phillips and Ochs (2004, 774) have described educational policy borrowing as a “deliberate, purposive” process. Here “purposive” refers to the borrowing country, which, it is assumed, takes the initiative for borrowing. Imposed policy transfer, where the initiative is not taken by the borrowing country, is not policy borrowing. They pointed out that influence as such is “not in essence purposive, and not always positive in its effects” (David Phillips and Ochs 2004, 775). Cross-national influence can – but does not necessarily – result in policy transfer, whether voluntary (“borrowing”) or imposed. Whilst the term ‘influence’ is used especially in the context of historical studies, crossnational transfer of ideas can also be approached from the perspective of cultural anthropology, where the spread of ideas is seen in a different theoretical framework, as a form of diffusion.

9.3 Diffusion Culture is not static. Within cultures there are forces for change and others that resist or impede it. Anthropologists distinguish three sources of impetus for change: forces (such as technological inventions) at work within a society; contact between societies (such as trade, migrations, colonization and wars); and changes in the natural environment (such as desertification and global warming). There are also countervailing forces that resist change. Examples are attachment to traditional and familiar habits, religion; and the interconnectedness of cultural institutions, where changes in one institution (e.g. employment of women) trigger changes in other institutions (e.g. marriage, child-rearing and education) (O’Neil 2008).

3 I am indebted to Rochester for drawing my attention to Jones and Gottschalk.

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9.3.1 Processes of cultural change The term ‘culture change’ is much used in the literature of management, politics and elsewhere to refer to effecting change in values, attitudes and behaviour in the workplace, management teams, boardrooms, communities and even sports teams. In anthropological literature the term ‘cultural change’ is more often used. In the Merriam-Webster dictionary cultural change is simply defined as “modification of society through innovation, invention, discovery, or contact with other societies.” Undergraduate texts mostly identify discovery, invention and diffusion as the main mechanisms of cultural change (e.g. Brent and Lewis 2014, 71). For our purposes, diffusion is of particular interest. It is one of four processes of change that stem from contact between societies (O’Neil 2008). In diffusion ideas and innovations move from one culture to another. In the widest sense diffusion is defined as “the dissemination of any physical element, idea, value, social practice, or attitude through and between populations” (Perry 2000, vol. 1, p. 674). It is also known as ‘cultural diffusion’ or ‘transcultural diffusion’ to distinguish it from the diffusion of innovations within a single culture. Examples are the spread of agriculture from the Middle East into the rest of Eurasia around 10,000 BCE, the spread of printing from movable types throughout Europe in the 15th and 16th centuries, the use of Chinese characters in many East Asian languages, and the world-wide dissemination of American television series such as Dallas and the Oprah Winfrey show. The original meaning of the innovation may not make the transition, however, as is witnessed by the outward forms of parliamentary democracy which are found in some highly undemocratic states. In acculturation the cultural patterns of a society are overwhelmed by the arrival of a powerful group from outside. Bock (1996, 302) defined it as “the impact of dominant (colonial) societies on native cultures under conditions of sustained, first-hand contact.” The culture of the new arrivals becomes dominant, leading to the disruption, displacement or transformation of the culture of the original inhabitants. An example is European colonization of North America. Such acculturation may be accompanied by a reverse current, examples being the spread of tobacco smoking, learned from Native Americans, into Europe and throughout the world, and the popularity of a modified form of Indonesian cuisine in the Netherlands. Westernization, “the acculturative influence of Western expansion on native cultures” (Kottak 1994, 382), can be seen as a special and currently widespread case of acculturation. In transculturation, individuals such as immigrants who have moved into another society, fully adopt the language and customs of their new home. In the past many immigrants to the United States were so anxious to become

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accepted as Americans that they Americanized their family names and discouraged their children from speaking their mother tongue. In stimulus diffusion a new invention in a society is triggered by an idea that diffuses from another. An example is the invention of the Korean alphabet (Hangul), thought by some scholars to be the most logical ever devised, at the court of King Sejong the Great around 1444 (Hock and Joseph 1996, 107–8).

9.3.2 Types of diffusion Various types of diffusion can be distinguished, depending on how an idea or innovation spreads from its area of origin to other areas. Two such types are expansion diffusion, where the idea or innovation remains strong and may even intensify in the area where it originated as it spreads elsewhere, and relocation diffusion, where the idea or innovation spreads into new areas as it fades away in its area of origin (Cliff et al. 1981, 6–7).4 Two subtypes of expansion diffusion that were distinguished by Hanks (2011, 80–82) are of interest in our context: hierarchical diffusion involves the spread of cultural elements from urban centres in one country to those in others, from where they diffuse to smaller cities and rural areas – for example, the spread of fashions from the fashion capitals of the world to shops in small rural towns), and contagious diffusion, which occurs when new cultural elements are adopted very rapidly by large numbers of individuals, for example, the spread of the hairstyles and garb of the Beatles in the USA in 1964. An example of relocation diffusion from our field would be the adoption of various management techniques such as PPBS (Planning, Programming Budgeting System) or BPR (Business Process Reengineering) in South African libraries after they had already started losing favour in their countries of origin. Another example: visiting India in the early 1990s I was struck by the somewhat dated English used by newspapers such as the Times of India, where I saw turns of phrase redolent of earlier, possibly colonial, days, and by then no longer to be seen in the British press. Transcultural diffusion, where cultural elements are diffused from one culture to another, implies contact between two or more cultures. Such contact can occur through various agents, such as explorers, missionaries, traders, invading

4 An alternative view of relocation diffusion holds that relocation diffusion results from migration of the people bearing the artefacts or practices, and does not imply that the artefacts or practices disappear in their place of origin (Hanks 2011, 80).

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armies, colonists, and slaves, through trans-cultural marriages, and through the written word: letters, books, scholarly and popular media. Diffusion can thus also be classified in terms of the mechanisms through which these contacts are established. ‘Direct diffusion’ takes place between cultures of adjoining societies (for example, Italian influence on music and theatre in 17th century France). ‘Indirect diffusion’ occurs between cultures that are not in direct contact. In an era of internet-enabled globalization, the distinction between direct and indirect diffusion is becoming indistinct (Clements 2011, 370–71). ‘Forced diffusion’ is the result of conquest and subjugation of one people by another, for example the forced conversion of peoples to Christianity or Islam (Fritzinger 2016, 254).

9.3.3 Diffusionism Various theories have been proposed for transcultural diffusion. An example is ‘diffusionism,’ which holds that all cultures derive from a single culture or a limited number of cultures (referred to as ‘cultural hearths’) with cultural traits diffusing outwards from an innovation centre. Underlying this was a Eurocentric and colonialist worldview in which cultural elements were diffused from the centre (Europe) to the periphery (the rest of the world): The belief is both historical and geographical. Europeans are seen as the “makers of history.” Europe eternally advances, progresses, modernizes. The rest of the world advances more sluggishly, or stagnates: it is “traditional society.” Therefore the world has a permanent geographical center and a permanent periphery: an Inside and an Outside, Inside leads, Outside lags. Inside innovates, Outside imitates. This belief is diffusionism, or more precisely Eurocentric diffusionism (Blaut 1993, 1).

Such an understanding of diffusionism implies that only a few societies are capable of originating culture (Hugill 1996; Xia 2012, 85). It would deny, for example, that the Maya of Central America were capable of independently inventing an alphabet or designing edifices in the shape of a pyramid, hypothesizing instead that these ideas must have crossed the Atlantic from Egypt before Columbus. This theory was held by the adventurous Norwegian ethnologist, Thor Heyerdahl, who in 1970 crossed the Atlantic Ocean from Morocco to Barbados to prove the feasibility of ancient transatlantic travel.5 The hypothesis of such ancient transatlantic diffusion has been largely discredited. The opposing

5 History.com, “This day in history: May 17, 1970,” https://www.history.com/this-day-in-his tory/heyerdahl-sails-papyrus-boat, accessed 2018-06-15.

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school of thought is the evolutionary position, which is today more generally accepted. It postulates the notion of the “psychic unity of humankind” (Hugill 1996, 343) and assumes that people everywhere are essentially identical and capable of independently inventing “the basic constituents of social life” (Kuklick 1996, 161). Hence it is thought that many similar ideas arise independently in different cultures. Thus, libraries and archives (often undifferentiated initially) have arisen independently in Mesopotamia, Egypt, India and China. On the other hand, in modern times libraries and archives in most parts of the world have, through processes of trans-cultural diffusion, been strongly influenced by West European and more specifically Anglo-American models, to the extent that some earlier forms have been effaced.

9.3.4 Diffusionism and diffusion of innovations Although diffusionism gained a bad name through its association with notions of racial superiority, it still serves as a framework for the study of the adoption of innovations. Xia (2012, 84–85) distinguished between the anthropological and geographic concepts of diffusionism. Anthropologists associate diffusionism with acculturation, a generally gradual process of influencing which may be “reciprocal or overwhelmingly one-way,” to which diffusion contributes: Practically all the diffusion we have been considering either contributes to acculturation or can be viewed as an aspect of acculturation; and conversely, all acculturation is full of diffusion. The two are thoroughly interwoven. . . Diffusion is a matter of what happens to elements or parts of culture; acculturation, of what happens to cultures (Kroeber 1948, 425).

This diffusionism-acculturation concept is useful in understanding cultural globalization and transnational culture flows, which involve “a complicated process of mutually lending and borrowing cultural characteristics among societies” (Xia 2012, 84). Geographers place more emphasis on how environmental and social barriers affect the spread of culture. Over time, diffusionism has been subsumed under a process of “invention, adoption and rejection”: Invention as the result of creativity becomes the source of origin, which is communicated among people of adjacent societies to facilitate cross-cultural distributions. The beneficiary communities adopt the innovated technologies or systems by either imitating them or making proper adjustments for local use. On the other hand, those that resist new technologies are considered to have failed adoption (Xia 2012, 85).

Diffusion is not only of interest to anthropologists and geographers. Perry (2000, 675) suggested that three “families” or traditions of diffusion theory can

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be discerned in sociology: cultural diffusion (referred to above), diffusion of innovations, and collective behaviour (crowd behaviour, fads and fashions). The diffusion of innovations has been a topic of scholarly interest in various disciplines since the early 1900s. Everett Rogers (2003, 41–42) traced the roots of the study of innovations to a French lawyer and judge, Gabriel Tarde, a pioneer in sociology and social psychology, who in 1903 published a book entitled The laws of imitation (Tarde [1903] 1969). Rogers identified nine “major research traditions” in diffusion research, including anthropology (the oldest tradition), rural sociology, education, medical sociology, and marketing. The diffusionist perspective is pervasive in studies of innovation adoption.

9.4 Diffusion of innovations: the Rogers model The most important exponent of diffusion in relation to innovations was Everett Rogers (1931–2004). In 1962 Rogers, a rural sociologist who had studied the diffusion of agricultural innovations in the American Midwest, published the first edition of his influential book, Diffusion of innovations (Rogers 1962), in which he brought together diffusion research findings from the various disciplines and created the first version of his well-known generalized diffusion model.

9.4.1 Rogers’ four elements of diffusion Here the model of Rogers is outlined, with an emphasis on those elements which may be of relevance in the study of cross-national influence and innovation. Rogers (2003, 5) defined diffusion as “the process in which an innovation is communicated through certain channels over time among the members of a social system.” This definition implies the four main elements in the diffusion of innovations: – the innovation – communication channels – time, and – the social system (Rogers 2003, 11). These elements are depicted in the diagram adapted from Rogers (Figure 9.1). Rogers defined an innovation as “an idea, practice, or object perceived as new by an individual or other unit of adoption” (Rogers 2003, 12). The innovation is not necessarily new per se, but it is new to the person, group or organization which encounters it. Most of the innovations studied have been technological

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Prior conditions

I KNOWLEDGE

Perceived characteristics of the innovation

II PERSUASION

III DECISION

ADOPTION/ REJECTION

IV IMPLEMENTATION

Continued Delayed or Discontinued

V CONFIRMATION

COMMUNICATION CHANNELS

Characteristics of the decision maker

Figure 9.1: The Rogers model (Adapted from Rogers (2003, 170 Fig. 5-1; the original diagram is widely available on the web, e.g. at http://www.conceptlab.com/notes/rogers-2003-diffusionof-innovations.html).

in nature, comprising “hardware” (a tool as a material object) and “software” (a knowledge base for the tool.) Rogers (2003, 15–16) identified five characteristics of innovations that determine the rate of their adoption: – relative advantage (the degree to which the innovation is perceived as better than what it replaces) – compatibility (the degree to which the innovation is seen as being appropriate to the values, experiences and needs of the potential adopters), – complexity (the degree to which it is seen as difficult to understand and use) – trialability (the degree to which potential adopters can try it out without making a large commitment) – observability (the degree to which the results are visible to others) These characteristics have been formulated to serve as independent variables in empirical studies. This is typical of the model. The second element is communication channels. Rogers saw diffusion as that particular form of communication in which the message content is concerned

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with a new idea (Rogers 2003, 18). Communication channels in the diffusion of innovations can include mass media and interpersonal channels. The third element in the diffusion process, time, is implicit in three aspects of the innovation process. The innovation-decision process comprises five stages which occur over time as depicted in Figure 9.1: (1) knowledge, (2) persuasion, (3) decision, (4) implementation, and (5) confirmation, mostly but not always in that order. The innovation-decision period is the length of time it takes a given individual to progress from first learning of an innovation to making a decision to adopt or reject it. Here Rogers refers to the innovativeness of individuals, who tend to adopt an innovation at a relatively early or later stage. In terms of this variable the members of a population can be classified as innovators, early adopters, early majority, late majority, and laggards. The majority of individuals fall in the early and late majority categories and small percentages in the innovator and laggard groups. Various characteristics of these categories of adopters have been studied to determine whether these characteristics (or variables) are related to early or late adoption. The third aspect of the time element is the innovation’s rate of adoption, which is measured as “the number of members of the system who adopt the innovation in a given time period” (Rogers 2003, 20–21). This is a characteristic not of the innovators but of the innovation. These characteristics are potential dependent variables, as they lend themselves to measurement. The final element is the social system, which Rogers defined as “a set of interrelated units that are engaged in joint problem solving to accomplish a common goal.” These could be individuals, groups, or organizations. Within the social system Rogers considered social structure (“patterned social relationships among the members”), communication structure (patterns of who communicates with whom), norms of behaviour, and special roles that some individuals play in a community (such as opinion leaders and change agents) (Rogers 2003, 23–24). In addition to identifying the four elements of the innovation-decision process, Rogers identified four “types of innovation-decisions”: – Optional innovation-decisions occur when individuals may decide to adopt or reject an innovation regardless of what other individuals in the social system decide to do. – Collective innovation-decisions are decisions reached by consensus among the members of the social system. – Authority innovation-decisions are decisions made by a relatively small number of powerful or authoritative individuals in the social system. – Contingent innovation decisions are choices to adopt or reject that can only be made following an earlier decision (Rogers 2003, 28–29).

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An illustration of the types of decisions is provided by the decisions made in South Africa during the 1970s and 1980s on the adoption of a MARC (MAchine Readable Cataloguing) format. Initially individual libraries decided whether to use the American USMARC (United States MARC) catalogue record format, the South African version (SAMARC), or various system-specific MARC variants. This is an example of an optional innovation-decision. In 1996 South African cataloguing experts held a seminar on bibliographic standards at which it was decided to abandon the SAMARC format and adopt USMARC. This was a collective innovation-decision. The cataloguers working in these libraries were not given a choice, however. The decision was made for them by their library management. For them this was an authority innovation-decision. Following the profession’s decision to adopt USMARC, South Africa’s State Library made the contingent innovation-decision to terminate its development work on the SAMARC standard and adapt its own systems to fall into line with the collective innovation-decision.6 Outcomes of the innovation-decision process are the decisions themselves: to adopt or reject an innovation, to discontinue an innovation, or to adopt it after reconsidering an earlier decision to reject it. The consequences of innovations have not been as well studied as other aspects of the innovation-decision process. Much of the research on diffusion research is sponsored by agencies which promote the adoption of certain innovations and tend to assume that their consequences will be beneficial. It is also not easy to measure consequences, which involve value-judgements and therefore raise issues of cultural relativism. Rogers categorized consequences along three dimensions: – Desirable vs. Undesirable – Direct vs. Indirect – Anticipated vs. Unanticipated (Rogers 2003, 440–50) The following example illustrates these categories: the establishment of a national site licence scheme for access to electronic journals by South African universities7 following North American and European examples made it more

6 This case is also interesting as an illustration of political-economic factors: the impact of globalization and the dominance of industry standards emanating from the North, in this case the USA, even if they are not superior. At the time the SAMARC system was better suited for South Africa’s multilingual bibliographic environment. Conversion to USMARC entailed some loss of data. (Source: I was at the time the Director of the State Library.) 7 The scheme, established in 1999, was initially known as the Coalition of South African Library Consortia (COSALC). In 2006 its name was changed to South African National Library and Information Consortium (SANLiC) (Halland 2012).

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difficult if not impossible for consortium members to supply other libraries (such as public libraries) with copies of articles from licensed journals on inter-library loan, because the licence conditions precluded such copying. This was an undesirable, indirect, and unanticipated consequence of the innovation.

9.5 Limitations of the Rogers model Although it is widely used, the Rogers model is not without critics. Rogers (2003, 105–35) himself identified several shortcomings, three of which are relevant here: – “Pro-innovation bias“ is the assumption that the innovation being diffused should be adopted. As mentioned above, much research on diffusion is funded by agencies which have a vested interest in the successful adoption of the innovation they are promoting. Also, it is easier to study successful diffusion than unsuccessful diffusion. Hugill (1996, 343) described contemporary diffusion research as pragmatic and “concerned with how societies can be persuaded to innovate and the likely results of such innovation.” – “Individual-blame bias”: when a diffusion process is unsuccessful, there is a tendency to blame the individuals who fail to adopt the innovation, rather than the system. For example, in developing countries we may blame “lazy” students for not using the university library, when in fact a system of instruction and examination that is based entirely on text-books and professors’ lecture notes may constitute a powerful disincentive. – The “issue of inequality”: the benefits following from the adoption of an innovation are not equally distributed among a population in which diffusion has taken place. For example, small community libraries may be cut off from resource sharing if they do not have the resources to join an online library resource sharing network which is being rolled out nationally. A reading of Rogers further suggests that much of the work to which he referred as examples of diffusion research has been concerned with the adoption of innovations of a technological or practical nature (e.g. introduction of hybrid maize, prescription of new drugs, and boiling drinking water), often by individuals within circumscribed groups or communities (e.g. Iowa farmers, physicians in Illinois, and Peruvian villagers respectively) where empirical studies of manageable scope and with clearly identifiable independent and dependent variables can be conducted. In a chapter dealing with diffusion and assimilation of information technology innovations, Fichman (2000) considered the key questions in innovations

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research and suggested that the “classical model of diffusion” of Rogers is the closest approximation to a comprehensive theory of innovation. However, the Rogers model was synthesized from a body of research that focused primarily on simpler innovations being adopted autonomously by individuals. It applies less well to more complex technologies, to technologies for which adoption decisions are linked in some important way, and to technologies adopted in and by organizations (Fichman 2000, 107 – his emphases).

In a harsher critique of Rogers and diffusionism in general, McMaster and Wastell (2005, 384) argued that diffusionism is a myth; its potency and pervasiveness derive not from any empirical validity but from its synergy with a colonialistic mind-set, i.e. the generic aspiration of an elite few to gain power and influence over a subject community.

Their deconstructive reading criticized the models and theories of Rogers and his followers as implying that only a small percentage of people can think creatively, while the vast majority can only imitate. They saw diffusionism as perpetuating the notion, derived from Malinowski (1928), that culture is contracted through contagion, which negates the capacity of cultures to develop independently. It is tied to an outdated Victorian notion of progress. The models assume that innovation is desirable and resistance is backward. McMaster and Wastell considered the Rogers model to be inherently positivist and deterministic. In fairness to Rogers, his model was not primarily concerned with colonial situations. Decrying it as tainted by early twentieth century anthropological diffusionism smacks of guilt by association. In any event, regardless of its limitations, the Rogers model has been widely adopted in diffusion research as a paradigm usable in many disciplines.

9.6 Other research traditions The 1960s and 1970s saw the publication of seminal work in other areas relevant to diffusion.

9.6.1 The epidemic concept As suggested by terms such as “contagion diffusion,” diffusion in the sense of the spreading of diseases is an important concept in epidemiology. In 1964, an

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article appeared in the journal Nature in which the innovative suggestion was made that the medical theory of epidemics can be applied to the transmission of ideas (Goffman and Newill 1964). An analogy was drawn between a germ or virus and an idea, and between a case of disease and an author or a publication. Goffman has been credited with pioneering mathematical information science (Harmon 2008). His work continues to be cited in the literature of bibliometrics and scientometrics (e.g. Lambiotte and Panzarasa 2009; Bettencourt, Kaiser, and Kaur 2009), as well as in studies of the spreading of rumours, the diffusion of information in social networks and awareness of health risks in public health. Much of the literature presents mathematical models and the typical bell-shaped curve and corresponding S-curve depicting diffusion over time. But before the Goffman and Newill article, Rogers (1962) had already observed that instances of adoption of innovations generally followed this pattern and depicted the S-curve. An example of the S-curve (a cumulative frequency distribution) and its underlying bell curve, are depicted in Figure 9.2.

100

Cumulative frequency distribution Frequency distribution

50

Market share %

75

25

0 Innovators Early Early 2.5% Adopters Majority 13.5% 34%

Late Majority 34%

Laggards 16%

Figure 9.2: Typical bell curve and corresponding S-curve depicting frequency distribution of innovation adoption over time (Source: Wikimedia Commons, http://en.wikipedia.org/wiki/ File:Diffusionofideas.PNG, accessed 2018-06-15; based on Rogers (1962)).

It is worth noting that the concept underlying the epidemic theory is deterministic in nature: it starts quasi-spontaneously and proceeds as an impersonal natural process. In fact, this is inherent in the metaphor of diffusion generally.

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9.6.2 Social cognition A cognitive turn (“cognitivism”) which had taken shape in the mid-1950s gave rise by 1970 to the field of social cognition, “an area of study focused on how people acquire, store, and use socially relevant information, especially information about themselves and others.” Communication scholars started developing cognitive models of various symbolic and social processes (J. O. Greene 2009, 111). Also in the 1960s, with the publication of the seminal text, Consumer behaviour (Engel, Kollat, and Blackwell 1968), consumer behaviour emerged as a new field of study from the earlier field of motivation research (Fullerton 2011). Consumer behaviour texts typically presented flow chart-like analytical cognitive models setting out complex relationships among the many variables thought to influence consumer decision-making (J. P. Bray 2008).

9.6.3 Knowledge utilization At about the same time, important empirical studies of communication in psychology by William D. Garvey and colleagues (e.g. Garvey and Griffith 1965, 1967), and a seminal study of invisible colleges by Diana Crane (1972) gave impetus to the study of scientific communication. This resulted in a very large literature, which cannot be discussed here. Meanwhile, at the University of Michigan’s Centre for Research on the Utilization of Scientific Knowledge, Ronald G. Havelock and colleagues were undertaking an extensive review of the literature of innovation, dissemination, and utilization of scientific literature (Havelock and Benne 1967; Havelock 1969b, 1969a, 1974). Havelock defined the field of dissemination and utilization (D&U) as “a transfer of messages by various media between resource systems and users” (Havelock 1969a Summary).8 His concern was essentially with the transfer of knowledge from research to practice (Havelock 1974, 3) and he conceptualized “research utilization” as a two-way dialogue between user communities and research communities, which are two separate problem-solving systems. User communities

8 The texts of Havelock 1969a and 1969b are identical except that the bibliography in 1969b does not appear in 1969a, which was issued as a report by the US Department of Health, Education, and Welfare.

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must communicate needs, and research communities, which are concerned with devising solutions, must communicate “solution-relevant items” (Havelock 1974, 6). On the basis of over 4000 sources that were identified by systematic searching in bibliographic tools, he grouped the principal models of D&U that were used by most authors under three “perspectives”: (1) Research, Development and Diffusion, a perspective which is “sender-oriented and message-centered”; (2) a Problem-solver perspective, which is almost exclusively user-centred and psychological, and (3) a “Social Interactive perspective,” represented mainly by sociologists studying communication and diffusion of innovations (Havelock 1974, 9–10). He tried to bring these together in a “linkage model” which incorporates important features of all three. Successful linkage is achieved when user and resource system interact collaboratively, simulating one another’s problem-solving behaviour (Havelock 1969b, 11.4–11.19). Human interaction is crucial to establishing effective linkages between the various systems and subsystems, and human beings are embedded in social networks. Although Havelock paid tribute to Rogers and noted that his book had served as a model for his study (Havelock 1969b, 1.2–1.3), the scope of Havelock’s work is both wider (in that it incorporates the generation of knowledge), and narrower (in that it is primarily concerned with the utilization of scientific knowledge). Havelock was widely cited, but his work did not have the same impact as that of Rogers. In an overview of ‘knowledge transfer’ theory, P.J. Graham (2008) commented that since the 1990s knowledge utilization studies no longer made up as large a proportion as earlier of all the literature of the field, in which he included ‘knowledge transfer,’ ‘knowledge translation,’ ‘knowledge management,’ and ‘the knowledge system.’ Knowledge utilization in relation to policy formulation is touched on in Section 9.9. The diffusion of innovations, and ideas generally, is inherent or implicated in many other fields, for example, organizational development, change management, and socio-economic and political development generally. This is illustrated in a detailed study by I.M. Johnson (2016a) of the development of education for librarianship, information science and archival studies in Iraq, in which he constructed a conceptual framework combining concepts from the management literature of change management as well as from the literature of diffusion of innovations. The theme of development is examined in Chapter 10. In the following sections, an overview is given of diffusion studies in various fields, with an emphasis on identifying and evaluating a number of models that have been developed for this purpose.

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9.7 Diffusion in LIS In the literature of LIS, whether in historical studies, country descriptions, or the occasionally breathless reports of the introduction of new technologies and management techniques, there is abundant evidence that the diffusion of innovations is an important theme. The proportion of LIS literature that takes a conceptual and analytical approach to these instances is much smaller. In chapters 10 and 11 a number of cases of international influence and diffusion of innovations in LIS are mentioned. This section is limited to a brief discussion of conceptual schemes that have been used in examining diffusion of innovations in LIS. A number of studies in LIS have utilized the Rogers model. Two studies conducted in the 1980s used the model to analyse U.S. influence abroad. In a comprehensive doctoral dissertation on the influence of the Carnegie Corporation on librarianship in New Zealand before the Second World War, Rochester (1981) analysed U.S. influence in a number of focal areas, one of which was librarianship as a profession. She emphasized the importance of the travel and study grants awarded to New Zealand librarians to expose them to U.S. library philosophy and practice, and discussed the “multiplier effect” of these librarians. In particular she discussed their role as change agents, using concepts derived from the Rogers model (Rochester 1981, 287–91). A study by Maack (1986a), who applied the Rogers model to U.S. influence on the philosophy and practice of public librarianship in France, is discussed in Section 9.13 below. While the publications by Rochester and Maack were mainly historical and explanatory, a book by Pungitore (1995) was concerned with promoting “a planned process of innovation diffusion” (p.xi). Pungitore’s work arose from concern about the future of small public libraries in the USA, a conviction that organizational change and management innovation were needed to face twenty-first century challenges, and hence a need to understand how innovation takes place in public libraries. To this end Pungitore (1995, chap. 2) selectively surveyed the literature on the diffusion of managerial innovations, highlighting theories and research findings likely to be relevant to the promotion of organizational innovation in public libraries. She made use of the three perspectives identified by Havelock (1969a) and Havelock’s own Linkage Model (cf. Section 9.6 above) and of the second edition of Rogers’ text (Rogers and Shoemaker 1971). Given that Pungitore’s work was intended to promote planned change, it is not surprising that innovation and change management converged; she cited models of planned change, including processes of educational change (e.g. Maguire 1970). Fields such as change management and organizational development can be seen as representing an applied dimension of

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innovation diffusion theory. Taking another approach, Audunson (1999) applied institutional theory to construct a simple theory for studying change in organizations.9 In the model, the source of a proposed change (internal or external) and its degree of compatibility with the values of the institution (compatible or incompatible), together with the degree of political turbulence, are seen as affecting the outcomes of change initiatives. In a study of the diffusion of ICTs in the communication of agricultural information in Kenya, Minishi-Majanja and Kiplang’at (2004) cited a number of such studies in LIS and ICT. In spite of some shortcomings, they found that the Rogers model provided a suitable framework for their research. More recently Mbatha, Ocholla and Le Roux (2011) used the Rogers model in a study of the diffusion and use of modern ICTs in government departments in the province of KwaZulu-Natal, South Africa, while Neo and Calvert (2012) applied it in a study of the adoption of Facebook by New Zealand public libraries. In a doctoral dissertation on contextual factors influencing the management and preservation of digital cultural heritage in Ghana, Boamah utilized the Rogers diffusion of innovations theory. In support of this choice he cited a number of other studies on analogous topics in which that theory had been applied (Boamah 2014, 60– 61). The components of the theory were used to analyse interview data; the five characteristics of the innovation (relative advantage, compatibility, complexity, trialability and observability) proving to be useful as a framework for this purpose (2014, 130–73). Diffusionist approaches to the spread of innovations are often linked to the Rogers model. Xia (2012) adopted a diffusionist and epidemiological perspective in a study of the world-wide diffusion of open access. In a discussion of freedom of information legislation Darch and Underwood (2010) critically discussed the Rogers model but warned against naive diffusionist notions. Studies of more complex adoption processes do not necessarily come labelled as such, nor do they necessarily make use of theories of innovation diffusion. Nevertheless, valuable insights can be gained from such studies, of which a fair number have been published. In a thorough historical account of the international diffusion of the Dewey Decimal Classification, Rayward (1983) identified contemporary factors influencing the diffusion of the system and protagonists in the UK, Australia and Continental Europe who played a significant role in publicizing and promoting the system. In a study of Anglo-American public library

9 According to Weerakkody, Dwivedi and Irani (2009, 355), “institutional theory posits that structural and behavioural changes in organizations are determined less by competition and the desire for efficiency, and more by the need for organizational legitimacy.”

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ideas in the Nordic countries and the development of a Nordic public library model, Torstensson (1993) thoughtfully analysed the interaction between the structure of society and the intentional actions of individual actors or agents. Dalbello (2008, 2009) undertook an exhaustive study of the cultural dimensions of digital library development, focussing on “local cultures of innovation” in five European national libraries, and seeking to demonstrate that “a cultural analysis can provide insights on why models of development are unique and particular” (Dalbello 2008, 357). She constructed and analysed detailed case studies, having first built an elaborate theoretical framework based on theories of culture and organizational rationality, social-choice systems, and strategies of organizational behaviour (Dalbello 2008). Among the dimensions of cultural variability, she included national cultures, using the typology of Hofstede,10 although the differences in national cultures did not play a big role in the study. The exhaustive (and exhausting) analyses of the five cases yielded rich theoretical material, including models or “typologies” of development that she contended could be extended to other “innovation contexts” (Dalbello 2009, 68). In a series of articles Caidi reported on research into the changing roles of libraries in post-Communist Central and Eastern Europe (CEE), dealing with models of cooperation among major academic and research libraries (Caidi 2003), national information infrastructures (Caidi 2004a), union catalogues more specifically (Caidi 2004b), and the role of libraries in building “civilizational competence,” skills and competencies that empower individuals to participate in political, economic, and civic life (Caidi 2006). Caidi primarily focused on institutional change rather than on the adoption of the complex innovations being disseminated in the CEE countries. She used frame analysis, as a tool to analyse the reception of the introduced concepts by the various agents in their communities. Frames were defined as “semistructured elements of discourse that act as templates or filters for organizing how one makes sense of information” (Caidi 2004a, 27–28). Although she did not refer to innovation theory, her studies provide a rich source of data on technology diffusion, with particular emphasis on social rather than technological factors. Caidi explored the policy debates, the different coalitions and their visions or philosophies, and the complex political and cultural factors – including interventions by Western agencies – which affected the adoption of innovations in these countries during a period of unsettling transition. Caidi commented: Change goes well beyond organizational change in processes, strategies, practices and systems, and involves shifts in people’s thinking, values, aspirations and behaviors. CEE

10 For Hofstede’s typology, see Chapter 3, Section 3.8.

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libraries’ legacy of top-down intervention makes it a particularly tough challenge to undertake meaningful changes in their working habits. There are tremendous amounts of learning at stake for libraries (Caidi 2006, 210).

This quotation touches on a range of aspects that are relevant to diffusion of policy, dealt with in Section 9.9.

9.8 Diffusion in ICT and information systems Corrales and Westhoff (2006, 912) observed that in studies of technology adoption, scholars tend to follow one of two schools of thought: The ‘‘diffusion of innovations” school, which they attribute to Rogers, is seen as focusing on the characteristic of the technology and on the mechanisms through which new ideas spread, while the ‘‘social shaping’’ school focuses on the characteristics of the adopting unit and thus puts emphasis on the socio-political and institutional context within which the potential adopter of a technology works. They further observed: Two units of analysis tend to prevail in studies of technology adoption. One is micro: adopting users – persons, organizations, or firms within a given society. The other is macro: the overall characteristics of the country. The advantage of the microapproach is that scholars can more easily identify the motivations, attitudes, and preferences of the adopting unit. It is useful for explaining intracountry differences in technology adoption. . . .The disadvantage is that the data required – detailed information about each technology user – are impossible to obtain for all countries in the world, and thus, [it] is impractical for studying intercountry variations (Corrales and Westhoff 2006, 912–13 note 1).

Their distinction between micro and macro approaches is followed here.

9.8.1 Micro level studies Studies focusing on information technology and information systems were reviewed by Shayo (2010), who drew on the Rogers model as well as one by DeLone and McLean (2003). In this area and in technology transfer more generally, researchers have tried to address the perceived deficiencies of the Rogers model mainly in two ways, either by extending and ‘tweaking’ the model, or by developing or adopting new models. Wildemuth (1992, 211) observed that there is general agreement that the adoption of technological innovations proceeds in a series of stages, but that scholars do not agree what the stages are. She cited two models that were developed for the study of technology adoption in

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formal organizational settings, where new ICT is adopted in response to performance gaps identified by the organization’s management. In her own study of the adoption of end-user computer systems in corporations and government departments, Wildemuth developed a five-stage model, comprising Resource Acquisition, Application Development, Adoption/Renewal, Routinization/ Enhancement, and External Adoption. The latter occurs when an application is adopted by someone outside the department in which the application had been developed (Wildemuth 1992, 218–23). Various other models emphasizing the stages of the adoption process, adapting or building on those of Rogers, have been developed. The theory of reasoned action (TRA), which predates Rogers’ model, has served as the basis for some of the alternative models, The TRA model originated in a conceptual framework intended to set out the relationships between beliefs, attitudes, intentions and behaviours (Fishbein and Ajzen 1975, chap. 1). It is an “intention model” from social psychology, designed to predict and explain human behaviour of all kinds. In the TRA model, “behavioural intentions” are the main predictor of actual behaviour. The intentions are strongly influenced by the individual’s attitudes and by social pressures, or “subjective norms,” i.e. the individual’s perceptions of what others will think of the intended behaviour. Factors in the external environment affect behaviour only indirectly, via their influence on attitudes and subjective norms. This theory has been applied very widely in various disciplines (Al-Suqri and Al-Kharusi 2015). One of the derivatives of the TRA model is the technology acceptance model (TAM), proposed in a doctoral dissertation by F.D. Davis (1986). It has been quite widely used in studies of the adoption of innovations in information systems and in predicting use of information technology generally (F. D. Davis, Bagozzi, and Warshaw 1989; Rose and Straub 1998; Totolo 2011). External variables influence two variables (“perceived usefulness,” and “perceived ease of use”), which in turn determine “attitude toward using” and “behavioural intention to use.” The latter determines “actual system use.” Many external variables can be identified, but apart from those, there are only four independent variables. TAM is sometimes augmented or supplemented by combining it with other models. Dulle and Minishi-Majanja (2011) cited a veritable alphabet soup of models which they considered for use in a study of acceptance of open access in Tanzania, before opting for the unified theory of the acceptance and usage of technology (UTAUT). This model was developed by a team led by Venkatesh (2003), who integrated elements from eight technology acceptance models, including TAM and several of its offshoots. A typical example of an augmented model is found in a study of the adoption of electronic banking in a developing country, Jordan. Here Al-Smadi (2012) constructed a research model by combining TAM (technology acceptance

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model) with TPB (theory of planned behaviour) model, itself a derivative of the conceptual model by Fishbein and Ajzen), and two external variables, “perceived risk” and “culture.” To categorize national cultures, he used Hofstede’s five dimensions of culture. The model was used to generate a set of hypotheses that were formally tested using regression analysis. The IS success model of DeLone and McLean, which was used in the abovementioned review by Shayo (2010), was devised in 1992 and updated in 2003 (DeLone and McLean 2003). It drew on the mathematical theory of communication of Shannon and Weaver (1948) and on a conceptual framework by R.O. Mason (1978) for measuring the output of an information system. It is described as a “temporal, process model,” which is based on the assumption that an information system is first created with given degrees of system and information, is then experienced by users and managers, with a resultant degree of satisfaction, after which the use of the system and its information products influences both individual and organizational productivity. It was updated in 2003 (DeLone and McLean 2003, 12–13; 23–24). Although it is not primarily an innovation adoption model, it has been widely used in the study of the introduction and evaluation of information systems. Mathematically sophisticated models have been developed, for example by Gonçalves, Laguna and Iglesias (2012), who developed a simulation model, by Toole, Cha and González (2012), who examined the spatial distribution of Twitter accounts, and by Yuxian Liu and Rousseau (2012), using citation data. Most of the innovation studies done in the field of IT, as in the study of technology transfer more generally, have taken a variable-oriented approach, attempting to identify and measure limited sets of variables that may determine or affect adoption, as well as outcome variables. All these tend towards behaviourism and lend themselves to operationalization and to the formal, quantitative testing of hypotheses. They do not provide much scope for the complex politicaleconomic factors that need to be considered in cross-national policy transfer. McMaster and Wastell (2005, 386) criticized TAM, which they saw as owing much to Rogers, for editing out “context and contingency” in favour of simplistic cause-effect relationships. However, somewhat less deterministic and more qualitative approaches have also been reported. Pereira (2002, 40) proposed a “sensemaking” process-orientated approach which focused on the “subprocesses that affect perceptions and attitudes” of adopters. Currie and Swanson discussed the use of institutional concepts to analyse and interpret the adoption or diffusion of IT (W. L. Currie and Swanson 2009). McMaster, Vidgen and Wastell (1997) proposed the notion of “translation” as embodied in actor-network theory (ANT) in preference to that of “transfer,” as in technology transfer. In ANT, facts are not discovered but “created across time and space,” each fact developing as a “black

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box” formed by ever-stronger alliances in which “each actant translates and contributes its own resources to the shape and ultimate form of the emerging black box” (McMaster, Vidgen, and Wastell 1997, 67). This means, it would seem, that the adoption of an innovation requires the building of a coalition of supporters, by whom, inevitably, it is adapted (“translated”). Although, like the other studies referred to so far, their study also concerns the adoption of a fairly simple technology (an automated access control system), two features are worth retaining: the building of coalitions and the “translation” of the original innovation into something different.

9.8.2 Macro level studies A less common approach to studies of adoption of ICT is to look at factors operating at the macro level, for example factors affecting ICT adoption generally at a national or regional level. Reviewing the literature, Kyobe (2011, 256) found that factors such as economic and political stability, the presence of physical infrastructure, cultural factors, and entrepreneurship, had been studied. In a quantitative study comparing technology adoption across countries, Corrales and Westhoff posited that technology adoption is shaped by three sets of variables: exposure to the technology, which is determined by a country’s “level of external connectedness,” the capacity to adopt it, in terms of the levels of income, skills and technological infrastructure, and state policies in respect of political and economic liberties (Corrales and Westhoff 2006, 913–18). They used data from international sources such as development indicators for 208 countries to test a number of hypotheses concerning relationships among these variables. Focussing on the internet, they found that the effects of political liberties on the adoption of information technologies were complicated by other factors such as GDP and the state’s capacity to control internet content (p.930). The three factors examined by Corrales and Westhoff were also the focus of a study of ICT adoption in South Africa by Kyobe (2011). Among macro level studies we can group various studies that have been conducted to determine whether TAM can be applied in countries other than the USA, especially in developing countries where the cultural context is different. Studies in Saudi Arabia, Malaysia, and South Africa were reviewed by Averweg (2005). In several studies the cultural dimensions and clusters distinguished by Hofstede (1991) were used to operationalize the concept of national culture, for example in China (Mao and Palvia 2006). Reporting on a quantitative comparative study, in which university students in 24 countries provided data, S. McCoy, Galletta and King (2007, 89) concluded that national cultures

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do affect technology acceptance, and that the TAM model is inadequate when used outside the USA: it is naive to try to understand technology acceptance only from a point of view of one country or within the context of one culture. These can be considered macro level studies to the extent that the cultural variable (“national culture”) is measured at the national level. Diffusion of a large and complex type of system was dealt with in a literature review by Dada (2006), who analysed the frequent failure of e-governance projects in developing countries, using as a model the “archetypes of failure” of Heeks (2003). Here “design-reality gaps,” i.e. mismatches between the current reality in the country concerned and the design proposals, are analysed with reference to seven dimensions: information, technology, processes, objectives and values, staffing and skills, management systems and structures, and other resources. Heeks identified three “archetypes” of situations where design-reality gaps occur: “hard-soft gaps,” “private-public gaps,” and “country context gaps.” The latter type is of particular interest here. It is the “large design-reality gap [which occurs] when you try to introduce in a developing/transitional country an e-government system designed in and for an industrialized nation” (Heeks 2003, 5). As can be seen from the literature in other disciplines, country context gaps can also occur between developed countries. G.F. Khan (2015) proposed a three-stage model for the implementation of e-Government, the government 2.0 utilization model (GUM). It encompasses three stages: (1) information socialization, (2) mass collaboration, and (3) social transactions. Glaser, Abelson and Garrison (1983), also focussing on technology transfer mainly from developed to developing countries, used another framework for the discussion of international diffusion or borrowing. They discussed international political factors and conflict as well as social and cultural factors, pointing out that “the diffusion of technology into the fabric of a traditional culture is bound to have intense socioeconomic repercussions” (Glaser, Abelson, and Garrison 1983, 354). They included a discussion of a social process model, the technology delivery system (TDS), which comprises a quite elaborate framework identifying inputs, outputs, government roles, functional criteria, steps of international transfer, structures, and processes.11 They described four models of technology transfer: (1) direct borrowing, where the government of the recipient country takes the initiative; (2) joint development, where representatives of both the transferring and recipient countries participate in the process, (3) the

11 Glaser et al. refer to Edward Wenk as the author of the model. However, their reference is incomplete, and the work referred to cannot be traced. An account of Wenk’s model is found in Bea (n.d.).

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multinational enterprise, involving direct investment or the licensing of technology, and (4) technical assistance, where assistance is provided in the form of goods and services (Glaser, Abelson, and Garrison 1983, 342–43).

9.8.3 Alternative approaches While the Rogers model, its extensions and the alternatives to it do contribute concepts that are relevant to questions of international diffusion and international influence, they do not suffice to account for diffusion of more complex, less concrete innovations. In a critical research review of information systems in developing countries, Avgerou (2008, 135) identified three categories of “discourse”. The first of these considers the adoption of information systems in developing countries within the framework of transfer and diffusion of technology from developed to developing countries. This is in the tradition of the Rogers model. The second discourse is concerned with constructing new “techno-organizational structures” within a given social context, thus focusing attention on the “social embeddedness” of the innovation. The third discourse takes IS innovation to be primarily concerned with creating possibilities for the improvement of life conditions in a particular locality amidst the global socio-economic order and is interested in the processes through which IS innovation leverages large-scale and deep socio-economic change. It therefore considers IS innovation as a transformative socioeconomic process. (Avgerou 2008, 135).

Here we see a conceptual shift towards a more nuanced understanding of the diffusion of technology, where the complex contextual factors feature more prominently and are seen as critical to successful adoption.

9.9 Diffusion of policy A further reflection on the school library example described in Section 9.1 suggests that the library innovations that it illustrates can be placed on a spectrum that ranges from concrete and highly visible objects such as the picture books on the shelves, through equipment (such as a new photocopying machine) and systems (e.g. RFID or Wi-Fi in the library) to less visible and more abstract innovations. The latter include policies on the organization and staffing of school libraries, the education of school librarians, the aims of school libraries in relation to schooling and the curriculum, educational

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philosophies, policies on race and gender in education, and most basically, cultural norms and values of the society. These are examples only, and the order in which they are listed is debatable, but clearly some innovations are more fundamental than others and may have cultural, political and ideological ramifications, which are not all immediately visible to would-be innovators.

9.9.1 Policy In the literature such more abstract innovations are often considered as instances of policy transfer, defined by Dolowitz & Marsh (1996, 344) as “a process in which knowledge about policies, administrative arrangements, institutions, etc., in one time and/or place is used in the development of policies, administrative arrangements and institutions in another time and/or place.” The Concise Oxford dictionary of current English defines policy as “a course or principle of action adopted or proposed by a government, party, business or individual etc.” The concept of policy is dealt with in various disciplines, including political science, public administration and business management. In the latter, the emphasis is often on goal-directed action. For example, Montana and Charnov (2008, 136) define policy as “general broad guidelines to action that relate to goal attainment.” Some authors place more emphasis on policy as process. In public policymaking this comprises “a set of processes, including at least (1) the setting of an agenda, (2) the specification of alternatives from which a choice is to be made, (3) an authoritative choice among those specified alternatives. . ., and (4) the implementation of a decision” (Kingdon 1984, 3; cited in Neilson 2001). For our purposes, the emphasis is on public policy, and on policies as outcomes of policy-making. They are guidelines embodying a principle or set of principles intended to guide future decisions. They are general or conceptual rather than specific and may have long-term, wide-ranging implications. Depending on their scope and likely impact, they are adopted at a high level in the relevant organ or institution.12 Policy making requires information, and information is the product of research. The complex relationship between policy and research is a topic of interest to students of knowledge utilization. In a review of knowledge utilization literature, Neilson (2001) provided a useful overview of “policy process

12 In an international context it should be borne in mind that not all languages make a distinction between ‘policy’ and ‘politics.’ For example, in French the word politique is used for both, also in German Politik, in Italian politica, and in Spanish política.

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models.” He reported that the literature pointed to a gap between researchers, as producers, and policy makers, as consumers. The two groups have different ideologies and values, employ different criteria, and have different concepts of what constitute knowledge. Establishing better links between the two groups will not necessarily bridge the gap. It has also been found that social research does not feed directly into policymaking or decision making. Policymakers may use research indirectly, as a source of ideas and enlightenment. This clearly has implications for innovation at the policy level. Girard (2012) contrasted two paradigms that try to explain how research results influence policy. The first is a “rationalist and linear approach in which researchers have the clearly-defined task of producing knowledge and proposing solutions based on empirical evidence and policymakers are charged with implementing these solutions.” It assumes that if everything is done correctly and well-timed, the right policies will emerge. However, this does not often happen. The second paradigm is more complex and recognizes the important roles played by other actors and external factors. It postulates “multiple decision-making arenas that are juxtaposed and self-regulated through a process of mutual adjustment. Various actors, with partial information and diverse knowledge, participate in this decision-making process” (Girard 2012, 3–4). A British study of the impact of research on governmental policy making in respect of libraries identified a range of factors impeding the take-up of research findings by the policy makers. These included conceptual and methodological weaknesses of the research, poor communication of findings, the diversity of target constituencies to be addressed, and the wide range of influences and considerations which compete with factual evidence in the policy-making arena (I. M. Johnson et al. 2004). This illustrates elements of both paradigms. In a conceptual framework for the study of policy analysis and policyoriented learning in public policy making, Sabatier (1987) attempted to bridge the gap between the literatures of knowledge utilization and policy change. He proposed that policy change in modern industrial societies is best understood not by focusing on specific governmental agencies but on “policy subsystems.” These encompass not only administrative and legislative bodies and interest groups, but also a much wider range of actors in various levels of government as well as journalists, researchers and policy analysts who are involved in generating, disseminating and evaluating policy ideas (Sabatier 1987, 651–52). These actors tend to form advocacy coalitions which share beliefs about the causes of the issues of concern to them and about appropriate governmental actions to deal with them. Differences on causes and solutions lead competing advocacy coalitions to take different

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positions on policies. In advocating for these, the coalitions engage in policy-oriented learning in which information derived from research and policy analysis is used to refine their own understanding and to counter the arguments of competing coalitions. These processes are complex and typically play out over decades. This puts the diffusion of innovations in a much larger and more complex context than that envisaged in Rogers’ model.

9.9.2 Policy transfer and innovation

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ABSTRACT EMBEDDED IDEAS COMPLEX

Figure.9.3: Policy transfer in the spectrum of innovations.

There is no clear borderline between the quite visible and concrete innovations, often involving simple, discrete objects, which are traditionally dealt with in studies of the diffusion of innovations, and the less obtrusive and more abstract innovations, often involving complex ideas, which are dealt with in the literature of policy transfer. However, the literatures dealing theoretically with the diffusion of innovations and policy transfer show little overlap. The term ‘diffusion’ suggests a natural, autonomous process, as in the diffusion of gas molecules, while the epidemiological analogy used to describe the diffusion of innovations

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over time reinforces the deterministic aspect of the concept. ‘Policy’ on the other hand conjures up more complex, political processes involving human agency. But there is no doubt that the two are intertwined in the real world. A new or revised policy is in itself an innovation. Policies do not appear out of thin air but are influenced by experience and external examples. R. Knuth (1995b, 290–91), writing about school library policies, stated that policy-makers engage in ‘parameter-shaping acts.’ They make decisions that require significant amounts of information gathering and contemplation; final decisions entail movement of critical resources toward perceived opportunities in a changing environment.

Policies are quite likely to entail innovations. For example, changes in a country’s educational philosophy towards resource-based education should have implications for the aims of school libraries, possibly entailing closer integration of the school library in the curriculum, which should give rise to new policies concerning the qualifications and categories of school library personnel. Innovations in respect of the LIS training courses, school library facilities, and the range of media to be acquired should ideally follow. (Unfortunately, the significance of these consequential needs is not necessarily recognized and acted upon by educational decision makers.) On the other hand, the adoption of innovations of a concrete nature often provokes the adoption of new polices, for example relating to the use of the photocopying machine or access to the internet in the school library. With this background, I now turn to disciplines other than ICT and LIS for theories that can account for the diffusion of less concrete innovations such as ideologies, values and policies, across international boundaries.

9.10 Policy transfer in applied social science disciplines In the applied social sciences – especially public policy, public administration, social policy and social work – various models of diffusion have been put forward for the analysis of phenomena referred to as lesson-drawing, social learning, policy convergence, policy diffusion or policy transfer. There are shades of difference between what these terms mean, and in the preferences of the various disciplines. Essentially all of them concern the diffusion of policies. In this chapter, the term ‘policy transfer’ is used as the umbrella term, but the preferences and distinctions of the cited literature will be followed as appropriate.

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9.10.1 Political science Dolowitz and Marsh (1996) presented an extensive review of policy transfer literature from a political science perspective, tracing its origins, citing earlier analyses, and addressing a number of questions that were implicit in this literature. Subsequently they expanded these questions to form the basis of a quite comprehensive and frequently cited model that can serve as a framework for analysing policy transfer (Dolowitz and Marsh 2000): – Why do actors engage in policy transfer? – Who are the key actors involved in the policy transfer process? – What is transferred? – From where are lessons drawn? – What are the different degrees of transfer? – What restricts or facilitates the policy transfer process? – How is the process of policy transfer related to policy “success” or policy “failure”?13 Of particular interest in this model is the continuum of reasons that they propose in answer to the first question, distinguishing between “voluntary transfer” and “coercive transfer.” In “direct coercive transfer” one government forces another to adopt a policy. In “indirect coercive transfer,” externalities deriving from the functional interdependence of states exert pressure for policy transfer.14 These modalities of policy transfer reflect asymmetric power relations between the states in question. Also of interest are their categories of the political actors (e.g. elected officials, bureaucrats, think tanks, and transnational corporations)15 and of the degrees of transfer, constraints on transfer, and policy failure associated with policy transfer. The literature survey of Dolowitz and Marsh was followed by that of Diane Stone (2001), who provided useful analyses and definitions of key concepts in policy transfer, lesson-drawing and diffusion, including terms such as “policy

13 Dolowitz and Marsh (2000, 8) stated that their framework is based on six questions. However, they listed seven, as above, and in their summary table (p.9) a further question was added, “How to demonstrate policy transfer?” 14 The term ‘externality’ is explained in Section 7.2. Generalized to our context I interpret this to mean, for example, that policy borrowing by state A from state B might exert pressure on state C, which is in a relationship of interdependence with state A, to follow suit. Membership of international treaties and supranational organizations could also result in such pressure. 15 These are reminiscent of, but also somewhat different from, those identified by Sabatier (1987).

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shopping,” “exporting ideas” and “policy convergence.” Policy convergence can result from four “political modalities of transfer” as distinguished by C.J. Bennett (1991, 220–29): – “emulation” (voluntary borrowing of ideas), – “elite networking and policy communities” (transnational communities of experts who interact regularly and develop shared understandings of policy issues), – “harmonization” (policy convergence resulting from the recognition of the interdependence of states, as in the European Union), and – “penetration” (coercive or forced transfer, which takes place when one state exercises power over another, as in the case of Germany during the U.S. occupation which followed the Second World War). Stone’s (2001) survey emphasized elite networking in policy transfer, including learning processes, trans-national policy networks, and the role of various nonstate actors such as multinational corporations, scientific associations, foundations, training institutes, NGOs and consultants. In a subsequent article Stone (2004) returned to this theme, drawing attention to “soft forms of transfer” such as the spread of norms, and emphasizing the role of international organizations.

9.10.2 Sociology and social work On the basis of an extensive, multi-disciplinary literature review, Wejnert (2002), a sociologist, contributed a conceptual framework intended to integrate the large number of variables that have been put forward in diffusion research. She grouped these in three categories: characteristics of innovations, characteristic of innovators, and environmental context. Although much of this is reminiscent of Rogers, the scope of “characteristics of innovators” was broadened to include a consideration of adoption by “large collective actors” such as nations, states, or social movements, which adopt innovations with public consequences, such as educational models and welfare policies (Wejnert 2002, 303–4). Under “environmental context” Wejnert paid attention to geographical settings (such as geographical proximity, climate and ecological conditions), societal culture (such as belief systems, cultural traditionalism and cultural homogeneity), and political conditions (such as political stability, bureaucratic efficiency, and “global uniformity,” and including mechanisms and consequences of globalization). “Global uniformity” is of interest as it “reflects the view of the contemporary world as one cultural community, characterized by collective development grounded in a synchronized, cohesive process of evolution.” Wejnert suggested that the

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uniform evolution was the result of institutionalization,16 global technology and global adoption of technological innovations, facilitated by multinational corporations; and world connectedness through modern ICT (Wejnert 2002, 315). In the field of social work Lightfoot presented a “policy transfer model” largely based on Dolowitz and Marsh (1996), before developing a “policy borrowing model.” This model was intended not as a framework for research on policy borrowing, but as a framework for prospective evaluation of policies by policy-makers who are considering borrowing them. It also consists of a series of questions grouped according to three types of constraints documented in the literature: – the comparability of locales transferring policies, – the complexity of the policy to be transferred, and – the internal characteristics of the borrowing locale (Lightfoot 2003, 28)

9.10.3 Public management While the public perception may be that public policy is the product of an incremental process involving political office-bearers, public servants, and various interest groups, this is not necessarily the case. Instead, in “a process of policy transfer and learning” a good deal of policy is based at least in part on policy developed in other jurisdictions and by international organizations (P. Carroll and Common 2013, 1). Of course, public policy cannot simply be transplanted en bloc. Pollitt (2003), joint author of a book in which public management reform in a number of developed countries was compared (Pollitt and Bouckaert 2004), made the point that knowledge of what works and what does not tends to be heavily context-dependent. That is to say, a technique or organizational structure which succeeds in one place may fail in another. There is no set of general tools that can be transferred from one jurisdiction to another, all around the world, with confidence that they will work well every time. This means we have to look carefully at contexts. . . each time we are thinking of borrowing a good management idea from somewhere else (Pollitt 2003, 1).

Pollitt went on to challenge six common assumptions that underlie transfers of public management reforms: (1) The management technologies transferred are

16 Institutionalization was defined as “the spread of rule-like behavioral models that are supported by common recipes and an implicit structure of incentives for the adoption of approved forms of practices, programs, or policies” (Wejnert 2002, 315).

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simple and well understood; (2) they are applied to simple and well-understood management tasks; (3) the transfer of knowledge is rapid and straightforward; (4) the transfer is voluntary – a free choice; (5) the transfer is dyadic – there is one ‘importer’ and one ‘exporter’; (6) there is a shared language between the importer and the exporter. Pollitt stressed that none of these can be taken for granted. Other insights in public policy reform have been offered by Nakano (2004), who emphasized the role of domestic political conditions and actors in public management reform in Japan, and Weyland (2005), who discussed pension reform in Latin America and offered possible explanations of what he described as “waves of policy diffusion.” In such a wave, a bold policy innovation in one state attracts the attention of other states, which then follow suit. Neighbouring states, or states in the same region, are often the first to follow, and emulation of the policy may occur in states with quite different economic, political and social conditions. This phenomenon raises three theoretical issues, concerning (1) the relative weights of international forces (including globalization) and domestic forces; (2) the extent to which policy makers are motivated by purely domestic goals or considerations of international respect; and (3) how rationally and systematically decision makers utilize available information on the policy innovation (Weyland 2005, 263).

9.10.4 Business and management In business and management attention has also been paid to the transfer of practices and business models. In a frequently cited book, Djelic (1998) examined attempts made as part of the Marshall Plan after the Second World War to “export the American model” of industrial production as “a universal model for the Western world” to three European countries, Germany, France and Italy (Djelic 1998, 2). However, in spite of post-war changes, distinct national systems are still evident in these countries. Examining possible theoretical explanations, she grouped existing theories of change into two main categories. “Evolutionary theories” emphasize convergence and similarities and assume that change everywhere will necessarily follow the same logic, while “national specificity theories” emphasize unique national cultural and institutional environments. Djelic observed that theories of neither group could adequately account for the outcome (Djelic 1998, 8). Pointing to the roles of the geopolitical environment and of individual actors working within institutional structures,

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she identified a number of preconditions for “large-scale, cross-national structural transfer”: – A traumatic disruption (such as defeat in war, military occupation, colonization, and economic crisis) which creates a national sense of crisis – The availability (within a geopolitical context of asymmetrical dependence) of a foreign model that appears “both relatively familiar and superior”; the dependence on a dominant state creating conditions in which multiple contacts take place and familiarity with the systems of the dominant state can develop – An active binational modernizing network which shares similar or compatible objectives, linking individuals on both sides of the geopolitical relationship, and creates a bridge between the two countries (Djelic 1998, 65–68) Djelic also identified different types of transfer mechanism: mimetic, coercive and normative. These categories are based on the distinction made by DiMaggio and Powell (1983) between coercive, normative and mimetic forces of isomorphism that operate in the process of homogenization in organizations. Coercive isomorphism derives from political influence, laws and regulatory instruments; normative isomorphism from professional values; and mimetic isomorphism refers to imitation in response to uncertainty. She put forward a simple model of the stages of a cross-national transfer process encompassing conditions, mechanisms, and obstacles (Djelic 1998, 280). Neumayer and Perkins (2005) studied the global diffusion of organizational innovations, looking specifically at the adoption by organizations in 130 countries of the ISO 9000 standards for quality management. They pointed to the role of transnational networks (including those related to customer-supplier relations, investment flows, ex-colonial relations and development aid) that connect geographically dispersed firms. The influence of conditions in the national environment of the adopting organization was also examined. An empirical study investigating how the American business practice of socially responsible investment (SRI) was transferred to France and Quebec (Boxenbaum and Gond 2006), had a much narrower focus, but is of interest because the authors identified five “micro-strategies” that individuals employed to contextualize SRI for their own society. For example, the strategy of “filtering” involves downplaying foreign elements that may constitute stumbling blocks in the society where adoption is proposed, while “coupling” consist of combining a foreign business practice with one that is widely accepted locally. The authors suggested that these strategies may explain why some transfer initiatives succeed while others fail. They may provide a useful

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framework for examining such cases in LIS.17 A study of a quite different phenomenon and in a quite different setting adopted an epidemiological approach to word-of-mouth communication in the diffusion of a microfinance loan programme in 43 Indian villages (Banerjee et al. 2013).

9.10.5 Law In law, diffusion of law, often referred to as “reception” or “transplantation” is a field of long-standing and somewhat technical scholarly interest, which has been largely isolated from sociological studies of diffusion (Twining 2005). However, it is interesting to note that Twining, a legal scholar, has identified and challenged ten common assumptions underlying the accepted model of diffusion. For example: the model assumes that there is an identifiable exporter and importer; that the export-import relationship is between countries; that the typical process of reception involves a direct one-way transfer, and that the main agents involved are governments (Twining 2004, 3). The assumptions questioned by Twining are not far removed from those dealt with in the social science literature. Against the background of globalization, another lawyer, D.A. Westbrook (2006, 490–91), questioned the use of the metaphor inherent in ‘diffusion.’ He suggested that diffusion is a modernizing process, so that diffusion of law can be conceptualized as “the modernization of authority” (p.493), where authority refers to the experience of those subjected to it, rather than to legal texts. He proposed four ways of “imagining” or conceptualizing authority in relation to the diffusion of law: (1) “Imperium”: modernization through force, as in imperialism; (2) Fashion, where cultural artefacts are adopted because they are perceived to be superior; (3) System: if globalization is creating a new form of society with a distinct character, it would require the existence of global law; (4) Tribe: here he referred to groups which are not limited to territorial boundaries, such as transnational civil society, in which legal relations arise. (Westbrook 2006, 499–501).

17 The paper by Boxenbaum and Gond (2006) is no longer accessible. Much the same ground is covered from a somewhat different perspective in a later article (Gond and Boxenbaum 2013) and book chapter (Boxenbaum and Gond 2014).

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9.11 Policy transfer in education Policy transfer, or ‘borrowing,’ has been a central theme in comparative education from its beginnings in the nineteenth century, the assumption being that educational policies that were successful in one country could be transferred to another (Cowen 2006).18 This is illustrated by the frequently cited question posed by one of the pioneers of comparative education, Sir Michael Sadler (cited in Ochs and Phillips 2004, 7), “How far can we learn anything of practical value from the study of foreign systems of education?” Attempting to learn from other education systems has become standard practice in educational policy development (Steiner-Khamsi 2010).

9.11.1 Transfer: borrowing or learning? The verb ‘learn’ that was used by Sadler and Steiner-Khamsi is significant. In comparative education the term ‘policy borrowing’ is often used rather than ‘policy learning.’ However, the connotations of the two terms differ. In a critique of a report by McKinsey & Co., a management consulting firm, on lessons drawn from a study of twenty school systems,19 Raffe (2011) contrasted policy borrowing and policy learning: A policy borrowing approach searches the international experience for examples of a unique, transferable ‘best practice.’. . . By contrast a policy learning approach supports the development of tailored national policies rather than policies taken off-the-peg (n.p.).

In addition to criticizing its “flawed methodology,” Raffe described the McKinsey Report as an example of the policy borrowing approach, objecting that “it claims to show that a unique cluster of policy interventions will produce improvements in any school system at a given point on the spectrum of performance from poor to excellent.” A policy learning approach, on the other hand, uses international experience for a broader range of purposes, including learning about one’s own system, identifying policy options, understanding processes of change and anticipating issues that possible policies would raise. . . It also learns form a country’s own

18 Cowen has pointed out that the emphasis on the ‘usefulness’ of comparative education for improving policy has led to confusion at the epistemological, ethical and political levels. 19 McKinsey & Company, “How the world’s most improved school systems keep getting better,” http://mckinseyonsociety.com/how-the-worlds-most-improved-school-systems-keep-get ting-better/, accessed 2018-06-16.

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history, and develops forms of governance with effective communication between policy and practice (n.p.).

A critique such as this may reflect a certain frustration among educationists at the prominent role being taken by interlopers from a management consultancy, but it also reflects a long-running debate about the purpose of comparative studies in education. On the one side are pragmatists looking for understandable and politically marketable “fixes” for problems in educational systems. On the other side are academic comparativists who seek to understand educational systems within their political-economic and socio-cultural contexts.20 As noted earlier, here the word ‘transfer’ is used as a neutral term, unless the context or sources indicate otherwise.

9.11.2 The model of Thomas and Postlethwaite In so far as educational change implies innovation and the transfer of policy, an approach that focuses on such change and employs a more historical orientation can add insight. In a study of cultural and social forces effecting change in the nature of schooling in East Asia, R.M. Thomas and Postlethwaite (1983) developed a model for analysing causal forces. They used the terms ‘force’ and ‘cause’ synonymously, defining force or cause as “a factor whose presence is necessary for an event to occur.” They saw events as the results of a dialectical exchange between different forces. This reflects their acceptance of the principle of multiple causation: According to this principle, an event is not simply the result of a single force but is always the result of many forces, some of which may be more powerful than others and therefore more worthy of note in the analysis of the causes of an event (R. M. Thomas and Postlethwaite 1983, 13–16).

They distinguished between a horizontal dimension in which several forces converge at the same time, and a vertical dimension in which a number of causes accumulate over time. They further distinguished between “enabling forces,” which provide a favourable setting for the direct forces of change, and “direct forces” (or “direct-positive forces”), consisting of attitudes, convictions and actions that promote change. These forces have as their reciprocals, “disturbing” (or “disabling”) and “direct negative factors” respectively (R. M. Thomas and Postlethwaite 1983, 7–14). Using the distinctions made 20 Some leading comparativists also use the term ‘borrowing.’

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by R.M. Thomas and Postlethwaite (1983, 13–14), this scheme is depicted as a matrix in Figure 9.4.

Positive

Negative

Indirect forces

Enabling forces

Disabling forces

Direct forces

Direct-positive forces

Direct-negative forces

Figure 9.4: Forces for and against change.

The four categories of forces are encountered in seven dimensions: 1. Magnitude of intended change (which comprises two factors: Population size and accessibility, and Complexity of intended change) 2. Availability of alternatives 3. Motivation or philosophical commitment 4. Social and organizational stability 5. Resource accessibility 6. Organizational and technical efficiency 7. Adequacy of funding (R. M. Thomas and Postlethwaite 1983, 13–16) This somewhat deterministic perspective is reminiscent of force field analysis, a management technique based on the field theory of Kurt Lewin and used in planning and implementing change (Burnes and Cooke 2013).21 R.M. Thomas and Postlethwaite applied this model to countries with a colonial past,22 but their model can also be applied in other situations.

9.11.3 The Phillips and Ochs model The central problem of educational policy borrowing, as studied in comparative education, hinges on the relationship between context, “the local, social embeddedness of educational phenomena” and transfer, “the movement of educational ideas, policies and practices from one place to another, normally across

21 For a fairly recent critique of the technique, see D.J. Swanson and Creed (2014), 22 Colonial and post-colonial situations are discussed in chapters 10 to 12.

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a national boundary” (Cowen 2006, 561). Both have been dealt with in the body of theory developed by David Phillips and Kimberley Ochs (David Phillips and Ochs 2003, 2004; Ochs and Phillips 2004; David Phillips 2004, 2006, 2015). The overarching framework they proposed is that of four “principal stages of borrowing”: 1. Cross-national attraction 2. Decision 3. Implementation 4. Internalization/indigenization (David Phillips and Ochs 2003, 451–52) The basic framework is depicted in Figure 9.5.

I: Cross-national attraction

Impulses

Externalizing potential

IV: Internalization/ Indigenization

II: Decision

Support

Resistance

III: Implementation Figure 9.5: Simplified diagram of the four principal stages of educational policy borrowing, adapted from David Phillips and Ochs (2003, 452).

The first stage, cross-national attraction, is that part of the model that has been most widely referred to. It encompasses two elements: “impulses” and “externalising potential.” Impulses are the conditions that predispose to borrowing by the borrowing country, such as internal dissatisfaction, systemic collapse, poor results in international comparisons, research findings, political and economic change, globalization, and influences from regional alliances and supranational organizations such as the European Union. The break-up of the Soviet Union in Central and Eastern Europe and the dismantling of apartheid in South Africa are striking examples of such impulses affecting LIS. Under impulses they also include the motives of the political actors. These impulses may give rise to a search for foreign models, in which a range of aspects may be considered for

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borrowing: the guiding philosophy or ideology of the educational system of the other country, its ambitions or goals, strategies, enabling structures, processes or techniques. These are referred to as the “six foci of attraction” and they constitute the externalizing potential of the “target country,” i.e. the country from which borrowing is being considered.23 The second stage, decision, is not concerned with the decision-making process as one might expect, but with “measures through which government and other agencies attempt to start the process of change.” Under this heading Phillis and Ochs included four descriptors, “theoretical,” “phoney,” “realistic/practical,” and “quick fix,” which suggest that this stage is concerned with the motivations or rationales put forward to promote a course of action which may already have been decided on. Theory describes a theoretical position on which policy choices and priorities are based, typically expressed in slogans such as “education for a competitive economy.” It might also describe a guiding principle: as the new democratic dispensation dawned in South Africa, progressive librarians aligned to the incoming government advocated for a non-racial, coherent and coordinated national LIS system, in which the inequality of the former segregated systems could be eliminated. The descriptor phoney refers to ideas which might win votes but are unlikely to be implemented. As an example, they mention ideas which are brought back by an education minister after an overseas visit and are publicized for political reasons but are unlikely to be introduced. Under realistic/practical decisions they refer to measures which have proven effective elsewhere and which do not entail changes which would be problematic in the recipient country. Quick fix decisions are those that are superficially attractive because they appear to offer a comprehensive and rapid solution, but these decisions can have disastrous results, as in the case of the outcomes-based education (OBE) system introduced in South Africa in the aftermath of apartheid, after the new government had taken over. Unfortunately, this has become a frequently cited example of failed policy transfer (Jansen 2004; Spreen 2004). The third stage is implementation, concerned with the adaptation of the foreign model in the context of the borrowing country. Many contextual factors will determine how much adaptation is needed and also how long the process will take. “Significant actors” (agencies, groups and individuals) may support or resist the proposed innovation. Resistance may take the form of delaying

23 “Target country” in Phillips and Ochs refers (somewhat confusingly) to the country from which is borrowed, presumably because it is the target of the attraction. The borrowing country is referred to as the “home country.”

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tactics, inaction or failure to make decisions. In South Africa, a younger generation has replaced many older library managers, some of whom found it difficult to adapt to the new dispensation. The fourth stage is internalization/indigenization, which Phillips and Ochs saw as a series of four steps: impact of the imported model on the existing system and way of doing things, absorption of external features of the imported model, synthesis (the process through which the imported model becomes part of the overall strategy of the borrowing country), and evaluation, which feeds back into the first stage in the form of impulses for further change. Thus, the four stages are linked in the policy cycle that is depicted in Figure 9.5. In South Africa, the impetus for radical change in public librarianship was lost within the first five to ten years of the new government. Some progressive librarians moved on to other endeavours while others were accommodated in existing institutions. Some public libraries were renamed “community libraries” and many new branches were established in formerly unserved communities, but in my perception the philosophy and practice of public librarianship did not change dramatically. In response to the lack of significant change, a drawn-out process was launched to develop the library and information services (LIS) transformation charter (South Africa 2014; G. Hart and Nassimbeni 2016) that was referred to in Section 3.7. In terms of the Phillips and Ochs model, this represents the end of the policy borrowing cycle which commenced in the early 1990s.

9.11.4 Context, initiative, and outcomes David Phillips and Ochs (2003, 458–59) also dealt with context, identifying five “forces of context” that affect borrowing, and relating them to the stages of the policy cycle. Attention is paid to contextual forces that affect the motives behind cross-national attraction and those that act as a catalyst for cross-national inquiry, as well as to contextual interactions between the “target” and “home” (borrower) countries. For example, in the fourth stage of internalization/indigenization, it is necessary to consider the similarities and differences between the two countries and the potential effect of the target country on the internalization of educational policies and practices in the home country. If the context from which the borrowed policy or practice is taken is very different from the context in which it is to be adopted and if this is not taken into account, borrowing may ultimately fail. This was the case of outcomes-based education in South Africa.

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The Phillips and Ochs model differs from that of Rogers and many other similar models in that here the initiative for innovation (in this case policy borrowing) is taken by the adopting country, and not by an agent or agency pushing innovation in a population of potential adopters. This is a useful corrective to Rogers, but it does not cover cases where adoption of educational policies is less than voluntary; neither does it accommodate cases where the policy being borrowed originates in more than one country or is in general circulation internationally. However, this shortcoming was addressed by the addition of the concept of the “continuum of educational transfer” (Ochs and Phillips 2004, 9). The continuum reflects the extent to which the transfer is forced or voluntary. It can range from cases where policies are imposed through authoritarian rule or on territories governed by colonial powers, to entirely voluntary transfer. The continuum is depicted in Figure 9.6.

Imposed

Totalitarian/ authoritarian rule (e.g. colonies)

Required under constraint

Negotiated under constraint

Defeated/ Occupied countries (e.g. Germany post-WW2)

Required by bilateral & multilateral agreements (e.g. Bologna process in EU)

Borrowed purposefully

Introduced through influence

Intentional copying of policy etc. observed elsewhere

Influence of global/general educational ideas & methods

Figure 9.6: Continuum of educational transfer, adapted from Ochs and Phillips (2004, 9).

The distinctions made here are useful, since they enable us to use the framework for transfer of policies and practices to developing countries in colonial and postcolonial settings, as well as for transfer under the pervasive influences resulting from globalization, where the new ideas cannot necessarily be attributed to a single country. This is reminiscent of the distinction between “voluntary transfer” and “coercive transfer,” made by Dolowitz and Marsh (cf. Section 9.10). Outcomes of transfer have received much attention, not least because transfer may fail or have unanticipated and unwelcome effects. Ochs and Phillips (2004, 16–17) have tried to explain this by postulating a series of “filters” (or “lenses”) through which perceptions of practice pass and are transferred. Such filters entail processes of interpretation, transmission, reception and implementation involving

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different sets of individuals and agencies at each filter. Once a policy has passed through all these filters, the resulting local practices may be very different from those in the country of origin. In this connection Cowen (2006, 566) distinguished between transfer, translation and transformation a) transfer is the movement of an educational idea or practice in supra-national or transnational or inter-national space: the ‘space-gate’ moment, with its politics of attraction and so on; b) translation is the shape-shifting of educational institutions or the re-interpretation of educational ideas which routinely occurs with the transfer in space: ‘the chameleon process’; and c) transformations are the metamorphoses which the compression of social and economic power into education in the new context imposes on the initial translation: that is, a range of transformations which cover both the indigenization and the extinction of the translated form.

Cowen’s reference to a ‘space-gate’ moment is reminiscent of space travel in science fiction. It suggests a brief period during which circumstances are propitious for transfer. This underlines the importance of the time dimension: transfer is facilitated when a particular policy or practice is available and visible in country A at a time when circumstances in country B make it receptive to innovation in respect of a similar policy or practice. This situation is depicted in Figure 9.7.

Country A

Country B

Figure 9.7: The “Space-Gate” moment.

The point of transfer is merely the beginning of a long process. Cowen expanded on the “shape-shifting” that accompanies the “mobilities” or “travel” of social phenomena, by which he presumably meant their international diffusion. When people migrate, they take with them their conceptions of societies. These conceptions mutate as the migrants reinvent societies in their new contexts. This also applies to their educational systems. Other examples of the

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“mobilities of ideas” cited by Cowen are the massive spread of ideas by the Catholic Church and communism, and the subtler ideas of rationality deriving from the European Enlightenment, which during the nineteenth century gave rise to modernization movements in China, Japan, Turkey and Latin America. These transfers are accompanied by transformation: “as it moves, it morphs” (Cowen 2009, 315). The Phillips and Ochs model has been applied explicitly by a number of scholars. For example, Jansen (2004) applied it to the adoption of outcomesbased education in South Africa, and Shibata (2004), to changes in German and Japanese universities that were instigated by the occupying powers after the Second World War.

9.11.5 Other approaches Other authors, while not explicitly following the Phillips and Ochs model, have used stage or process approaches which complement it and provide further insight. For example, in her analysis of the South African experience with outcomes-based education, Spreen (2004, 234) considered the international origin of ideas and concepts embodied in contested reforms. Foreign origins may carry persuasive weight at the beginning of the process, but these same origins become an obstacle and tend to be concealed as the reforms are indigenized. A study of changes in distance education in higher education (Caravella 2011) used the DiMaggio and Powell (1983) model of isomorphic change, referred to earlier. Discussions of the roles of particular categories of agents or actors (individuals, groups and agencies) in policy transfer processes, touched on by Phillips and Ochs, are also of interest. Tanaka (2003), cited in Ochs and Phillips (2004), distinguished between “transmitters” who are involved in the translation phase, moving the educational concepts and practices from one culture to another, and “receivers,” who are involved in the indigenization phase, putting the new concepts into practice. Tanaka made a further distinction between “importing transmitters,” who seek to import educational concepts and practices to their own country, and “exporting transmitters,” who seek to export these to other countries. Within a given country, the role of mid-level educational officials is important. If they do not have an in-depth understanding of the new policies, and if they do not understand their role as policy intermediaries, this will impede implementation (Vandeyar 2015). Various authors have identified roles played by individuals and groups such as “policy entrepreneurs,” who “sell their solutions in the academic and political market-place” (Ball 1998,

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124), “knowledge entrepreneurs”, “advocacy coalitions” and “epistemic alliances” (Pons and van Zanten 2007), politicians (Gruber 2004), bureaucrats (Spreen 2004), professors and their students, “foreign advisers with pet enthusiasms” (David Phillips and Ochs 2003, 455), multilateral organizations, foundations, etc. (Ball 1998; Jansen 2004; Pons and van Zanten 2007).

9.11.6 The significance of transnational networks Networks have been referred to several times in this chapter. There is increasing interest in relationships and networks that transcend national boundaries. Social network analysis (SNA) can serve as a methodology for studying transnational networks. SNA evolved in the 1950s and 1960s as a way of representing social networks, which were typically depicted graphically in the form of sociograms.24 The technique was applied inter alia in studies of information behaviour, for example in the study of communication among scientists and engineers by Nelson and Pollock (1970). Since then, growing mathematical sophistication and computing power have led to wide applications of the methodology in bibliometrics and scientometrics, and in studies of the diffusion of ideas. SNA focuses on relations between actors: SNA attempts to explain human behaviour and social change from a relational perspective. It rejects explanations based solely on the categorical attributes of actors, whether individual or collective, such as class membership, class consciousness, political party affiliation, religious belief, ethnicity, gender, and so on, and instead examines patterns of relations that are to an extent independent of the actors’ wills, beliefs, and values. . .. That idea leads to the representation of individuals (or aggregations of individuals) as ‘nodes’ (points) and of their relations or links with other individuals as ‘lines’ (also called ‘ties’) (Roldán Vera and Schupp 2006, 408).

In the graphical representations produced by SNA, individuals are represented as nodes and their relationships as lines connecting them. The nature of the relationships can be expressed by the distances between the nodes, the number of connections to nodes, the directions of the links, etc. SNA has been applied in various kinds of social research, including studies of knowledge generation and transmission and diffusion of innovations. Examples are given by Roldán Vera and Schupp (2006, 410–405), who themselves applied SNA specifically in

24 Not surprisingly, sociograms are reminiscent of diagrams depicting the spread of epidemics, for example the maps in the historical analysis of epidemics in Iceland, by Cliff, Haggett and Smallman-Raynor (2009).

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a study of the diffusion in the early nineteenth century of an educational innovation, the monitorial or ‘Lancastrian’ system.25 This system spread rapidly across the Atlantic from Britain to the newly independent republics of Hispanic America. Roldán Vera and Schupp discovered a complex network of relations among early adopters of the innovation that extended across several countries on both sides of the Atlantic. Within the network they identified a cohesive subgroup who played roles as intellectuals, policy-makers and opinion leaders and who were highly mobile, both across the Atlantic and in Hispanic America. Historical analysis of their relationships revealed differences between sub-regions in respect of the rate of adoption of the innovation and its abandonment and suggested geographical and political explanations for this (Roldán Vera and Schupp 2006, 416–21). Roldán and Schupp underlined the explanatory potential of SNA, especially in respect of transnational networks transcend conventional borders: In its orthodox social science tradition, comparative research has consisted mainly in contrasting two or more distinct units of analysis, defined by national, cultural or societal criteria, in order to identify socio-historical similarities and differences with a view to establishing adequate explanations stated in theoretical terms. . .. In most of the cases the identification of distinct units of analysis, especially nation-states, geographic regions or culturally defined institutions, is rather artificial given the socio-historical interconnectedness of those units. Networks extend well beyond the borders of those entities. (Roldán Vera and Schupp 2006, 421)

This is not only of methodological significance. The comment is evidence of the convergence of comparative studies and studies of policy transfer in comparative education and alerts us to the limitations of studies in which the nation state is taken as the point of departure. The growing interest in relationships and networks that transcend national boundaries, is accompanied by a critical approach to methodological nationalism. A critical stance in relation to the nation state also calls into question the concept of national education systems (Roldán Vera and Schupp 2006). There is growing scepticism about the significance of education systems, as defined in terms of national boundaries, in educational transfer (Zymek and Zymek 2004), particularly against the background of globalization (Carney 2009).

25 In the monitorial system, also named the Lancastrian system after its best-known advocate, Joseph Lancaster, older pupils, who were taught by the teachers, taught younger or weaker ones. In this manner more pupils could be taught by the same number of teachers. It was widely emulated world-wide. (Encyclopaedia Britannica, “Monitorial system,” https://www.bri tannica.com/topic/monitorial-system, accessed 2018-09-17.

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9.11.7 Globalization and convergence An implication of globalization is that in diffusion of innovations (in education and in other fields) we need to consider the possibility of global convergence. Instead of tracing policy transfer from one state to another, we must take into account that the ideas adopted by a recipient state may be part of a common global paradigm to which many others are converging. Convergence was described by Inkeles and Sirowy (1983, 305) as “movement towards common institutional forms, orientations, values, and behaviours.” In a large-scale quantitative study, they found evidence of the worldwide diffusion of certain basic educational concepts, institutions and practices that are characteristic of the modern educational system. Schriewer (2000, 314–17) described the “astonishing processes of global alignment” that have taken place in education worldwide, referring to a worldwide expansion of education at all levels, a global acceptance of a “largely standardized model of institutionalized schooling” and an international communication system that promotes an Anglo-American educational ideology. However, he pointed out that in spite of the alignment, the expected uniformity has not materialized. Instead, there remains a great deal of international variation, where specific national profiles coexist with global trends. This was borne out in a bibliometric study which disproved the assumption that educational thinking in various national contexts is converging towards an internationally accepted understanding of educational knowledge (Schriewer and Martinez 2004). The impact of globalization on educational transfer has been problematized by Ball (1998, 120), who pointed to the misuse of “the ‘globalization thesis’. . .to explain almost anything and everything,” by Cowen (2006) and by SteinerKhamsi (2010, 322), who pointed out that references to globalization and international standards are frequently misused as a means of persuasion by proponents of policy change: Both globalization and international standards are empty shells that may be filled with whatever is needed to promote controversial reforms. We may therefore conclude that “globalization” is not an external force but rather internally induced and reflects, more than anything else, the domestic policy context. Its meaning is determined domestically.

This does not mean that globalization is to be ignored in the study of policy transfer. Schriewer (2000, 310) has argued that if our understanding of the world as a multitude of separate and autonomous entities which “constitute one another’s mutual environments” is obsolete, attention should shift to widespread processes of cultural diffusion and to “global analyses of transnational interdependence.” A balance has to be struck between recognizing

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the reality of globalization and using it as a fig leaf to disguise shallow conceptualization. Much remains to be learned about educational transfer, as articulated by Steiner-Khamsi: There are a myriad of puzzles that must be assembled to fully understand how, when, why, and by whom, comparison is used as a policy tool. Questions such as the following shed light on a key, yet dimly understood, area of research: Why is policy borrowing more likely to occur after a change in government? Why are failed policies borrowed, and “worst practices” transferred, from one country to another? Why are educational crises created out of fear of falling behind “international standards?” How come everyone talks international standards, but nobody knows what they are? Why is the same set of global reform packages imported and sold as the solution to a diverse set of local problems? (Steiner-Khamsi 2010, 326)

The literature of comparative education is of particular interest in that it pays much attention to policy transfer or borrowing. Comparison, in fact, is fundamental to transfer.

9.12 Towards a framework for studying transfer in LIS The preceding sections have touched on, but by no means exhausted, the great variety of theories and models that have been devised to account for the diffusion of innovations and the transfer of ideas.26 These theories and models deal with the diffusion and transfer of phenomena at various levels, ranging from simple products and practices such as boiling drinking water to prevent waterborne diseases (Rogers 2003, 1–5), to wide-ranging policies embodying values and ideologies. Some of the theories and models concern themselves with behaviour in quite homogeneous and limited populations of potential adopters, others with international or transnational movements of great complexity. Some emphasize stages or cycles, others the role of relationships and networks. Together they illuminate many different facets of diffusion; the different perspectives making possible richer understanding. Communication is key to diffusion and transfer. It should therefore come as no surprise that many, if not most, of the models that have been mentioned in this chapter can be mapped onto the Lasswell communication model that was

26 This section expands on an article (Lor 2015b), which itself was based on an earlier version of this chapter.

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discussed in Chapter 3, Section 3.5. With modest changes, the Lasswell model can be adapted to represent the transfer process, as in Figure 9.8.

WHO ?

Source, “lender”

Transfers WHAT ?

By which MEANS?

Innovation

Mechanism, modality, process

To WHOM?

With what OUTCOME?

Recipient, “borrower”

Effect, beneficiaries

Figure 9.8: Basic scheme of the transfer process.

The various models differ from the basic scheme in respect of a number of aspects, e.g.: – Scope (many models cover only a limited number of aspects, e.g. focussing on the decision-making process or omitting outcomes) – Perspective: e.g. the process seen from the perspective of a source or a recipient – Push or pull (whose initiative?) – Direction (many depict a one-way rather than an interactive process) – Linear or cyclical concept (inclusion of feedback) – Emphasis on transfer or context – Time factor – Degree of detail or elaboration (e.g. which characteristics of innovations, sources, or recipients are considered) – Attention to contextual factors such as culture (neglected in many models) – Attention paid to roles of agents, intermediaries, networking Adding these aspects results in a more elaborate, but by no means comprehensive, framework, depicted in Figure 9.9. Figure 9.9 provides a framework for identifying questions worth asking when examining the literature of diffusion in LIS and worth considering when contemplating research in this field. For the purposes of this framework the term transfer is used to refer to what the literature may refer to as diffusion, borrowing, learning, convergence, etc. That which is transferred is referred to as the innovation, in the case of artefacts, technology, techniques, procedures, etc., but in the case of more abstract ideas, philosophies, values, policies, and influences, the respective terms may be used as appropriate. The lending or

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transferring entity is referred to as the source and the borrowing entity, to which an innovation is transferred, as the recipient.

INTERNATIONAL/GLOBAL CONTEXT, INTELLECTUAL CLIMATE RELATIONS of power, history, affinity

Through which INTERMEDIARIES

CONTEXT Political, economic, cultural etc.

WHO? Transfers WHAT?

Source(s), “lender(s)”

Innovation

Scope Characteristics Motives, Agents Characteristics

CONTEXT

By which AGENCY? Through which CHANNEL? With which PROCESS?

Political, economic, cultural etc.

To WHOM?

With what OUTCOME?

Recipient(s) “borrower(s)”

Effect, BeneficiarIes

Motives, decisions Agents, Networks, Intermediaries, Communications Aid, influence, duress

Motives, Agents, Characteristics

Feedback Recipient-initiated transfer; mutual influence

= Internal Process/channel/agency nexus

Figure 9.9: Framework for questions about international transfer.

The focus here is at the international level. Critics of methodological nationalism will object that the language (“who,” “to whom”) is misleading. Conceptualising countries as the actors in transfer processes (e.g. “the USA exported the Dewey Decimal Classification to South Africa”) is a gross oversimplification. Not only are institutions, government bodies, organizations and individuals involved in this process in both the source and the recipient countries, but multiple countries or international organizations may be involved as both source and recipient

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countries. International organizations may exert considerable general influence. Emphasis on countries overlooks trans-national phenomena. However, since we are concerned here with cross-national transfer, countries provide a useful point of departure for analysis and discussion.

9.12.1 Context Figure 9.8 suggests that there are at least two levels of context. First, there is the international or global context, which in a given period may be characterized by a certain intellectual climate. Some ideas may be part of the Zeitgeist of an era. Global or Western influences may have become so widely diffused as to be impossible to pin down to a single source country. Influence is exerted and transfer of ideas and innovations takes place against the background of historical periods and political-economic conditions such as the rise and fall of empires and expansion of trade, missionary activities, colonization, decolonization, economic growth and recessions, ideological competition, and world economic systems. Some of these are dealt with in Chapter 10. Secondly, we must take into account the domestic context of the source, intermediary and recipient countries, including, political, economic, social and cultural factors. As suggested earlier, the notion of ‘country’ needs to be examined more closely. This gives rise to questions concerning the institutional or administrative frameworks in which the innovation is sourced and introduced, and the broader societal milieu or circumstances in the source, intermediary and recipient countries. The following questions are relevant: – From which sector, institution or organization in the source and/or intermediary countries does the innovation come? – From what context (cultural, social, economic, political, etc.) does the innovation come? – Into which sector, institution or organization in the recipient country is the innovation introduced? – Into what context (cultural, social, economic, political, etc.) in the recipient country is the innovation introduced? – What influence is exercised by the global context, such as the international fashions and intellectual climate? The contexts of the source and the recipient countries change over time, giving rise to Cowen’s “space-gate moment” (Cowen 2006) and to the preconditions for “large-scale, cross-national structural transfer” identified by Djelic

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(1998). The “design-reality gaps” and mismatches discussed by Heeks (2003) (cf. Section 9.8) are relevant here.

9.12.2 Sources (“Who”) “Lending” or transferring countries, entities within them, and international or supra-national organizations serve as sources. The following are relevant questions: – Which is the source (lending, transferring) country or entity? – Is more than one source involved? Concurrently or serially? (This can lead to competition, conflicts and confusion.) – Which are their salient characteristics? – Instead of a country, is the source of the innovation more generalized (as in ideas which have become common currency regionally or worldwide)? – What are the motives that can be imputed to the source country or entity?

9.12.3 Intermediaries Often it is not clear which is the ultimate source of an innovation or policy. The diffusion of innovations or policies is often a multi-stage process, in which the new ideas pass through a succession of recipients/sources, mutating along the way. International organizations involved in development aid often serve as intermediaries in the transfer process. The following are relevant questions: – Are there intermediary countries or entities between the source and the recipient? – What are the motives that can be imputed to the intermediary countries or entities?

9.12.4 The innovation A central question concerns what is transferred: – What are the characteristics of the innovation? The characteristics distinguished by Rogers (2003) are relevant here: relative advantage, compatibility, complexity, trialability, and observability; although one may argue that some of these are perceptions of potential adopters rather than characteristic of the innovation.

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– What is the nature of what is transferred? As suggested by the “six foci of attraction” of David Phillips and Ochs (2003), and transposing their categories to LIS, this can range from quite concrete and technical things such as library materials, databases, equipment and computer systems, through readily documented and taught procedures and techniques, to more complex phenomena such as the LIS education and training system, the establishment of professional training, to policies on funding and governance, all of which are ultimately grounded in the institutional and national educational and cultural philosophies, values and social aims. The literature suggests that ‘hard’ (concrete, technical) innovations can be adopted more readily than ‘soft innovations,’ those involving goals, values and philosophies. The latter are more context-dependent and will encounter greater resistance in the receiving country. This is depicted in Figure 9.10.

Low context dependence

Low resistance

Books & Materials Database access Equipment & Systems Techniques & Procedures Education & Training Professional associations Legislation Funding & Governance policies Educational philosophy & policy Cultural policies Social aims Cultural traditions and values High context dependence

High resistance

Figure 9.10: Relationship between context dependence and resistance to an innovation.

Focussing exclusively on concrete and technological innovations is shortsighted. No technology comes without some baggage, and introduction of even quite simple innovations may have unintended consequences. One has only to think of the impact on user behaviour and student learning of the introduction of affordable and easily operated photocopying machines in the 1960s.

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9.12.5 The Agency/Channel/Process nexus In the centre of Figure 9.9 is what we might call the engine room of international transfer: the Agency/Channel/Process nexus which connects the source, intermediary and recipient. These three are interlinked. Together they correspond to the central cell in Figure 9.8, “by which MEANS?”

9.12.6 Agency: which agents make things happen (or not happen)? Agency refers to the roles of individuals as key actors and intermediaries. These include the roles referred to in the literature as ‘transmitters,’ ‘receivers, ‘gatekeepers,’ ‘policy entrepreneurs,’ and ‘change agents.’ They include politicians, bureaucrats, consultants, contractors, etc. These agents contribute to the processes which take place within the channels. Others may oppose, block or water down new ideas. Transfer should be seen as a layered phenomenon. Stepping down one level, we can conceptualize within each source, intermediary and recipient country an internal process/channel/ agency nexus, and stepping down a further level, another nexus within organizations in those countries, for example, officials working in country sections of aid agencies, or officials in school media units of education ministries in recipient countries. In Figure 9.9, this is symbolized by the small rectangles within the “WHO,” “INTERMEDIARIES” and “To WHOM” boxes. The following are relevant questions: – Within the source country or entity, which agencies or organizations are involved? – Which motives can be attributed to the agents or institutions involved? – Which individuals, groups, and networks are involved in the source and intermediary countries, for example, Ball’s (1998) policy entrepreneurs and Tanaka’s (2005) exporting transmitters, and what roles do they play? The motivations of the various agents are a significant factor. They may range from sheer altruism and “missionary zeal” to various less altruistic motives such as imperialism, commercial advantage, or personal advancement. Individuals may make useful contributions even when their motives, or the motives of their organizations are self-serving, and well-meaning individuals may set off processes with unintended negative consequences. In preceding paragraphs the role of coalitions has been referred to several times.

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9.12.7 Channels (“through which channels?”) Processes take place within channels: the environments within which information flows, such as programmes of international and supranational cooperation, development aid, or international standardization, operating through formal organizations such as think tanks, foundations, aid agencies INGOs, IGOs and government departments, and informal organizations such as interest groups, networks and ‘epistemic alliances.’ The networks and communication channels used by the various agents to communicate and exert influence at various stages of the transfer process are of particular interest: – Which transnational networks play a role in the transfer process? – What are the roles of international organizations (intergovernmental and non-governmental), foundations, aid agencies, corporations and other nonstate actors? – How do externally based organizations interact with local actors? (Cf. Burde 2004) – At what stages do the various categories of agents contribute to (or impede) the process of transfer? – Through which channels do the various agents communicate and exert influence at various stages of the transfer process? – Which are the forces (movements, organizations, agencies) arrayed in support of, or resistance to, an innovation? – Who are the key individuals in these forces, and what are their backgrounds, personal qualities and motives? – What strategies do they use?

9.12.8 Process (“with which process?”) Processes involve exploration, persuasion, resistance, decision-making, etc. They can take the form of direct and indirect, or mediated, transfer, and can be placed on Ochs and Phillips’ (2004) continuum of transfer, under various degrees of influence and constraint, as depicted in Figure 9.6. C.J. Bennett (1991) identified the four “political modalities of transfer” referred to in Section 9.10. The categories proposed by Dolowitz and Marsh (1996), ranging from voluntary to coercive transfer, are also relevant, as are Djelic’s (1998) mechanisms. This leads to a consideration of the political modalities of the transfer process: – On whose initiative does transfer occur? Phillips and Ochs refer to the source country as the “target country,” implying that it is the recipient country that initiates a search for an innovation (David Phillips and Ochs

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2003). But where the source country takes the initiative, particularly in cases of coercive transfer, it seems rather that the recipient country is the “target.” – Is transfer imposed or voluntary? – Is the transfer process in one direction only, or is there mutual influence and learning? There are many ways of looking at the transfer processes. The “principal stages of borrowing” in the Phillips and Ochs (2003) model (Figure 9.5), together with the four categories of force distinguished by R.M. Thomas and Postlethwaite (1983), provide a useful framework for questions: – How does a climate conducive to seeking foreign solutions develop in the recipient country? (Which impulses stimulate a search for, or openness to, solutions from other countries? What political processes are involved?) – How is the process of change launched? – Are there circumstances in the source country that are favourable to the process? – What barriers or obstacles are there to transfer? (E.g. the “gaps” identified by Heeks (2003).) – How does the contest between proponents and opponents of the innovation play out? Sabatier (1987) provided an interesting analysis of interactions between opposing advocacy coalitions. – To what extent and in what way is the foreign model subjected to adaptation for implementation in the recipient country? – How is the imported model “internalized” and “indigenized”? Cowen’s (2006) distinction between transfer, translation and transformation is useful here. – How long does the process take before the cycle starts afresh? Since the twentieth century development aid has been one of the main vectors of influence and transfer. This is not always reflected in the literature of innovation diffusion and policy borrowing. Aid is dealt with in some detail in Chapter 10 and examples are presented in Chapters 11 and 12. In connection with process, the question of timing is worth considering. The notion of a space-gate moment, when the availability of a model in country A coincides with a need in Country B suggests that we need to ask questions about the timing of the introduction of an innovation or policy. – How important is timing, i.e. the availability of a model in a source country or its prominence in the media coinciding with a need in a recipient country?

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– Do availability, need and resources coincide? When they do not, does the recipient country – particularly in the case of development aid – reprioritize its national planning to postpone a desired development for which resources are not available, or to take advantage of an unexpected opportunity? With what consequences? – Is the recipient country taking over an idea which is nearing the end of its “shelf-life”? – Over what time-scale are major innovations transferred to various countries and regions? One of the aspects of interest here is the time lag between the development of an idea or technology in a source country and its transfer to a recipient country. This may give rise to relocation diffusion, referred to earlier in Section 9.3.

9.12.9 Recipients (“to Whom”) Questions here are analogous to those asked about source countries: – Which is the recipient (borrowing, receiving) country? – Is more than one recipient country involved? – Which are their salient characteristics? – What are the motives that can be imputed to the recipient country or to the agents or institutions involved? – Which organizations, agencies, individuals, groups, and networks are involved in the recipient country, for example, Tanaka’s (2005) “receivers” and the advocacy coalitions of Pons and van Zanten (2007), and what roles do they play?

9.12.10 Relations between sources, intermediaries and recipients Source and recipient countries are linked by relations of various kinds: proximity, political-economic power, trade, history, language, etc. These may be current or historical, for example the relationships between Germany and colonies it lost during the First World War, such as Cameroon and Namibia. The next set of questions is concerned with the relationships between the source and recipient countries: – What is the geographical relationship between them (neighbouring countries, or distant)?

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– What current or historical affinities and relationships exist between them that may play a role (e.g. cultural, linguistic, historical and political)? – What relationships of political and economic power exist between them that may play a role (e.g. equality, dominance, conquest, colonization, shared membership of an association or alliance of nations)? The relationships may overlap, for example, the (former British) Commonwealth of Nations comprises countries most but not all of which were British colonies and use English as an official language. At the time of writing the United Kingdom, Cyprus and Malta are also members of the European Union. Some former British colonies are not members of the Commonwealth, while Mozambique and Rwanda joined later in spite of having had a different colonial history.

9.12.11 Outcomes The outcome of a transfer process is not necessarily the adoption of an innovation. An innovation may be successfully indigenized, leading to the transformation of the recipient system. An innovation that is adopted may have unwelcome effects (Rogers 2003). An innovation may be rejected but leave behind some traces (Gruber 2004). – What are the immediate consequences of introducing the innovation, what is the outcome in terms of adoption, adaptation or rejection, what is the long-term impact on the system? How are they to be evaluated? – Does it lead to significant international policy convergence (cf. Inkeles and Sirowy 1983) or harmonization (C. J. Bennett 1991)? – Does a rejected innovation nevertheless leave behind some traces?

9.12.12 Beneficiaries It is not enough to identify the recipient. Critical questions must be raised about who benefits from the innovation or new policy: – Do benefits extend to the whole population or to a smaller group? – Is the effect skewed in favour of a particular sector? – Are benefits proportionate to the efforts required of beneficiaries? – Do donors benefit more than the intended beneficiaries?

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This concludes the discussion of the theoretical literature. The framework developed here is intended to provide background to the policy transfer, development and aid processes discussed in chapters 10, 11, and 12. While it is intended primarily to inform research, the framework can also be used in evaluating cases of policy transfer and making recommendations on what to do and not to do. A set of fourteen more practical “lessons” was derived from an earlier version of the framework (Lor 2015b).

9.13 Exhibit A: Le retard français In this section the development of public libraries in France is outlined as an example of international influence and policy transfer. It is of particular interest as an example of the challenges of policy transfer in a country with an impressive, long-established and elitist library tradition. Libraries in France have a long history. In 1250 Robert de Sorbonne donated his personal library to the college he endowed in Paris, which ultimately became the University of Paris. The Royal Library of the kings of France dates back to 1367 (E. D. Johnson 1970, 157). The Ordonnance de Montpellier, promulgated in 1537, required that a copy of every book published in France be deposited in the Royal Library. This is regarded as the earliest legal deposit legislation (Penzhorn 2007, 17). In the seventeenth century, Cardinal Mazarin (1602–1661) amassed an impressive library of over 45,000 volumes. It was assembled and organized by his librarian, Gabriel Naudé (1600–1653), whose book Avis pour dresser une bibliothèque (Advice for establishing a library), published in 1637, is often considered to be the first theoretical treatise on librarianship.27 The French revolution (1789–1799) had a devastating effect on many religious, university and private libraries. Some eight million books were confiscated. During the Revolution the former Royal Library became the nucleus of the national library of France, the Bibliothèque nationale. While it acquired many treasures, many of the confiscated collections were scattered. A proportion of the confiscated material went to new libraries that were established in the provinces to make the confiscated books available to the public, but this did not result in a viable system of public libraries (M. H. Harris 1999, 150). By 1908, the Bibliothèque nationale, with a collection of three million books, was the largest library in the world (E. D. Johnson 1970, 166–67), but other libraries lagged behind, as was pointed out in two pioneering international

27 Encyclopaedia Britannica, “Gabriel Naudé,” https://www.britannica.com/biography/Ga briel-Naude, accessed 2018-06-18.

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comparative studies, by Maurice Pellisson (1906) and the far more passionate and combative Eugène Morel (1908). Both wrote with admiration of public libraries in the USA, in comparison with which they thought French libraries fell far behind.

9.13.1 Early American influence Already in the early years of the twentieth century American influence was being felt in French public librarianship. A model American library, organized by Melvil Dewey and his team from the State Library of New York, formed part of the U.S. pavilion at the Universal Exposition in Paris in 1900 (Bertrand 2010, 36). Awareness had been raised in the early twentieth century, but it was the devastation caused by the First World War that created an opening for American library influence. Additional impetus came through a number of initiatives in Belgium and France that had their origins in the First World War. One of these was the establishment in Europe of a number of American-style children’s libraries. In 1918 a group of American women set up a foundation named the American Book Committee on Children’s Libraries, which aimed to develop the “literary culture” of school-age children. The children’s libraries were named “L’Heure joyeuse” (the happy hour). The first was opened in Brussels in 1920. The foundation also helped to disseminate the “American model of user-centered librarianship” through training of local librarians (Mitts-Smith 2007, 464–66). A second such library, which was opened in Paris in 1924, “soon became an embodiment of new ideas that were promoted by those who sought to bring about a radical paradigm shift in French librarianship” (Maack 1993, 258). It was later taken over by the City of Paris, which then developed a network of neighbourhood libraries for children (J Ferguson 1971). In addition, the Carnegie Endowment for International Peace funded the erection of a number of public libraries in European cities that had suffered particularly heavy damage during the war. One of these was erected in Reims. Donations were also made to smaller French cities by the Endowment and other American organizations (Bertrand 2010, 37). Maack (1986a) provided an insightful account of American influence on public libraries in France from 1900 to 1950, identifying the transfer of ideas (such as the philosophy of free, publicly supported public libraries), practices (such as training for librarians, the Dewey Decimal Classification and reference service) and objects or equipment (such as the physical organization of public libraries in purpose-built library buildings). She applied the five stages of

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(1) knowledge, (2) persuasion, (3) decision, (4) implementation, and (5) confirmation, proposed in the diffusion of innovations theory of Rogers (1962), to the introduction of “open access public libraries” in France. Shortly after the war, the interventions of an American philanthropic group, the American Committee for a Devastated France (ACDF, better known as CARD, for the initials of its name in French, Comité américain pour les regions dévastées) contributed to renewing public library work in France. In 1920 CARD opened four small model public libraries in the département of l’Aisne, northwest of Reims, which had seen great devastation in the course of major battles. This was followed in 1921 by the erection of a larger public library in Soissons, in the same département and finally of the first children’s library in France, opened in Paris in 1922, which was taken over by the City of Paris in 1922 (Bertrand 2010, 37). This should not be confused with the second children’s library, L’Heure joyeuse, erected in Paris in 1924, which was referred to above. The American Library in Paris was another consequence of the First World War. Many American libraries had participated in the Library War Service, which collected almost one-and-a-half million books for distribution to American servicemen on the battlefield. After the war, the American Library Association set up the American Library in Paris with a core collection of these books. Brewster (1976, 200–202) discussed the role of the ALA in the establishment of this library, which was frequented by many literary figures such as Gertrude Stein, Ernest Hemingway, and Samuel Beckett, and is still in existence (Maack 2007; American Library in Paris 2017). An American training course for public librarians, which became known as the Paris Library School, was also established in 1923 and housed in the American Library. It was set up by the ALA, with the approval of the French Ministry of Education, and funded by foundations including CARD, the Carnegie Endowment for International Peace, and the Rockefeller Foundation (Witt 2013). It was staffed by both American and French librarians, the French lecturers, who included leading figures such as Eugène Morell and Gabriel Henriot, gradually assuming its leadership (Bertrand 2010, 37). The ALA, which saw in the School an “opportunity to advertise and inculcate American library methods and ideas,” continued to play a significant role in running it until it could no longer secure funding for it (Brewster 1976, 202–4). Witt has discussed this school against the background of an American internationalism that gave the United States a key role in promoting civilization and peace world-wide. He emphasized its evolution as “a hub for international exchange and cross-cultural understanding” (Witt 2013, 143), and placed it in the context of a growing “cultural internationalism”, globalization, and the rise of international non-governmental organizations (Witt 2014a, 505–6). The Paris Library School was closed in 1929 due to lack of

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resources. Bertrand (2010, 37–38) noted that the time was not yet ripe for the adoption of American-style public libraries in France, but that the School exerted a long-term influence through alumni who, infected with “anglo-saxomanie” (N. Richter 1989; cited in Bertrand 2006, 122) pushed for modernization of French public libraries. A new public library model had been introduced to France, and the training received at the Paris Library School became a very significant factor in disseminating this model among French librarians. Maack (1986a) sensitively traced the interaction between American librarians and younger French librarians, particularly alumni of the American Library School, which led to the development of an indigenous movement for free and open public libraries, with its own association and journal. This development can also be interpreted as a case of large-scale national policy transfer, where the First World War served as one of the “traumatic disruptions” which Djelic (1998) saw as a precondition for innovation at a national scale.

9.13.2 Awareness and responses to le retard français Although awareness had been raised, and although the notion of a different library model had been introduced to France and was kept alive by a small corps of modernist librarians, significant change took decades to materialize. Taking stock immediately after the Second World War, French public librarians found that little had changed since 1910 (Bertrand 2009, 476). In 1945 librarianship, in university, school, and public libraries, was appallingly backward in comparison with a number of other countries. This situation was referred to as le retard français.28 The theme of retard became a perennial theme in French library discourse, being recognized not only by leaders in the library profession but also by senior government officials and politicians, many of whom made use of comparisons with other countries as a means of spurring the state to remedial action. It may be noted in passing that the concept of a retard implies an evolutionist expectation that libraries in France would, or should, develop along similar lines as in the countries with which comparisons were being made.

28 Bertrand (2009, 473) translated retard as “delay.” Here retard implies that librarianship in France had been left behind by other countries and needed to catch up. “Backwardness” or “deficit” would have been a better, albeit less diplomatic, translation. Elsewhere Bertrand (2006, 123) remarked on the décalage (temporal discrepancy or gap) between France and other countries in the development of libraries.

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Comparisons were made not only with the situation in the U.S. and Great Britain, but also with what are referred to as les pays anglo-saxons européens (Bertrand 2006, 121). These included Germany, Denmark, Sweden, and the Netherlands.29 Picard (2008) undertook a bibliometric study of almost 4000 articles published about librarianship in seven other countries in Bulletin des bibliothèques de France between 1956 and 2005, finding that almost four fifths of the articles dealt with conditions in “Anglo-Saxon” countries (USA 34%, Great Britain 24%, and Germany 21%). Norway, Sweden and Finland accounted for another 14%.30 There was limited interest in the Soviet Union, this being affected by its dissolution in 1991. During this period, pressure for change was directed at the state (specifically the central government), which was seen as the only player able to make difference (Bertrand 2006, 126–29). Both Picard and Bertrand discussed what they meant by a model. Bertrand (2008, 10–11) used the term as “a construct which makes it possible to deal at a general level with the singular reality on the ground, and to act upon it.”31 Picard described a model as a knowledge production process that makes discovery and invention possible.32 This means that a model can serve as a referent or prototype to be reproduced, a small-scale representation (maquette) of a real situation, an ideal type detached from a homogenous population, and as an icon or mechanical device representing an abstract idea. Applying this to the “Anglo-Saxon model”, he suggested that important as it is, this model is itself polymorphous (Picard 2008, 27). This leaves the notion of an Anglo-Saxon model somewhat ambiguous, but at the pragmatic level it is a generalized example comprising a number of identifiable characteristics or components that can be described, compared, and emulated. In her perceptive and sensitive historical comparison of the American and French public library models Bertrand (2010) pointed out that the American public library model had both technical and political dimensions. The technical dimension included such aspects as open access to the collections, children’s

29 The French term anglo-saxon (Italian anglosassone) is more commonly used in continental European library literature to refer to the United States and Great Britain. It ignores the fact that a significant proportion of the population of the USA has its roots outside the British Isles. I use the term “Anglo-American” unless referring to sources in which “Anglo-Saxon” is used. 30 Picard’s survey included three Nordic countries, but subsumed only the USA, the UK and Germany under the “Anglo-Saxon” label. Surprisingly, he omitted Denmark from his comparison. 31 .“..un construit qui permet au niveau de la généralité de rendre compte de la réalité singulière du terrain et d’agir sur elle” 32 “le modèle est un processus opérateur de connaissance permettant tant la découverte. . . que l’invention”

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libraries, periodicals, practical reference, free service, and qualified personnel. The political dimension was concerned with the library’s inclusiveness (being open to the entire population, including the general public as well as scholarly users), and its broad support among the population. In contrast, a dual French public library model had developed in France (Bertrand 2010, 89). It comprised first the municipal public libraries (bibliothèques municipales) in which collections from the scholarly libraries confiscated from the monasteries and aristocracy had been deposited in the aftermath of the French Revolution. The effect of accommodating these treasures was that these libraries developed into “book museums” frequented by a small, select group of users and not by the general public, for whom they held little interest. Most of their librarians focussed almost exclusively on the care and bibliographic description of their collections and took little interest in services to the public. The second component of the French public library model comprised popular libraries (bibliothèques populaires) catering for the general public. Small, under-resourced, often staffed by untrained personnel or volunteers, these provided popular reading matter of a superficial and ephemeral nature, but they only reached a small segment of the population. It was in opposition to this dual model that the Anglo-Saxon, or more specifically American, public library model was promoted by the “modernists.” After the Second World War a growing movement for public libraries began to make headway. From the 1970s a spectacular quantitative and qualitative development took place in French public libraries (Bertrand 2010, 10). However, what emerged was different from the American model. French political, cultural, social and religious traditions (Bertrand 2010, 54–56) have led to what Bertrand called an “unfaithful” or faulty adaptation (adaptation infidèle) of the model (Bertrand 2010, 80). The founding of the Bibliothèque publique d’information (BPI) in Paris serves as an illustration of the deviation from the American model: in the United States, public libraries are established in response to local demand, funded from local taxes, run with extensive inputs from the local citizenry, and integrated into library networks. In contrast, the BPI, opened in 1977 as part of the Centre Pompidou, was a prestige project of the central government. Generally, in France public libraries have been established top-down through initiatives taken by central government. Certain of the aims of the American public library were adopted (with the notable exception of the educational aim), but the political basis for public libraries (le substrat politique) was ignored. Often renamed a médiathèque, the public library was opened up to a range of media and to cultural activities, but it was not implanted in local communities, so that the relationship seen between American communities and their libraries is absent in France. Opening up the library for all was motivated

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more by a desire to abolish the “archaic privileges” embodied in the old scholarly libraries than by a concern with the education of the population (Bertrand 2010, 80–91, 198). Bertrand concluded her comparison with the observation that: Even if the American model was imported erroneously, it nevertheless played an important role in the definition of the médiathèque. This hybridization has produced a specifically French artefact made explicit by an insistent rhetoric of modernity and democratization in which words are easily, even complacently, confused with the things referred to. The theory of the médiathèque has not yet been created. The comparison with the public library shows what it [the médiathèque] is not (Bertrand 2010, 203).33

Bertrand’s scholarly comparison of the American and French public library models provides useful material and insights for the study of the contextual and other factors affecting policy transfer, and counts as one of the most outstanding comparative studies in our field.34 It illustrates both the opportunities opened up by major historical events, the long-term influence of history, and the heavy weight of tradition as an impediment to policy transfer. It suggests that policy transfer between countries at a roughly equal level of development may be just as challenging, or perhaps more challenging, than policy transfer from a developed to a developing country. To conclude this section, it is worth noting that the retard to which Bertrand refers was not limited to France but was noted as well in southern European countries such as Italy and Spain. Bettega (2008, 117) asked whether there exists a Latin model of the public library as a cultural institution, as distinct from the Anglo-Saxon model, and compared public library development in Italy and Spain with that in France. In all three countries libraries belonging to the Catholic Church were confiscated, at different times, and redistributed differently, with different outcomes. In Italy and Spain public libraries approach the model of a user-oriented and community-based public library more closely than those of France, where national cultural policies have made the public library a cultural institution. Thus, if there exists a Latin model, it is characterized more by divergence than convergence (Bettega 2008, 136–37).

33 Si le modèle américain a été importé fautivement, il a bel et bien joué un rôle important dans la définition de la médiathèque. Cette hybridisation a produit un artefact spécifiquement français explicité par un rhétorique insistante (la modernité, la démocratisation) qui prend aisément, complaisamment, les mots pour les choses. La théorie de la médiathèque reste à faire. La comparaison avec la Public Library montre ce qu’elle n’est pas. 34 A brief account in English is found in Bertrand (2009).

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9.14 Conclusion In this chapter I have explored the literature of a number of disciplines in an attempt to identify concepts and theories relating to the cross-national diffusion of innovations and the transfer of new ideas and policies, in the hope that these can be useful in studying these processes in LIS. The exploration has indeed yielded a number of approaches and concepts that should prove useful in studying the spread of ideas and innovations in LIS. It is clear that the various processes that can be broadly grouped under the heading of ‘diffusion’ are quite diverse, and that these processes can be conceptualized in different ways. There are many factors that should be taken into account by those wishing to innovate and adopt new ideas from other national and cultural settings. Failed attempts may be more instructive that those which succeeded (cf. Lor 2015b). Perhaps the most important lesson to be learned is that diffusion is less linear, more complex and more context-dependent than the simpler, earlier models suggested. The question arises: to what extent are all these insights relevant to LIS? Generally, LIS does not comprise many for-profit undertakings or involve large amounts of money. Neither does LIS – for better or for worse – receive the same amount of attention from policy makers as other areas of social and economic policy. To some extent, innovation in LIS can be seen as a subsidiary process, contingent upon innovation in larger social and institutional contexts such as schooling and the modernization of universities. Due to this low profile, diffusion and innovation in LIS do not frequently raise controversy at the national level.35 But having a low profile does not make innovation any easier. Innovators in LIS who attempt to make professionally motivated changes for which their institutions are not ready, can expect opposition or – worse – can expect to be ignored. In and Chapters 11 and 12, attention is paid to LIS development and development aid under colonial and post-colonial conditions, but by way of background, Chapter 10 first provides some theoretical perspectives on colonialism, the postcolonial situation, development and aid.

35 There are interesting and notable exceptions, for example the controversy about the introduction of the Dewey Decimal Classification in the Melbourne Public Library, which gave rise to a debate in the legislature of the Australian state of Victoria (M. Carroll and Reynolds 2014). Major new buildings and new approaches such as just-in-time collections and off-site storage of less-used materials are also known to have generated sufficient controversy among library clients to be reported in national media.

10 Colonialism, development, and aid Berlin of 1884 was effected through the sword and the bullet. But the night of the sword and the bullet was followed by the morning of the chalk and the blackboard. The physical violence of the battlefield was followed by the psychological violence of the classroom (Ngugi wa Thiong’o [1981] 1986, 9). We have an obligation to demand more for our investment. And if our investment fails, we have an obligation to spend our resources in more productive ways. The United States will remember this day when so many countries come calling on us, as they so often do, to pay even more and use our influence for their benefit. . . . this vote will be remembered. (U.S. Ambassador Haley, speaking at the UN on the eve of a General Assembly vote on 21 December 2017 criticizing the U.S. decision to move its embassy to Jerusalem (Haaretz, Dec 21, 2017 https://www.haaretz.com/us-news/1.830485, accessed 2018-07-03).

Outline 10.1 10.2 10.3 10.4 10.5 10.6 10.7 10.8 10.9 10.10 10.11 10.12 10.13 10.14 10.15 10.16 10.17 10.18

Introduction 532 Colonization and colonialism 533 Political-economic consequences of colonialism 539 Decolonization 542 After colonialism 544 Developing countries 549 Poverty 554 Development 556 Theories of development 560 Development aid 570 Donors 573 Donor motives 578 Forms of aid 580 Process: channels, intermediaries, agents 584 Recipients 586 Context 589 Outcomes 591 Conclusion 596

10.1 Introduction In Chapter 9 an outline was given of processes of influence and diffusion in LIS. It was suggested that colonial influence can be seen as a special case of policy transfer or borrowing, referred to variously as “penetration” (C. J. Bennett 1991),

https://doi.org/10.1515/9783110267990-010

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“coercive transfer” (Dolowitz and Marsh 1996), and “imposed transfer” (Ochs and Phillips 2004). This suggests that library development in developing and emerging countries can be studied using the framework presented there as a point of departure, with the understanding that it may need some modification. This is the first of three chapters on this topic. It first deals with the consequences of colonization and colonialism and with the postcolonial situation (Sections 10.2 to 10.5) and development (Sections 10.6 to 10.9) generally. In Sections 10.10 to 10.17 attention is paid to development aid generally, with some observations on LIS development aid. Colonization, postcolonial conditions, development and aid have taken on different forms over time and in different regions of the world. No two colonial experiences, and no two developing countries are alike. In this chapter and the two that follow I attempt to outline the main trajectories. To counter excessive generalization, some concrete illustrative examples have been provided. The examples are by no means exhaustive; an encyclopaedic treatment is beyond the scope of this book. As indicated in the Preface, the purpose of these chapters is not normative (to provide directions as to what to do) but descriptive, providing theoretical and historical background for further research – and no doubt some insights to illuminate praxis as well.

10.2 Colonization and colonialism Developing countries and the problems of development cannot be understood without reference to colonialism. The establishment of colonies is not a uniquely modern phenomenon. The term ‘colony’ comes from ancient Greece. Although every empire in history has had colonies, today the terms ‘colony’ and ‘colonialism,’ usually refer to the colonization of the Americas and large swathes of Africa, Asia and Oceania in the wake of European voyages of discovery and trading ventures from the fifteenth century onwards (cf. Böröcz and Sarkar 2012).1 On the basis of debates in the United Nations, Casanova provided a comprehensive political definition of a colony in the modern sense:

1 This leaves out of consideration the colonial empires of the Arabs and the Ottomans, not to mention the hegemonic activities of various non-Western countries which have also had an impact on LIS development, but which are usually ignored in contemporary discourse. A discussion of the politics and the political correctness of this discourse is beyond the scope of this book.

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A colony is: (1) A territory without self-government. (2) It is in an unequal position with respect to the metropolis where inhabitants do govern themselves. (3) The administration and responsibility for administration is a concern of the State which dominates it. (4) Its inhabitants do not participate in elections of higher administrative bodies, i.e., rulers are assigned by the dominating country. (5) The rights of its inhabitants, their economic situation, and their social privileges are regulated by another State. (6) This position does not correspond to natural bonds – but rather to artificial models which are the product of conquest or of international concession. (7) Colonial inhabitants belong to a race and culture different from that of the dominating people. Customarily they also speak a different language (Casanova 1965, 29).

10.2.1 Carving up the modern world The first phase of European colonialization was marked by the conquest of the Americas by Spanish, Portuguese and later English, French and Dutch invaders. Indigenous populations were displaced, subjected, enslaved, or exterminated by a combination of European military technology, exploitation and disease. In Latin America, Spanish settlement followed lines of development and communication related to exploitable natural resources and military control; generally, European settlement remained sparse and scattered (E. Williamson 2009, chap. 3). Settlement by large numbers of European immigrants in the more temperate regions of North America initially took second place to the exploitation of mineral resources and the establishment of plantations in the more tropical regions. Here the triangular slave trade developed during the seventeenth century, in which an estimated ten to twelve million Africans were traded for manufactured goods produced in Britain, France, the Netherlands and other European countries. In the first leg of the triangle the goods were carried from Europe to Africa, where they were traded for Africans sold as slaves. In the second leg, the Africans were shipped across the Atlantic to work on plantations in the Caribbean basin, Brazil and the south-eastern parts of North America. Here the slavers took on board the cotton, sugar and other plantation produce for delivery to their home ports in Europe, in the third leg of the triangle (A. Webster 1984, 71). The slave trade had an enormous impact on the countries to which slaves were exported as well as on their lands of origin.2 It has been argued that lack of development in tropical Africa is largely to be attributed to the destruction of indigenous African states and societies and the

2 In addition to the Trans-Atlantic slave trade, an estimated 9.4 million slaves were transported across the Sahara to North Africa, and five million from East Africa to the Middle East and South Asia (Stock 1995, 65–70).

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enormous loss of human potential that accompanied the slave trade (Reader 1998, chap. 38). In the seventeenth and eighteenth centuries, colonial control was extended to exploit natural resources in South and East Asia and Africa, mainly through fortresses that protected trading posts and trading interests in the hinterland. This period also saw the beginnings of the significant European settlement that created outposts of Europe in the more temperate regions of the Southern Hemisphere,3 in South Africa and Australia. However, during a first wave of decolonization in the early nineteenth century both Spain and Portugal lost their colonies in the New World. In terms of the Monroe Doctrine, first enunciated by U.S. President James Monroe in 1823, the United States sought to prevent renewed colonization or intervention by European powers in the Americas (P. Johnson 1999, 325–26), which left Latin America wide open to U.S. domination. A second phase of European colonization got under way following the Napoleonic wars. It has been widely assumed that this phase was prompted by economic interests: the need for raw materials and for markets for European manufactures. Additional motives were notions of extending ‘European civilization’ to the rest of the world, nationalistic pride and strategic rivalry.4 Naked imperialism, epitomized by the expressed ambition of Cecil John Rhodes to build a railway from the Cape to Cairo and to “paint as much of the map of Africa British red as possible”,5 led to the “scramble for Africa.” The Berlin Conference of 1884–1885 divided up Africa among the rival colonial powers, Great Britain, France, Portugal, Germany Belgium and Spain (Akinola 2008, 475–76). The ‘scramble’ was not limited to Africa. Other theatres of European colonization were in Asia and Oceania, the general point of departure being that any territory in the Eastern Hemisphere not controlled by a strong state capable of defending itself and not yet held by another European power could be annexed as a colonial possession. Resistance by non-European entities was dealt with ruthlessly, as in the case of the ancient empire of China, which was forced by European powers to open up its markets to them, and was flooded with opium grown in India, imported by the British East India Company under the protection of the Royal Navy (cf. Böröcz and Sarkar 2012, 230). The United States also entered the fray by seizing a number of Spanish colonies in the Spanish-American War of

3 In South America, a significant influx of European settlers only got under way after the colonies had gained independence in the nineteenth century (Stavenhagen 1992, 426–27), 4 For a very different reading, see Porter’s (1980) review of Hynes (1979). 5 Quoted in South African History Online, “Cecil John Rhodes,” http://www.sahistory.org.za/ people/cecil-john-rhodes, accessed 2018-07-03. On British maps of the world, Britain and its colonies were coloured red or pink.

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1898. In the meantime, the Russian empire had expanded into the Caucasus, Central Asia and Siberia. Towards the end of this period, Italy and Japan also acquired colonial possessions. At the outbreak of the Second World War, a large percentage of the world’s population and area was under colonial rule. The leading colonial power, Great Britain, with a population of 45,5 million, controlled a colonial empire of 470 million inhabitants, spread over almost 34 million square kilometres (Townsend 1941, 19).6

10.2.2 Forms of colonialism R.M. Thomas and Postlethwaite (1984a, 12–14), following Altbach and Kelly (1978), distinguished between three forms of colonialism. Classical or traditional colonialism occurs when a country or territory is ruled by a distant Western government that controls decisions on political, economic, and social issues. Internal colonialism occurs when a subgroup in a self-governing society dominates another subgroup, for example an economically dominant part of a country may treat peripheral regions much as a colonial power would treat a traditional colony (cf. M. Bray 1993). In an analysis of internal colonialism Casanova (1965, 33) observed that it “corresponds to a structure of social relations based on domination and exploitation among culturally heterogeneous, distinct groups.” Neocolonialism is dealt with in Section 10.5. Here I focus on colonies in the ‘traditional’ category and make use of a broad typology of three kinds of colonies, as developed in the field of language evolution by Mufwene (2001, chap. 1, 2002, 10–14). Mufwene distinguished between trade, exploitation and settlement colonies. Trade colonies were the first to develop and were mainly found at coastal locations where Arab and European explorers set up trade relations with the local inhabitants. In many cases, the climate was not hospitable to Europeans, who came for trade-related purposes, and returned home after a spell there. Exploitation colonies were those where Europeans came to control and exploit natural resources for the benefit of the colonizing nations but did not generally stay. Colonial rule of such colonies could be exercised directly by colonial officials or indirectly, through local elites (Hussin 2010). In the case of settlement colonies, the cultural and racial composition of the colony was changed by the importation of slaves or indentured labourers (plantation settlement colonies), or by substantial European

6 This area included the sparsely-populated expanses of British dominions such as Australia and Canada.

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immigration (non-plantation settlement colonies) (cf. Mufwene 2002, 10–14). The resulting demographics, social structures and group interactions in the various types of colonies have had significant impacts on their decolonization and on their subsequent political and economic development, including the development of education and LIS.

10.2.3 The ideological dimension Colonialism is more than simply military and political control: Colonialism is a particular relationship of domination between states, involving a wide range of interrelated strategies, including territorial occupation, population settlement, and extraction of economic resources by the colonizing state. Historically, colonialism also depended upon legal, cultural, and political justifications of the colonial project in the metropole and the colonized state (Hussin 2010, 271).

As distinct from colonization, colonialism can be seen as a political doctrine promoting and justifying the exploitation of a colonized territory. To give legitimacy to its actions, the colonial power claimed to improve its colony and bring “the fruits of progress and modernity to the subject peoples” (Fourchard 2011, n.p.). Colonialism therefore implies certain ideological stances, in which the differences between ‘us,’ the colonialists, and ‘them,’ the colonized, along with the alleged biological, cultural and moral superiority of the former and the dehumanization of the latter, are more or less subtly emphasized. Lord Lugard, the eminent British explorer and colonial administrator, wrote of British possessions in Africa, “We hold these countries because it is the genius of our race to colonise, to trade, and to govern” (Lugard, 1922, quoted in Olden 1995, 1). Colonial officials considered subject peoples to be incapable of governing themselves. In West Africa, French officials generally depicted “the native inhabitants . . . as large children, lazy and unruly, to be controlled and kept in their place” (Cooper 2008, 451). The alleged backwardness of the colonized served as a rationale for their subjugation under the guise of a ‘civilizing mission’ (G. Rist 1997, 48–55; Hussin 2010; Kohn and Reddy 2017). Some colonizers deliberately suppressed traditional languages, religions and cultures as part of their project to convert the ‘heathen’ to Christianity (Meneses Tello 2011). In the Far East, Korea was subjected to analogous treatment by Japan. Western education led students in the colonies to look down on their traditional knowledge, languages and cultures as ‘primitive’ and inferior, which led to loss of indigenous knowledge. The acclaimed African writer, Ngugi wa Thiong’o ([1981] 1986, 11), recalled the use of corporal punishment and the shaming of African children who dared to speak their mother tongue at school.

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Amartya Sen (2005, 142–53), a Nobel Prize-winning economist and an influential writer on poverty and development, has written about attitudes to indigenous cultures. He distinguished three phases in British colonial attitudes to Indian culture over the three centuries or so that the British expanded their influence over that subcontinent and ruled over it. The first phase he called the “curatorial approach.” Here the British colonial administrators and military officers followed in the footsteps of the Persian, Arab and Jesuit scholars before them in assiduously studying the civilizations of the Indian subcontinent – cultures, languages and religions – as well as natural history. They translated these works, studied the languages and religions and wrote scholarly works about their findings.7 This is evidence of a real fascination and willingness to conduct thorough, scholarly research on the cultural and natural phenomena of the region. The second phase identified by Sen is the “magisterial approach,” which emerged as Britain expanded its control over almost the whole of the Indian subcontinent. Here a moral justification for conquest and colonial empire building was found in belittling the civilizations of the conquered peoples. In 1817 a very influential book, entitled The history of British India, written by the Scottish historian, economist and philosopher, James Mill (father of John Stuart Mill) appeared. Mill (1817) had never been to India, knew no Sanskrit, Persian or Arabic and is not known to have mastered any of the modern Indian languages. Yet he is cited by Sen as having pronounced, magisterially: “Hindus. . . have in reality made but a few of the earliest steps in the progress to civilization.” As anyone who has been to India can attest, this is manifestly wrong. According to Sen (2005, 147), this book was extremely influential in the development of British colonial policy. Serving as an authoritative introduction to India for British administrators of that country, it contributed to the establishment of a manipulative, Eurocentric approach to the ‘British Raj,’ British rule over India. The third phase identified by Sen is the “exoticist” approach, referred to earlier in Section 2.2. Here he referred to the modern admirers of Indian culture and religion, such as those who travel to India to meet a guru and “find” themselves. This he labelled a “fragile enthusiasm,” as it is not founded on any depth of understanding.

7 The Asiatic Society, formerly known as the Royal Asiatic Society of Bengal, was founded in 1784 with the intention of studying “whatever is performed by man or produced by nature” throughout Asia. In 1992 I was privileged to visit the headquarters of the Society in Kolkata (Calcutta). The purpose of my visit was to see the famous library. In the halls and corridors of the building I was able to admire the portraits of the British military officers and other colonialists who had trekked into the Himalayas and elsewhere to collect books written in Sanskrit and the Tibetan and related languages.

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I suggest that Sen’s three categories are not limited to India, but probably apply as well to Western interactions with other cultures. An analogous critique is found in Edward Said’s controversial book, Orientalism (Said [1978] 1994), referred to earlier in Section 2.2. The gist of such critiques is that Western scholarship subtly reinforces Eurocentric prejudices against non-Western peoples by emphasizing the exotic aspects of their cultures. Comments by Blaut (1993) on the assumptions of superiority that characterize “Euro-centric diffusionism” were cited in Section 9.3. The works by Said and Blaut are part of an extensive critique of colonialism and the post-colonial condition that has developed since the mid-twentieth century.8 It is not possible here to discuss seminal works such as The wretched of the earth by Frantz Fanon (1961), Pedagogy of the oppressed by Paulo Freire ([1968] 1996), The African condition by Ali Mazrui (1980), or the much-cited essay by Spivak (1988), “Can the subaltern speak?” Some exposure to this literature is recommended to librarians and information workers wishing to understand the challenges of library development in the Third World. It should be noted that colonialism did not end with decolonization, and that colonialism is not only a matter of political relations. It is also a state of mind of both the colonized and the colonizers, for colonization, paternalism, the maintenance of “hierarchies of domination” (Errante 1998), and the oppression of subject peoples came at a psychological cost to the colonizers as well (Memmi 1965). Cooper (2008, 471) asserted that colonialism was “deeply. . . interwoven into what it meant to be a European.” Contemporary postcolonial thinking recognizes far more interaction between colonizers and colonized than was previously understood; “colonialism is not a one-way process” (Ninnes and Burnett 2004, 187).

10.3 Political-economic consequences of colonialism Although the psychological cost of colonialism has been emphasized, the more visible consequences, reflected in the swathes of pink, green, purple, and yellow across British world maps to depict British, French, Portuguese and

8 Colonialism and imperialism remain highly contested themes. In a long-running polemic, Said’s critique of Western orientalism was vigorously rebutted by Bernard Lewis (1993), a leading and politically influential British-American scholar in Middle Eastern studies. As is illustrated by a recent furore at Oxford University, it is difficult for scholars to discuss the legacy of colonialism in a balanced manner. The mere suggestion that colonialism might have had some positive consequences can have unpleasant consequences for anyone making it (cf. Maitra 2018; Malik 2018).

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Spanish colonial possessions respectively, were political and economic. Colonial regimes brought Western technology, science, education, medicine, agriculture, administrative systems, roads, railways, harbours, industries, urban infrastructure and – last but not least – libraries, to the colonized regions, along with Western diseases, greed and inhumane exploitation. The ‘benefits’ of colonialism came with a steep price tag. In sub-Saharan Africa, for example, interventions such as changes in systems of land tenure, forced relocations of rural populations, and the introduction of cash crops had mixed results, leading in many cases to increased food insecurity (Shipton 1990). In Southern Africa traditional communal and family life was disrupted by the migrant labour system in which younger men left their villages to work on the Witwatersrand mines, leaving villages populated mainly by women, children and the elderly. When they returned, they brought with them respiratory and venereal diseases (R. Davis 2014). As local economies were disrupted, the colonized territories became increasingly dependent economically on their colonial powers. In Africa established polities were destabilized and destroyed or subjugated. It has been argued that new, artificial ethnic groups and “tribes” were created to serve the “divide and rule” policies of the colonizers (Finnström 1997; Hussin 2010). This extended to the “creation” of indigenous languages; indeed some African scholars have argued that many African languages are artificial creations because of the way in which they were recorded and standardized, and that this fragmentation served the purposes of the colonizers (cf. Zeleza 2006). However, Finnström (1997) has pointed out that the interaction between the colonizers and the colonized was more complex and dynamic than is often assumed, so that it is misleading to suggest that colonized peoples played entirely passive roles in these processes. In Africa, peoples sharing cultures and languages were separated by artificial political borders. An example is the Caprivi Strip of Namibia, a narrow panhandle which juts out eastward some 450 km from the country’s north-eastern border. It was created through negotiations between Britain and Germany, to give this former German colony access to the Zambezi River. The Zambezi is not navigable here, but the strip later proved to be of considerable strategic importance to the old South African regime as it battled the Namibian independence movement, and it has given rise to cross-border tension between Botswana and Namibia.9 Border disputes, ethnic clashes, impractical administrative units and economic barriers have been caused by these artificial borders drawn in

9 See Wikipedia, http://en.wikipedia.org/wiki/Caprivi_Strip, accessed 2018-07-03.

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European capitals. Borders drawn by former colonial powers also have bedevilled relationships among some countries in the Middle East, South Asia, and South-East Asia, while the break-up of the Ottoman Empire and later the Soviet Union generated scores of territorial disputes.10 From the 1870s onwards, colonies were seen as essential to the industrializing economies of the major powers as sources of raw materials and markets for manufactured goods. Writing about Africa, Akinola (2008, 474) asserted that under colonialism, “. . . the continent was organized and administered for maximum economic exploitation.” The European colonizers first seized control of trade from traditional intermediaries. They flooded African markets with European goods and promoted the cultivation of cash crops such as cocoa, peanuts and cotton, ensuring that each colony specialized in one main cash crop – a situation which made the colonial economies very susceptible to fluctuating prices. European firms bought up the products and skimmed off most of the profits. In settlement colonies, prime land was seized and made available cheaply to European settlers, while taxes, levies, and the introduction of Western currency forced Africans to seek employment on white-owned farms, plantations and mines. Tribal leaders were compelled to provide quotas of labourers for the construction of roads, railways and harbours. The development strategies of the colonial system served. . . to subordinate the African economy to that of the imperial power, and to make European businesses, rather than African communities, the main beneficiaries of the exploitation of African resources (Akinola 2008, 477).

While a small minority of Africans were able to seize opportunities offered by the system and became relatively affluent, the majority of the urban workers and the rural peasants remained poor. The colonial economy tended to concentrate economic activity in a limited number of urban centres, which attracted promising younger people, leaving the rural areas impoverished (Akinola 2008, 479). The economic and legal framework imposed by the colonial power ensured that its financial companies dominated the colonies. Sectors such as health, law and education (including textbook publishing) were also dominated by the colonial power. The political-economic consequences of colonial dependence persisted long after independence. The “striking contemporary poverty” of some of the former colonies has been blamed on the “twin political economic processes of colonial value transfer and devastation as practiced throughout the centuries of colonial rule” (Böröcz and Sarkar 2012, 230; cf. A. Webster 1984, 73–78).

10 Wikipedia, “List of territorial disputes,” https://en.wikipedia.org/wiki/List_of_territorial_ disputes, accessed 2018-07-03. Not all of these are to be blamed on former colonial powers.

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10.4 Decolonization A first wave of decolonization swept North and South America at the end of the eighteenth century and the beginning of the nineteenth, when British, French, Spanish and Portuguese colonies in the New World gained independence (Go 2007, 985). Although this is not commonly dealt with under decolonization, the nineteenth century also saw the beginning of the breakup of the Ottoman Empire, in which countries such as Greece, Bulgaria and Serbia achieved independence. This process accelerated after the First World War, when the empires of the losing powers (Germany, Austro-Hungary and Turkey) as well as the western part of the debilitated Russian Empire were broken up. The map of Europe was redrawn and many of their component territories (e.g. Finland, the Baltic republics, and Czechoslovakia) became independent. However, the colonial possessions of the defeated powers in Africa, Asia and Oceania were handed to the victorious powers as trust territories under League of Nations mandates, in most cases with little real change (G. Rist 1997, 58–66). Between the two world wars Britain granted the self-governing colonies that made up Australia, Canada, Newfoundland, New Zealand and the Union of South Africa, which had large populations of European settlers, independence as dominions under the British crown.11 The second wave of decolonization followed the Second World War. The end of the war found European colonial powers such as Britain, France and the Netherlands weakened by the war effort and less able to maintain control over their overseas possessions, particularly in theatres of war such as South-East Asia, where European prestige had been dented by Japanese military successes. Two other factors were the emergence of the USA as a dominant power, and the rise of nationalist movements in the Third World (A. Webster 1984, 79; Go 2007, 985). During the post-war period over 80 colonies comprising some 750 million people gained independence.12 In the Middle East and South and South-East Asia most of the British, French and Dutch possessions gained independence between 1946 and 1954, followed by most North African states. The independence of Ghana in 1957 heralded the rapid spread of political independence in sub-Saharan Africa (R. M. Thomas and Postlethwaite 1984a, 5–6). In many cases decolonization took place relatively peacefully, but in territories such as Algeria, Kenya and Zimbabwe, where there were sizable populations of European settlers, the

11 Encyclopedia Britannica, “Dominion,” https://www.britannica.com/topic/dominion-Brit ish-Commonwealth, accessed 2018-07-03. Eire (now the Republic of Ireland) also became a dominion. 12 The United Nations and decolonization, http://www.un.org/en/decolonization/index. shtml, accessed 2018-07-03.

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decolonization process entailed protracted armed liberation struggles (Veracini 2007). This took place against the background of intense competition between the USA and the Soviet Union for influence in the newly independent states.13 In the meantime, smaller colonial territories, in all parts of the world were gaining independence. These included both landlocked developing countries (LLDCs) such as Rwanda, Malawi and Lesotho, and small island developing states (SIDS) such as St Lucia, the Seychelles and Kiribati in the Caribbean, Indian Ocean and the Pacific Ocean respectively. Both of these groups face serious economic challenges and receive special attention from the United Nations, which has established the Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries, and Small Island Developing States (UNOHRLLS) to assist them.14 According to the United Nations, 17 non-self-governing territories, with a total population of two million, remain to be decolonized.15 The largest of these is Western Sahara (population 530,000), which was occupied by Morocco after Spain withdrew. With the exception of Gibraltar, the others are all islands governed by France, New Zealand, the United Kingdom and the United States, most with populations of less than 100,000.16 It is difficult to envisage the effective decolonization of the very small territories such as St Helena (population 5,400) or Tokelau (population 1,400). In the final decades of the twentieth century, something akin to a further wave of decolonization swept Central and Eastern Europe and Central Asia. In the late 1980s the former Soviet “satellite” countries (members of the Warsaw Pact) in Central and Eastern Europe freed themselves from Soviet tutelage. The Soviet Union itself was dissolved in December 1991, when its constituent republics in Eastern Europe and Central Asia achieved independence. This was accompanied by varying periods and degrees of conflict and instability, most notably in the Balkans. For the present, it would seem that the emergence of “new” states has slowed down to a trickle, most of these being territories that had been part of other developing states. An example is South Sudan, which 13 Not all decolonization has involved countries gaining independence from a Western colonial power, as illustrated by the cases of Bangladesh, Eritrea, and Timor-Leste, which gained independence from Pakistan, Ethiopia, and Indonesia respectively. 14 See website of UN-OHRLLS, http://www.unohrlls.org/, accessed 2018-07-03. 15 Some would dispute this figure, citing territories no longer listed by the UN, such as Puerto Rico and the territories administered as overseas departments of France. See for example Overseas Territories Review, http://overseasreview.blogspot.com/, accessed 2018-07-03. 16 The United Nations and decolonization, http://www.un.org/en/decolonization/nonselfgov territories.shtml, accessed 2018-07-03. The UN list does not include French Overseas Departments such as Guyane (French Guiana) and Martinique.

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broke away from the Sudan and in 2011 was admitted as the 193rd member of the United Nations. In many other states there are regions in which disaffected ethnic or language groups aspire to independence in conditions of internal colonialism. The unrest and violence that this entails is seen as one of the consequences of traditional colonialism, although it is doubtful whether all such conflicts necessarily arise from it. While admission to membership of the United Nations can be regarded as evidence that a country has attained independence, the examples of Palestine and Kosovo suggest that matters are not always so clear-cut. Membership of the UN is but one dimension of independence. Many UN members which have formally attained political autonomy remain dependent on former colonial powers economically and militarily. R.M. Thomas and Postlethwaite (1984a, 14) suggested that “independence is the opposite or reciprocal of classical or internal colonization,” but that that there can be an intervening stage of “partial colonialism.” Writing about the development of schooling in newly independent Pacific island states, they added: Societies that achieve independence from colonial political status retain certain aspects of the culture imported into the indigenous society by the colonialists. . . . Political selfdetermination or even economic independence does not mean that all remnants of colonial culture are discarded. Instead, remnants of colonialism – which some analysts might call aspects of neocolonialism – are retained, either through the conscious intent of indigenous leaders or else because they are unable to generate more adequate alternatives of their own (p.18).

This comment about the organization of schooling is also relevant to library development. Hence it is worthwhile considering the post-colonial situation and neocolonialism more closely.

10.5 After colonialism The proliferation of the prefix ‘post-’ has given us terms such as ‘post-industrial,’ ‘postmodern,’ ‘poststructuralist’ and ‘postcolonial.’17 Ninnes and Mehta

17 These terms are variously written with and without hyphens. For some scholars the hyphen is significant. With the hyphen, ‘post-colonial’ places the emphasis on a discrete period following colonialism; ‘postcolonial’ without the hyphen suggest the continuing consequences of colonialism. I follow the Chicago manual of style in spelling the term without a hyphen, except when quoting from authors who spell it with one.

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(2004, 2) have grouped these under the umbrella term ‘post-foundational,’ where ‘foundational’ refers to “the enlightenment idea that human rationality provides the ultimate source or foundation of knowledge.” There are two schools of thought about ‘postmodernism.’ One sees it as a periodization concept referring to a new cultural and socio-economic era. The other school does not see such a sharp break but sees postmodernism as a theoretical approach to thinking about the contemporary world (Rust 1991, 611).

10.5.1 Postcolonial Similarly, seeing ‘postcolonial’ as simply denoting a new period and interpreting ‘post’ as ‘after,’ disguises the complexity and fluidity of this concept. In the introduction to their Post-colonial studies reader, editors Ashcroft, Griffiths and Tiffin (2006) pointed out that ‘post-colonial’ should not be restricted to ‘after-colonialism,’ since postcolonial societies are still experiencing the effects of past colonialism and current neocolonialist domination. They saw postcolonialism as “a continuing process of resistance and reconstruction.”18 Tikly (1999, 604) described postcolonial theory as “an attempt to reinterpret the colonial experience in the light of developments in postmodernist and poststructuralist thought.” The term “postcolonial” therefore refers to a global “condition” or shift in the cultural, political and economic arrangements that arise from the experiences of European colonialism both in former colonised and colonising countries. Importantly, it is used not just to describe specific developments or events related to colonialism and its aftermath but also to signify an epistemological shift in the way that these events are described and interpreted (Tikly 1999, 605).

This implies a process of disengagement from the colonial condition, of contestation and of reconceptualization. It is a process which is still under way and must be seen in the context of global capitalism. It affects both the colonized and the colonizing peoples.

18 A distinction may be found in the literature between ‘postcolonialism’ (referring to postcolonial theory) and ‘postcoloniality,’ referring to the postcolonial condition. See Gandhi (1998, 2). The term ‘postcolony’ is sometimes used to refer to former colonies.

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10.5.2 Decolonization of the mind Resistance to the perpetuation of colonialism, particularly concerning cultural and psychological dependence, is an important theme in much of the writing about the postcolonial condition. In a book of essays entitled Decolonising the mind, the celebrated Kenyan author, Ngugi wa Thiong’o ([1981] 1986), initiated a major debate about postcolonial literature by blaming the enforced use of English as a medium of instruction for ‘colonizing’ the minds of African children. Having achieved critical acclaim for his English writing, Ngugi decided to write only in his native language, Gikuyu (Kikuyu) or in the East African lingua franca, KiSwahili (Swahili). He saw globalization, with its patterns of dependence and of cultural homogenization, as bringing in a new form of colonialism through the back door. Ngugi expressed this in the phrase “cultural bomb”: The biggest weapon wielded and actually daily unleashed by imperialism . . . is the cultural bomb. The effect of a cultural bomb is to annihilate a people’s belief in their names, in their languages, in their environments, in their heritage of struggle, in their unity, in their capacities and ultimately in themselves. (p.3)

The notion of ‘colonization of the mind’ has received much attention from philosophers. Dascal (2009, 2) offered the following analysis of the metaphor embodied in this expression: The metaphor ‘colonization of the mind’ highlights the following characteristics of the phenomenon under scrutiny here: (a) the intervention of an external source – the ‘colonizer’ – in the mental sphere of a subject or group of subjects – the ‘colonized’; (b) this intervention affects central aspects of the mind’s structure, mode of operation, and contents; (c) its effects are long-lasting and not easily removable; (d) there is a marked asymmetry of power between the parties involved; (e) the parties can be aware or unaware of their role of colonizer or colonized; and (f) both can participate in the process voluntarily or involuntarily.

Many writers from developing countries accordingly emphasize the need for a new epistemology and for breaking out of the frameworks that constrain postcolonial thinking. This is exemplified by Lalu (2007, 40), who asserted that “the designation postcolonial is an allusion to the tasks of setting to work on colonial conditions of knowledge that continue to haunt the frameworks of knowledge.” Hickling-Hudson (2006, 202) emphasized “the tensions and complexities of the struggle for a post-colonial refashioning of identity” and stated the “moral imperative” of challenging the distortion of knowledge, socio-cultural relationships and economic patterns that stems from racism and Eurocentrism (p.204). An

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interesting illustration is the critique of Western-based HIV/AIDS education in Botswana, by Chilisa (2005). This may be summarized by saying that the scope of the postcolonial (postcolonialism, postcoloniality) is not limited to the geopolitical dimension implied by ‘colonial,’ but encompasses significant economic, social, and especially cultural and psychological dimensions. The postcolonial condition implies dealing with the disruptive experiences of the colonial past, engaging with the tensions and contradictions with which that past has burdened the present, and striving for a different future, negotiated by the formerly colonized themselves.

10.5.3 Imperialism and globalization In the polemical writings of Ngugi, continuing imperialism is repeatedly referred to. Imperialism featured prominently during the Cold War in the daily diatribes of Radio Moscow, Radio Peking and others. It continues to be used in political discourse and remains an important theme in political-economic literature, where it is used somewhat indiscriminately alongside globalization and neocolonialism. Although colonialism and imperialism are treated as synonyms, they can be distinguished. Both involve political and economic control over a dependent territory, but while colonialism usually involved some transfer of populations, imperialism is a broad term which “draws attention to the way that one country exercises power over another, whether through settlement, sovereignty, or indirect mechanisms of control” (Kohn 2012, n.p.). This implies that imperialism can continue after decolonization, in the form of indirect control. The term “new imperialism,” originally coined to refer to nineteenth century colonialism, is now widely used to refer to relations in which poorer countries are dominated by powerful countries, mainly in the West. In the case of domination by the USA, the term ‘American imperialism’ is often used. Imperialism has both economic and political dimensions, which should be distinguished, even though they are intertwined (Slocock 2010, III:771–2). Imperialism and globalization are also frequently regarded as roughly synonymous, since both are concerned with control over other countries. NeoMarxist scholars tend to interpret globalization as the highest stage of imperialism. A typical position as summarized by Barrows (2003) is that: the term “globalization” has simply become a politically correct label for imperialism and colonialism; both have been perfected and reduced to their economic essentials so as to serve as a more effective cover for economic exploitation, the concentration of capital, and increasingly unequal relations between the countries of the center and those of the periphery, but also between capital and labor in the countries of the center.

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On the other hand, conservatives argue that globalization frees trade, removes barriers, and “spreads freedom”; hence they see globalization as the antithesis of imperialism.19

10.5.4 Neocolonialism The term ‘neocolonialism‘ was coined by Ghana’s first president, Kwame Nkrumah. In his book, Neo-Colonialism, the Last Stage of Imperialism (Nkrumah 1965), he stated that the essence of neo-colonialism is that the State which is subject to it is, in theory, independent and has all the outward trappings of international sovereignty. In reality its economic system and thus its political policy is directed from outside. (Introduction, n.p.)20

Slocock (2010, III:770) defined neocolonialism as referring to “the continuing dependence of former colonial societies on Western capitalist states, either their former colonial masters or the new dominant force in the world order, the United States.” He ascribed the perpetuation of the subordinate status of the former colonies to economic, political, military and business ties and added that the concept can also be applied to states, such as those in Latin America, that do not have a recent history of colonization. Neocolonialism is seen as not only emanating from the respective former colonial powers. Other countries, which are themselves former colonies, may be seen as exercising a neocolonial influence. An example is Australia’s role in the South Pacific (M. Bray 1993). Altbach and Kelly (1978, 30) stated that neocolonialism “constitutes the deliberate policies of the industrialized nations to maintain their domination. It may function through foreign-aid programs, technical advisers, publishing firms, or other means.” Political manifestations of neocolonialism include support of puppet regimes and the maintenance of military bases (Hoogvelt 2001, 30). Boshoff (2009) applied the notion of neocolonialism to scientific research in Central Africa, demonstrating the persistence of colonial ties and a pattern of research collaboration with partners in European countries. Wickens and Sandlin (2007) explored the neocolonialist nature of literacy education as promoted by the World Bank and UNESCO from a critical literacy perspective, focusing on 19 For example: Hoover Institution, “Globalization versus imperialism,” https://www.hoover. org/research/globalization-versus-imperialism, accessed 2018-07-03. 20 The introduction is available at http://www.marxists.org/subject/africa/nkrumah/neo-colo nialism/introduction.htm, accessed 2018-07-03.

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how these organizations conceptualize the purpose of literacy, and on the funding of their programmes. They asserted that “as these agencies are predominantly Western institutions, they reproduce Western ideas of education across the globe” (p.289).

10.6 Developing countries The concept of ‘development’ in its modern sense dates from the period following the Second World War (Nederveen Pieterse 2010, 5). Various terms have been generally used to refer to the countries in Africa, Asia and Oceania, and Latin America and the Caribbean which gained independence during this period: the ‘Third World,’ the ‘South’ and ‘developing countries’ or the ‘developing world’ (Haynes 2008, 3–7). These terms are also applied to a number of countries in these regions which had not lost their independence (e.g. Thailand and Turkey) or which had gained independence in earlier waves of decolonization referred to in Section 10.4 (such as most Latin American countries).

10.6.1 Terminology A note is in order about the terms ‘countries’ and ‘nations.’ In American usage, developing countries are commonly referred to as ‘nations.’ This seems odd, since the populations of many of these countries have many different ethnic and tribal loyalties and may not conceive of themselves as constituting nations. Indeed, the construction of nation states from disparate peoples that did not see themselves as part of the newly created ‘nation’ has been one of the basic problems facing developing countries (Haynes 2008, 43). But this term may reflect the pluralistic concept of political development, which emphasizes nationbuilding, as distinct from the structuralist concept, which emphasizes the state (cf. A. Webster 1984, 128–34). As noted in Section 7.12, developed and developing countries are often referred to as the North and the South respectively. The use of the term ‘South’ to refer to the developing countries was given credence by the South Commission (1990, 1) and by the body to which it gave rise, the South Centre, an intergovernmental policy think tank established by a number of developing countries.21

21 See South Centre, http://www.southcentre.int/about-the-south-centre/, accessed 2018-07-03.

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North and South are less clumsy labels than ‘developed’ and ‘developing,’ but a bit artificial, since some developed countries are in the south, and some developing countries in the north.22 The terms ‘North’ and ‘South’ are used here for the sake of brevity, unless ‘developed’ and ‘developing’ are more appropriate to the context, but it is useful to be aware of the denotations and connotations of the various terms used in the literature. In his development studies text, Haynes (2008, 6–7) preferred the term ‘developing world’ or ‘developing countries,’ using these two terms interchangeably, while admitting that they are also problematic, as is the concept of ‘development’ itself. The term ‘developing’ suggests that there is a spectrum from underdeveloped to developed, and that the former should progress over time to the latter category. He pointed out that “it is highly debatable whether all or even most ‘developing’ countries are in reality moving in linear progression from ‘underdevelopment’ to ‘developed’ status” (Haynes 2008, 7). There are some ‘developing countries’ which are not, or hardly, developing. Many other terms have been used in relation to developing countries. Originally they were often referred to as ‘underdeveloped countries’. Then various euphemisms came into use such as ‘less developed countries’, and ‘developing countries.’ The term ‘non-industrialized’ was also used since initially there was not much manufacturing industry in the developing countries. They relied mainly on agriculture and mining, but this is no longer the case. During the Cold War period the developing countries were referred to as the ‘Third World.’ This label is ambivalent. One the one hand, it refers to the economic development status of these countries and their relative lack of influence in international politics. On the other, it refers to their membership of a large bloc of countries which occupied a neutral position in relation to two powerful competing groups: the ‘First World’ (the industrialized democracies of North America, Europe, Australia, New Zealand and Japan, also referred to as the ‘West’), and the ‘Second World.’ The latter referred to the socialist or communist countries of Eastern Europe and certain of their allies, more often referred to as the ‘Soviet bloc’ or ‘communist bloc’. During the Cold War period, the countries that were not part of the West or the Soviet bloc formed the Non-Aligned Movement (NAM) (Haynes 2008, 4). The Non-Aligned Movement included the People’s Republic of China. The developing countries, without

22 For further discussion of these terns, and of the similarly contested terms ‘Global South’ and ‘Global North,’ see C. Butler (2008) and a more recent collection of opinion pieces on these and related terms (Wolvers et al. 2015)

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the People’s Republic of China, constituted the “Group of 77” (South Commission 1990, 1). When the Soviet Union broke up and the communist bloc fell apart, the basis for the division of the world into three fell away, but the terms ‘Third World’ and ‘First World’ are still in use. Although Third World countries show some similarities, they are also very diverse (A. Webster 1984, 23–24). After the collapse of the Soviet empire in 1991, six countries in Central Europe and Eastern Europe that had broken away from Soviet domination joined the European Union, while of the fifteen former Soviet republics which had emerged as newly independent states, the three Baltic states also joined the European Union. The remaining twelve former Soviet republics are sometimes referred to as ‘emerging’ countries or ‘countries in transition,’ to distinguish them from the other developing countries. The upshot is that a somewhat simplistic tripartite division is commonly used in which ‘North’ is used to refer to the developed countries generally, including Australasia (which is in the Southern Hemisphere) as well as those countries of Central and Eastern Europe which subsequently joined the European Union; ‘South’ for the developing countries, corresponding roughly to the old ‘Third World; and ‘Emerging’ for most of the former Soviet Union and the less developed Balkan countries. This division is depicted in simplified form in Figure 10.1. It should be noted that the term ‘emerging countries’ is also used for developing countries with large and rapidly expanding economies, such as China and Brazil, whilst the term “emerging economies“ refers to countries with low to medium income per capita that have experienced significant economic growth and are “emerging” as important players in the world economy (Rousseau 2015). Here it is used specifically to refer to the Soviet and former Yugoslav republics which (re)gained independence after the break-up of the Soviet Union and Yugoslavia respectively. In respect of information the emerging countries lagged behind for reasons other than those which affected the developing countries (J. Feather 2013, 129–30).

10.6.2 Diversity Whatever term is used to refer to them, the developing countries are a very diverse group. Bangladesh, Bahrain, Barbados, Benin, Brazil and Brunei Darussalam are all listed by the United Nations (2017, 154) as “developing economies,” but their most obvious common factor seems to be that their

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NORTH

EMERGING

Tropic of Cancer

NORTH Equator

Tropic of Capricorn

SOUTH

0

2000 4000 km

Figure 10.1: Countries of the North and South and Emerging Countries (Adapted from map by IDG Connect, http://www.idgconnect.com/IMG/915/8915/global-south-map-reddit.jpg; accessed 2018-07-03).

names begin with the letter B. Various overlapping categories of developed, emerging, and developing countries and various regional delimitations are used by international agencies such as the United Nations Department of Economic and Social Affairs (UN-DESA) and the International Monetary Fund. Criteria for their categories change from time to time, and over time some countries move from one category to the other. The annual United Nations survey, World economic situation and prospects, includes a statistical annex in which its “country classifications” are explained. These include a classification of economies by per capita gross domestic income (GNI), and other categories such as least developed countries; heavily indebted poor countries; small island developing states (SIDS); and landlocked developing countries (United Nations 2017, 151–58). Kottak (1994, 352) has warned against the fallacy of “underdifferentiation,” which he defined as “the tendency to view the ‘less-developed countries’ as more alike than they are.” This also applies to geographical regions such as post-communist Eastern Europe (Economist 2010). Assumptions of similarity may result in prescribing inappropriate solutions and borrowing inappropriate policies.

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10.6.3 Diverse colonial and postcolonial trajectories There is a huge gap today between South Korea, a major industrial economy and one of the most “wired” societies on earth, where the population enjoys a high standard of living, and Somalia, a conflict-riddled failed state which lacks a functioning government, and from which twenty-first century pirates operated on the high seas with apparent impunity. In between these extremes are more than one hundred former colonies, each with a unique postcolonial history. A frequently cited example of disparities in the economic trajectories of former colonies is that of South Korea and Ghana (Werlin 1994). In 1962 Ghana‘s per capita income ($190) was higher than that of South Korea ($110), but by 2000 Ghana ($340) had fallen far behind South Korea ($8,900) (N.M. Thompson 2006). Following decolonization, some new states ‘took off,’ while others, beset by economic and political difficulties, stagnated. In many cases an initial, post-independence growth spurt stalled as a result of a host of factors: poor leadership, authoritarianism, corruption, clientelism, misguided policies, mismanagement, irresponsible borrowing, inappropriate development projects, political instability and armed conflicts being cited by some critics. On the other hand, apologists for developing countries tend to blame the legacy of colonialism, capitalism, the inequitable world economic system, dependence on commodity exports with fluctuating prices, and other external factors. The apportionment of blame depends very much on one’s ideological orientation. The extensive literature of development theory that attempts to explain development failure is outlined in Section 10.9 below. Developing countries do not constitute a homogeneous blob of unremitting poverty and misery, as one might gather from reports in international media. Not only are there differences among developing countries, but there are great differences within individual countries. Furthermore, there is growing overlap between developed and developing countries in that a significant proportion of the population of a developing country may enjoy a lifestyle which is out of reach of the poorer citizens of developed countries.23 In the place of “developed” and “developing,” “North” and “South,” etc., we also sometimes make a

23 These points are made in an entertaining and informative TED talk by Swedish professor Hans Rösling (1948–2017), who spent a part of his career treating and studying malnutrition in Mozambique and later taught global health at the Karolingska Institute in Sweden. See TED, “The best stats you’ve ever seen,” http://www.ted.com/talks/hans_rosling_shows_the_best_ stats_you_ve_ever_seen.html, accessed 2018-07-03.

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distinction between “rich” and “poor” countries. But there are many degrees of poverty and wealth. In the next section some background is provided on the complex concept of poverty, which is a critical concept for the understanding of development.

10.7 Poverty South Africans sometimes say that “South Africa is both a First World and a Third World country.” By this they mean that South Africa has some excellent infrastructure and some people can live there very comfortably, but that there are also areas of poor infrastructure and desperate poverty. In reality, a very unequal distribution of income is a common characteristic of developing countries, where it is widespread and increasing (United Nations Development Programme 2013, 3–5). Although inequality of wealth and income are often spoken of in one breath, they should not be confused. Income refers to what people earn from employment and investments. Wealth refers to “the stock of all the assets people own, including their homes, pension saving, and bank accounts, minus all debts” (Saez and Zucman 2014, n.p.). While in developed countries such as the USA, there is growing concern about the rise in both income and wealth inequality (e.g. Matthews 2014), in development economics the discussion tends to focus on income inequality.24 It is recognized, however, that wealth inequality is a significant factor in access to education and health. In a report on the growing within-country inequality in developing countries, Klasen (2016, 2) asserted that “it matters nearly as much for your economic fortune if you are born rich or poor within a country as it matters whether you are born in a rich or a poor country.” Poverty has many dimensions and is the subject of interdisciplinary investigation aimed not only at determining its causes but also at formulating policies to eliminate or alleviate it. Poverty is also a political topic, with much disagreement, conflict and apportionment of blame. As Graaff (2003, 1) points out, blame and cause are not the same thing. Nevertheless, most people will recognize that there is a moral dimension to poverty. Arguably, this is relevant to LIS worldwide. While the eradication of poverty is not a primary task of libraries and information services, much of what librarians and information workers do, particularly in school and public libraries, is aimed at empowering people to make choices and develop to their full, inherent potential.

24 The 2013 UNDP report, Humanity divided: confronting inequality in developing countries (United Nations Development Programme 2013) all but ignores wealth.

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How poverty is measured depends on how it is conceptualized. An early and simple approach was to divide a country’s Gross National Product (GNP)25 by the number of people to determine GNP per head of the population. If the result of that calculation is divided by 365 we arrive at the statistic we often hear in connection with developing countries, namely that people in a given country are living on X dollars a day. That is an average (arithmetic mean), and can be very misleading because, as indicated above, there are often gross disparities in income within the population. Typically, a small percentage of the population receives a very large part of the income and holds an even larger part of the wealth (in terms of assets), whilst a large percentage of the population receives a small income and may hold no wealth to speak of. In the absence of effective social safety nets many people in developing countries are vulnerable to loss of income due to illness and accidents, extreme weather events, environmental degradation and fluctuating commodity prices, and they live precariously on the border line of poverty. A somewhat more meaningful figure than per capita GNP is arrived at if we determine what the minimum income is that is needed for a person to survive. This minimum is often referred to as the “poverty line.” Various versions of such measures exist and they also vary from country to country, because the cost of basic food, clothing and shelter is not the same everywhere. If we know what the basic minimum income level is and we know the distribution of income is in a given country or community, we can say that X% of the population “lives below the poverty line.” Poverty is “a complicated tangle of political, social, historical, institutional and technological factors” (Easterly 2006, 5). As our understanding of poverty has developed it has become clear that poverty has both quantitative and qualitative dimensions. People’s perceptions of how poor they are, are very real to them. In 2012 in the city of Milwaukee, Wisconsin, 41% of AfricanAmerican residents and 35% of Hispanics were living in poverty according to

25 In the literature on development and developing countries the abbreviations GNP (Gross National Product) and GDP (Gross Domestic Product) are frequently encountered. The GDP is an estimate of the total value of a country’s production of goods and services in one year. It is a measure of the local economy. The GNP is the GDP plus net income from assets abroad (e.g. dividends on foreign investments). It is a measure of how well the nationals of a country are doing. This is highly simplified. For more background see the Diffen website at http:// www.diffen.com/difference/GDP_vs_GNP, accessed 2018-07-03. For our purposes, and I suspect for poor people living in developing countries, the distinction is not so important. From 2011 the World Bank replaced the term Gross National Product (GNP) with Gross National Income (GNI). See http://data.worldbank.org/about/data-overview/methodologies, accessed 2018-07-03.

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U.S. standards.26 But to someone living in a slum in Benin or Bangladesh, the living conditions in the west side of Milwaukee would appear little short of idyllic. This is an instance of what is called ‘relative deprivation’, a subjective feeling of discontent arising from the perception that one is not getting a fair share (Appelgryn and Bornman 1996, 381). In a community where everyone is poor, people feel less deprived than in a community, such as Johannesburg, South Africa, where poor people are daily confronted with the conspicuous consumption of a wealthy minority. Therefore, poverty is not merely a physical phenomenon, but has other dimensions, such as being subject to physical abuse, violence, humiliation, indignity, ill health and exploitation, and experiencing feelings of powerlessness, insecurity, fatalism, etc. The dimensions are economic, political, cultural, sociological and psychological. Sociologists speak of “structural deprivation” or “structural poverty” to indicate that poverty results from interlocking factors, the effects of which make it very difficult for individuals to escape from it (Graaff 2003, 8–9). Although poverty is often ascribed to the “laziness,” “irresponsibility,” or “lack of moral fibre” of the poor, being born into a poor environment is to have poor prospects of ever escaping from poverty.

10.8 Development Development has been described as a key concept in Western culture and philosophy. It was: central to nineteenth-century social evolutionism, which pictured human history as a unilinear developmental progression from ‘savage’ and ‘barbarian’ levels of social evolution towards the ‘civilized’ status represented by the modern West (James Ferguson 1996, 154).

10.8.1 Definitions The modern concept of development, and its scholarly study by students of politics, economics, social sciences and culture, emerged after the Second World War. Initially development was seen as relatively straightforward. It was assumed that the ‘underdeveloped’ countries would inevitably become ‘developed’

26 “Milwaukee poverty rate stands at 29.4%,” JSOnline, Milwaukee Journal Sentinel, September 19, 2012, http://www.jsonline.com/news/milwaukee/city-poverty-rate-stands-at-2940o6u31a-170447236.html, accessed 2018-07-03.

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eventually (Haynes 2008, 8). Development was seen in terms of the alleviation of poverty, the increase in incomes or wealth, the raising of living standards, reducing inequality, industrialization, the establishment of stable, democratic states, etc. Earlier definitions emphasized economic growth, referring mostly to a “specifically economic process, generally understood to involve the expansion of production and consumption and/or rising standards of living, especially in the poor countries” (James Ferguson 1996, 154). This can be contrasted with the definition of development formulated by the South Commission (1990, 10): Development is a process which enables human beings to realize their potential, build self-confidence, and lead lives of dignity and fulfilment. It is a process which frees people from the fear of want and exploitation. It is a movement away from political, economic, or social oppression. Through development, political independence acquires its true significance. And it is a process of growth, a movement essentially springing from within the society that is developing.

Rist (1997, 202–4) has described this as a normative definition which states a noble ideal, but is impossible to apply scientifically because the phenomenon it denotes does not exist. This underlines that there are widely divergent views of development. There are as many definitions as there are theories of development. Before these are outlined, some insight can be gained from how development is measured. 10.8.2 Measures of development One common measure, used by the World Bank, is per capita Gross National Income (GNI). This is also reported in the UN’s World economic situation and prospects, which was mentioned in Section 10.6. The World Bank classifies the countries of the world into four categories depending on their per capita GNI. The income bands are adjusted annually. With effect from 1 July 2017, these were as follows: – High-income countries: per capita GNI more than $12,235 – Upper-middle income countries: between $3,996 and $12,235 – Lower-middle income countries: between $1,006 and $3,995 – Low income countries: Less than $1,00527 The second column of Table 10.1 lists a few examples of countries in the World Bank’s four bands.

27 World Bank, “New country classifications by income level: 2017–2018,” https://blogs.world bank.org/opendata/new-country-classifications-income-level-2017-2018, accessed 2018-07-03.

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A per capita parameter (population statistic) is an average, in this case an arithmetic mean. An arithmetic mean can be quite misleading because of skewed distributions. In evaluating such parameters, we need to know how great the variation is between rich and poor. Variations in income or wealth within a population (e.g. of a country, state or city) can be expressed using the Gini coefficient.28 Table 10.1: Development indicators for selected countries. Country

Norway USA Germany Italy South Korea Argentina Russia Brazil China South Africa Egypt Nigeria Vietnam India Pakistan

World Bank GNI band

High High High High High Upper Middle Upper Middle Upper Middle Upper Middle Upper Middle Lower Middle Lower Middle Lower Middle Lower Middle Lower Middle

Per capita GNI in USD ()

, , , , , , , . , , , , , , ,

Gini Coefficient HDI: Human (Most recent Development year) Index (HDI) ()

. () . () . () . () . () . () . () . () . () . () . () . () . () . () . ()

Rank

Index

              

. . . . . . . . . . . . . . .

IHDI: Inequalityadjusted HDI ()

. . . . . . . . — . . . . . .

28 Gini is not an acronym but the name of an Italian statistician, Corrado Gini (1884–1965), who devised this statistical measure. His coefficient can be used to express statistical dispersion in all sorts of contexts, but is most widely known from its use in expressing inequality in income. 29 Data from: World Bank, “GNI per capita, Atlas method (current US$),” https://data.world bank.org/indicator/NY.GNP.PCAP.CD, accessed 2018-07-03. 30 Estimate from World Bank, Development Research Group, tabulated by Index Mundi, https://www.indexmundi.com/facts/indicators/SI.POV.GINI/rankings, accessed 2018-07-03. Percentages converted to values between 0 and 1 and rounded to two digits. 31 Data from: United Nations Development Programme, Human development reports, 2016, http://hdr.undp.org/en/composite/HDI, accessed 2018-07-03. 32 Omitted from Index Mundi table. Data from World Bank, “GINI index (World Bank Estimate),” https://data.worldbank.org/indicator/SI.POV.GINI?end=2012&start=1979, accessed 2018-07-03.

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Table 10.1 (continued ) Country

Senegal Tanzania Haiti Nepal Niger WORLD

World Bank GNI band

Low Low Low Low Low

Per capita GNI in USD ()

     ,

Gini Coefficient HDI: Human (Most recent Development year) Index (HDI) ()

. () . () . () . () . ()

Rank

Index

    

. . . . . .

IHDI: Inequalityadjusted HDI ()

. . . . . .

This coefficient (also referred to as an index) ranges between 0 (absolute equality) and 1 (maximum inequality). The closer the coefficient is to 0, the more equal the distribution of income in a given country; the closer it is to 1, the more income is concentrated in the hands of a small percentage of the population. Gini coefficients for a representative selection of countries in the World Bank’s four per capita GNI bands are given in column 4 of Table 10.1. Table 10.1 shows that most Western countries have relatively low Gini coefficients (thus, relatively equal distributions of income). Inequality tends to be greater in poorer countries. South Africa has the highest Gini coefficient (the greatest disparity between high and low income). The USA is in the middle and seems to form an exception to the general rule that wealthy countries tend to have low Gini coefficients.33 Development should not be measured only in terms of income, and certainly not on the basis of averages. From this perspective, the Human Development Index, which combines measures of education and life expectancy with that of income, is a somewhat more meaningful measure of development. It was developed by the United Nations Development Programme (UNDP). The HDI ranges between 0 (very low) and 1 (very high). In 2011 the UNDP changed the formulae it uses to calculate the Human Development Index. It also added an “Inequality-adjusted” HDI (IHDI).34 33 See Wikipedia, “Gini coefficient,” https://en.wikipedia.org/wiki/Gini_coefficient, accessed 2018-07-03. 34 Full details of the statistical procedures are to be found in the Technical notes, available on the HDI website at http://hdr.undp.org/sites/default/files/hdr2015_technical_notes.pdf, accessed 2018-07-03.

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The last three columns of Table 10.1 give the ranks and HDIs for a selection of countries. Differences between the countries at the top of the table are slight, but the IHDI, in the rightmost column, is a more sensitive indicator. Generally, countries with high per capita GNI also have a high HDI, but in wealthy countries with a higher degree of inequality such as the USA, the IHDI tends to be lower than the mean for wealthy countries. In the poorer counties the IHDI is also notably lower than HDI.

10.9 Theories of development Given that there are many opinions on the nature and causes of poverty and development, it should come as no surprise that there are many theories of development, or, more accurately, theories of how development should happen. Nederveen Pieterse (2010, 42–48) has described the field of development as highly complex and fluid, characterized by the concurrent presence of multiple paradigms. He proposed that a distinction be made between development theory, ideology and policy, with the latter often being more pragmatic. To cover all three, he preferred to use the label “development thinking.” Many disciplines, such as development economics and development sociology, which have quite different points of departure, concern themselves with development. Nederveen Pieterse (2010, 45) also pointed out that there is much difference of opinion on whether change is inherently endogenous (originating within the nation or society) or exogenous (introduced from outside). The verb ‘to develop’ can be used transitively and intransitively. When used transitively the entity being developed is the object of the process, as in “we developed a proposal.” Here development is something that is done to a country. When used intransitively, the entity developing is the subject of an autonomous process, as in “the chick develops in the egg.” These differences are significant. The underlying biological metaphor implies that development is characterized by directionality, continuity, cumulativeness and irreversibility (G. Rist 1997, 27). Rist traced the evolution of the concept of development from its origins in Aristotle and Saint Augustine to its culmination in nineteenth century Western philosophy of history, in the doctrine of social evolutionism. This explained progress as a predetermined historical process through which all nations must pass, albeit not at the same speed as Western society. These ideas fuelled perceptions of Western superiority and provided a justification for colonialism (G. Rist 1997, 39–43). They also underlie much development thinking, especially modernization theory.

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10.9.1 Modernization theory Modernization theory had its origins in the United States against the background of Cold War competition between the capitalist and communist ideologies.35 It was popular in the West because it provided a justification for capitalism. Western governments wanted to continue to exercise a significant degree of control over their former colonies. They did not want them to fall under the spell of communism. Modernization theory offered a compelling alternative. Graaff has characterized modernization as a message to the Third World countries that, in order to progress economically, politically and socially, they needed to do what the First World had done: Politically that meant democratically elected government and a free press, economically it meant a capitalist economy, industrialization, urbanization, and the commercialization of subsistence agriculture; socially it meant the spread of educational and health services; and culturally it meant the adoption of modern individualist and rational values. And the greatest obstacle to all of these was ‘the shackles of tradition,’ that is, traditional values which placed religion and family above efficiency and the market, and which blocked progress with fatalism and backward-looking conservatism (Graaff 2003, 15).

This assumed that the ‘underdeveloped countries’ were essentially fairly similar, and that the process of modernization would follow a basically straightforward trajectory everywhere. In an influential book, The stages of economic growth: a non-communist manifesto, the American economic historian, Walt Whitman Rostow (1960) set out a five-stage process through which it was thought that all countries would progress. The third of these stages, “take-off,” thought to last about two decades, depended critically on an adequate level of investment and the presence of enough entrepreneurs (Haynes 2008, 21–23). This gave rise to the notion, derided by Easterly (2006, chap. 2), of the “big push”: development aid in the form of an injection of capital into a poor country, to enable it to reach take-off.

35 Modernization theory took on three main forms, namely evolutionism, functionalism, and neoliberalism (Graaff 2003, 14–30). While the first two are primarily of historical importance, the neoliberal strand of modernization theory remains important. For a concise introduction to the influence on evolutionism of Charles Darwin, the sociologist Talcott Parsons, and the economist Walt Rostow, see Graaff (2003, 16–22). The influence of Marx, Durkheim, and Weber is discussed by A. Webster (1984, 42–49). For a more detailed (and sceptical) historical account, see Rist (2008).

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By the 1960s, the failure of countries to conform to the development trajectory predicted by the five-stage model – especially failure to take off, prompted rethinking. During the 1970s and 1980s this gave rise to a refinement of modernization theory, known as ‘modernization revisionism,’ which tried to explain why various aspects of tradition, such clientelism, religion, ethnicity and caste, continued to present obstacles to modernization (Haynes 2008, 23–24). During the same period the competing theory of underdevelopment, which took global political-economic factors into account, came into prominence. It was also realized that development could not succeed if local communities were not involved. This gave rise to the ‘basic needs’ development strategy, which stressed that the basic needs of developing communities for food, clean water, sanitation, shelter, health and basic education should be met (Haynes 2008, 28–29). Concern with human wellbeing along with human rights became more widespread in development discourse (J. Elliott 2008). However, during the 1970s, the steep rise in oil prices and the unsustainable debt of many developing countries, prompted a rethink in the West of development and aid policies.36 In the 1980s, neoliberal economic thinking dominated development strategies. The economic and political philosophy of neoliberalism (referred to in Section 7.3) was embraced and promoted by Western leaders such as British Prime Minister Margaret Thatcher, German Chancellor Helmut Kohl, and U.S. Presidents Ronald Reagan and George H.W. Bush. In terms of development, neoliberal policies sought to diminish the role of the state and free the profit-driven private sector to generate growth (Haynes 2008, 31). In line with neoliberal thinking, major aid donors such as Western governments, the World Bank and the International Monetary Fund imposed stringent conditions on developing countries which needed economic assistance. From the 1980s onwards, they required aid recipients to implement structural adjustment programmes (SAPs), referred to earlier in Section 7.3. These aimed to encourage fiscal and monetary discipline, promote market economies, and encourage free trade, free capital flow, and international economic cooperation. Developing countries were required to implement measures inter alia to cut state spending (including spending on health and welfare), keep wage levels low, increase the role of the private sector, and liberalize trade and investment policies. Weaker sectors of society

36 See the South Commission report (1990, chap. 2) for an account, from a developing country perspective, of the internal and external factors affecting development and leading up the “development crisis” of the 1980s.

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were to receive protection through improved ‘social safety nets’ (Haynes 2008, 30). Research indicates that, with the exception of some larger developing economies (e.g. China and India), poverty grew in most developing countries, and the ‘social safety net’ principle was more honoured in the breach than in the observance. Haynes concluded that “SAPs were externally imposed, yet seriously flawed, development strategies that often undermined the already weak developmental position of many poor people” (Haynes 2008, 31). Not all are agreed on the negative effects of the SAPs. Many countries achieved a degree of economic and fiscal stability, but concern remained about the persistence of poverty. Aid programmes were devised to mitigate the effects of the SAPs on the poor. In 1985 the UN Children’s Fund (UNICEF) coined the phrase “development with a human face.” During this period the ‘human development approach’ took shape, and the Human Development Index was launched in 1990 (Desai 2014, 68). A shift of emphasis was taking place, toward the social dimensions of development. Modernization theory is more diverse and complex than this brief overview can reflect.37 Nederveen Pieterse (2010, especially 45–47) has pointed out the contradiction in modernization theory “between modernization as an endogenous and an exogenous enterprise.” Is development largely an exogenous enterprise, done (with good intentions) to poor countries, for their own good? Or is it primarily for the benefit of the rich countries? In theories of underdevelopment it is the latter that is emphasized.

10.9.2 Theories of underdevelopment The term theories of underdevelopment, also referred to for short as ‘dependency theories’, refers to a number of a neo-Marxist theories, inspired by Marxist theory, but also departing from it in significant ways. They include theories of imperialism, dependency theory proper, world-system theory, new international division of labour (NIDL) theory, and regulation theory (Graaff 2003, 32). Here only the first three are outlined.

37 There is a large body of critical comment on modernization theory, although it seems to have tapered off. Development studies texts usually include a discussion. See, for example, A. Webster (1984, chap. 3), Rist (1997, chap. 6), Graaff (2003, 25–29); for an African perspective Matunhu (2011), and as seen by scholars in comparative education, G.P. Kelly, Altbach and Arnove (1982, 515–18) and Klees (2008b).

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Theories of imperialism date back to the nineteenth century and state basically that a need arose in the industrialized countries to find markets for the surplus goods being produced as a result of industrialization. Capitalism needed other markets, new sources of cheap labour and new investment outlets. This led to nineteenth century colonialism (Graaff 2003, 33–35). New perspectives arose after the Second World War. Dependency theorists asserted that there is a structural distortion in the world economy. They distinguished between core (developed) and peripheral (developing) countries. The core buys cheap raw materials from the periphery and uses them to manufacture products which it exports at high prices to the periphery. Declining prices for raw materials exported by the periphery, coupled with rising prices for goods imported from the core, locked the periphery into a downward spiral. The core failed to invest in the periphery except in so far as this suited their needs for raw materials. Labour costs were kept low by using migrant labour from the hinterland, for example, the labourers recruited from rural areas and neighbouring countries to work in South Africa’s gold mines. In this way the development of the countries at the periphery was controlled by the core and restricted to development that would enable the periphery to service the core’s needs (Graaff 2003, 35–39). Dependency theory was popularized by the American economist Andre Gunder Frank, in a seminal book, Capitalism and Underdevelopment in Latin America (Frank 1967). It emerged as a contemporary alternative to modernization theory and gained credence when it became evident that the development promised by modernization theory was not happening. Like modernization theory, dependency theory has been criticized as excessively focussed on economics and neglecting issues of ethnicity, culture, identity and language. It also does not sufficiently take the complex relations between colonizers and (former) colonized into account (Tikly 1999, 609). A further problem with dependency theory was that it was pessimistic, offering no hope of development as long as the capitalist system was in place. The pessimism appeared to be disconfirmed by the economic success of the four East Asian “Tigers,” South Korea, Taiwan, Singapore, and Hong Kong (Graaff 2003, 39), which industrialized rapidly and achieved very high growth rates from the 1960s to the 1990s. This highlighted the shortcomings of dependency theory. World-system theory38 goes some way towards addressing the anomaly of the Asian Tigers. This theory was developed not long after Frank’s work

38 The theory which was developed from Wallerstein’s writings is often referred to as “world systems theory” or “world-systems theory.” In his books he referred to “world-system,” in the singular and hyphenated.

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by Immanuel Wallerstein, an American economic historian, in a multi-volume work entitled The modern-world system, which appeared from 1974 to 2011 (Wallerstein 1974, 1980, 1989, 2011). Wallerstein did not consider nation states in isolation, but within a world system. He took into consideration long-term historical processes (which formed the basis of his analysis), doing so not merely in economic terms, but also taking into account historical, political and sociological dimensions. Instead of conceptually dividing the world into two zones, core and periphery, Wallerstein divided it into three by adding, between the powerful and exploitative core and the weak and exploited periphery, a “semi-periphery”. In this zone are to be found either core regions in decline, or periphery regions in the process of transitioning into the core. The semi-periphery is exploited by the core, but itself serves as an intermediary between core and periphery, which it also exploits. An example of a semi-periphery country is provided by South Africa, which is possibly in transition from the periphery and currently serves as a core in relation to its smaller neighbours in the Southern African Development Community (SADC), such as Lesotho, Mozambique, Namibia and Zimbabwe. These provide migrant labour and are dependent on South Africa for financial services and economic infrastructure. Japan serves as an example of a country which was able to move from the periphery to the core. World-system theory is a bit less pessimistic in its outlook than dependency theory in that it allows the possibility that a country can “graduate” from the periphery to the semi-periphery. However, progression from periphery to core is difficult and not to be taken for granted (Graaff 2003, 39–40; Haynes 2008, 60–61). Countries can get stalled on this trajectory, as seems to be the case with South Africa in the second decade of the twenty-first century.

10.9.3 Human development The work of Amartya Sen on human development was mentioned earlier. Since it is very relevant to LIS, it deserves some comments. In the opening paragraph of his book, Development as freedom, Sen wrote that development can be seen . . . as a process of expanding the real freedoms that people enjoy. Focusing on human freedoms contrasts with narrower views of development, such as identifying development with the growth of gross national product, or with the rise in personal incomes, or with industrialization, or with technological advance, or with social modernization (Sen 1999, 4).

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In a number of papers published during the 1980s Sen developed his “capability approach“ (Wells n.d.) in which he advocated for the measurement of development based on human capabilities, a perspective which “focuses . . . on the ability – the substantive freedom – of people to lead the lives they have reason to value and to enhance the real choices they have” (Sen 1999, 293). In this approach people themselves are seen as the end of development, not as means to an end such as increased industrial output. Thus, education enables individuals not only to be more productive workers but also opens up a greater range of functioning, such as improving hygiene in the home, family planning, political participation, and the exercise of workers’ rights. Sen’s capability approach has relevance for information-based rights (Britz et al. 2012), while the notion of expanding the capabilities of individuals has obvious implications for the role of LIS in development. He has been credited with playing an important role in conceptualizing the human development approach in development theory (Desai 2014, 68).39 Publication of the UNDP’s first Human development report and the introduction of the Human Development Index in 1990 signalled a shift in the development debate towards a more inclusive, people-centred and multidimensional approach to development. In particular, greater attention is paid to institutions of governance, and to participation and empowerment (Haan 2009, 78–81).

10.9.4 MDGs and SDGs By the end of the second millennium it was clear that six decades of development efforts had failed to make a significant impact on the lives of vast numbers of people living in the developing world. Over a billion of them lived on less than one U.S. dollar a day. More than two billion did not have access to clean drinking water, and hundreds of millions lacked adequate health services. Against this background, the United Nations in September 2000 launched a new international development strategy in the form of eight Millennium Development Goals (MDGs), to be achieved by 2015: 1. Eradicate extreme poverty and hunger 2. Achieve universal primary education

39 In a quite critical discussion of the human development concept, the role of the United Nations Development Programme (UNDP), and the Human Development Index, Rist (1997, 204–10) credited the elaboration of the ‘human development’ concept not to Sen but to a group of experts, led by Makhub ul-Haq, which included Sen among others.

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Promote gender equality and empower women Reduce child mortality Improve maternal health Combat HIV/AIDS, malaria, and other diseases Ensure environmental sustainability Develop a global partnership for development40

The fact that no mention is made of economic metrics such as per capita GDP indicated that a human development and poverty reduction perspective prevailed rather than one solely concerned with economic growth, but many development theorists were sceptical (Haynes 2008, 38–39). The UN charted aspirations and progress in annual Millennium Development Goals reports. Specific targets were set under each MDG. Intergovernmental organizations, national governments and NGOs publicized and promoted the MDGs and contributed to their realization. In 2007, the UN Secretary General established the MDG Gap Task Force to monitor progress on MDG 8, which was concerned with overseas development assistance, trade, debt sustainability, and access to medicines and new technologies – where the contributions of the North, or absence thereof, would be most visible. The Task Force issued annual reports.41 The 2014 report of the Gap Task Force reported that “poorest countries need more access to aid, trade, debt relief, medicines and technologies,” and asserted that “persistent gaps between promises made and delivered by developed countries hold back greater progress on the Millennium Development Goals.”42 The MDG outcomes were mixed. Some countries achieved all or most of their specified targets, and some targets were met in most others, but in some none of the targets was met. The summary of the 2015 Millennium Development Goals report reported progress on each of the MDGs, but it also stated that although significant achievements have been made on many of the MDG targets worldwide, progress has been uneven across regions and countries, leaving significant gaps.

40 United Nations, “Resolution adopted by the General Assembly, 55/2 United Nations Millennium Declaration,” http://www.un.org/millennium/declaration/ares552e.pdf, accessed 201807-03. 41 United Nations, “Development Policy and Analysis Division,” https://www.un.org/develop ment/desa/dpad/document_gem/mdg-gap-task-force-report/, accessed 2018-07-03. 42 United Nations, “We can end poverty,” http://www.un.org/millenniumgoals/2014_Gap_Re port/MDG%20Gap%20Task%20Force%20Report%202014_Press%20Release_English.pdf, accessed 2018-07-03.

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Millions of people are being left behind, especially the poorest and those disadvantaged because of their sex, age, disability, ethnicity or geographic location. Targeted efforts will be needed to reach the most vulnerable people (United Nations 2015b, 7).

The annual World economic and social survey for 2014/2015, published by ECOSOC, the United Nations Economic and Social Council (2015), reported on lessons to be learnt from the MDGs with a view to the Sustainable Development Goals (SDGs) that were subsequently adopted as part of the UN’s post-2015 development agenda. The United Nations 2030 Agenda for Sustainable Development was adopted in August 2015.43 Formulation of the SDGs was preceded by intensive lobbying by organizations such as NGOs anxious to ensure that their constituencies and fields of action were represented in the final list of 179 targets. One of the NGOs was IFLA, which recorded some satisfaction that a number of targets relating to access to information, culture, ICT and literacy had been included.44 Not all responses have been positive. Shortly after the SDGs were approved by the UN, William Easterly (2015) scathingly suggested that the acronym SDG should stand for “senseless, dreamy, garbled,” and there was a preponderance of negative comment, focussing particularly on the large number of targets, lack of prioritization (too many deemed “very important”), and vague formulation. An independent scientific review of the SDGs was undertaken jointly by the International Council for Science (ICSU) and the International Social Science Council (ISSC). It found that “out of 169 targets, 49 (29%) are considered well developed, 91 targets (54%) could be strengthened by being more specific, and 29 (17%) require significant work” (International Council for Science and International Social Science Council 2015, 6). Since the programme will continue until 2030, it will be some time before a more informed judgement can be formed.

10.9.5 Castells The contribution of Manuel Castells to development theory has been pointed out by Graaff (2003, chap. 4). Castells, a much-cited Spanish sociologist, developed the concept of “informational capitalism“ in his three-volume work on The information age: economy, society and culture, which appeared between 1996 and

43 United Nations, “Sustainable development goals: 17 goals to transform our world,” http:// www.un.org/sustainabledevelopment/sustainable-development-goals/, accessed 2018-07-03. 44 IFLA, “Libraries, development and the United Nations 2030 Agenda,” https://www.ifla. org/libraries-development, accessed 2018-07-03.

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1998 (Castells 2010). In this ambitious attempt at a comprehensive sociological theory of the Information Age, Castells touched on many factors that are relevant to development. He argued that globalization, with its overwhelming flood of media and its multiplicity of options and worldviews, is experienced by many as a threat to their way of life and belief systems. Affected people tend to retreat into what is familiar to them, into the past and into their regional or local communities, and to revert to fundamentalist versions of their religious beliefs. Globalization also has a major impact on the modern state. On the one hand the state must cope with global problems which are beyond the capacity of individual states (e.g. global warming, environmental pollution, drug trafficking, or terrorism). On the other hand, the state’s citizens are retreating into their regional and local structures and expressing frustration and suspicion in respect of the politicians and structures of the central government. Increasingly, the powerlessness of small, weak states is leading to ‘criminalization of the state,’ where powerful and corrupt elites appropriate the country’s resources for their own benefit. Three years before the September 2011 terrorist attacks in the USA, Castells predicted that collapsing states (which he called “black holes”) could become bases for terrorism that would pose a threat to the developed world. Castells also wrote about the impact of cross-border financial flows. New ICTs enable enormous speculative financial transactions to be concluded instantaneously at the click of a mouse. This facilitates currency speculation which can destabilize the small economies of developing countries. Castells pointed as well to the emergence of network enterprises, temporary groupings of companies in ever-changing patterns of connections which are dissolved when a particular goal has been achieved and new patterns are formed. This has resulted in a serious weakening in the bargaining power of labour. These developments, Graaff points out, are in line with neoliberal ideology. Castell’s theory has been described as wide-ranging but rather diffuse. In fact, all the development theories mentioned here have been criticized on one point or another; not one can be regarded as definitive, but all of them have contributed elements that add to our understanding of development.

10.9.6 Other theoretical approaches In recent years a wide range of alternative approaches to, or perspectives on, development have emerged. These include women/gender in development (South Commission 1990, 128–31; Haynes 2008, 172–79), participatory development (Mohan 2008; Haan 2009, 161–66), development and the environment

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(South Commission 1990, 134–38; Haan 2009, 152–55), culture and development (Schech and Haggis 2008; South Commission 1990, 131–33), alternative development (Nederveen Pieterse 2010, chap. 6), and more radically, post-development and anti-development (Nederveen Pieterse 2010, chap. 7). Post-development, which has some affinity with postcolonial theory and is linked to anti-development, has been described as a radical reaction to the dilemmas of development. Perplexity and extreme dissatisfaction with business-as-usual and standard development rhetoric and practice, and a disillusion with alternative development, are keynotes of this perspective (Nederveen Pieterse 2010, 110).

This position itself has come under fire, some critics objecting that post-development is merely the latest version of long-standing criticism of development (Sidaway 2008). Today there are multiple development perspectives with diverse themes and options. Globalization looms large. In the twenty-first century, development is characterized by complexity. Long-held assumptions about development trajectories and North-South relations are no longer adequate: Different development horizons prevail in newly industrialized countries [NICs], in cooperation between NICs, in relations between NICs and commodity-exporting countries, and in north-south relations. The idea of development as a single path forward – ‘progress’ – or generalizing across developing societies lie well behind us (Nederveen Pieterse 2010, 214).

The ongoing debates about development theory have not prevented vast expenditure on international development assistance, whether influenced by new theoretical insights or in disregard of them. The remaining sections of this chapter are devoted to development assistance, ‘development aid’ for short.

10.10 Development aid Development aid has been an integral part of international development efforts since at least the Second World War.45 One has only to think of the

45 International assistance of various kinds has a longer history (cf. Riddell 2007, 24–26). In LIS, aid for the reconstruction of libraries after the First World War, referred to in Section 1.8, is but one example.

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Marshall Plan, a programme of official economic aid amounting to over $12 billion, launched by the USA in 1948 to help rebuild the West European economies that had been devastated by the War. Severe war damage had left the affected countries vulnerable to internal and external communist threats. The USA wanted to prevent further expansion of communist influence in Europe, rendered more threatening by the deterioration of the European economies in the winter of 1947–1948. The economic revival of Europe also created a market for U.S. goods.46 This illustrates two important points: that aid is almost always to be seen in a larger geopolitical and ideological context, and that the nature, amount, and recipients of aid are largely determined by the motives and needs of aid donors. In this section a general overview of aid is given, with the emphasis on current or recent aid flows, rather than on the history of aid.

10.10.1 Definitions The transfer of resources to developing countries can take place in various ways, not all of which can be regarded as ‘development assistance’ or ‘development aid.’ Other important financial transfers include foreign direct investment (FDI), remittances (money sent back to their countries of origins by citizens who migrated to developed countries – an increasingly significant source), and military aid. The term ‘development cooperation,’ a near-synonym of development aid, is sometimes used in the name of official aid agencies, for example the Swedish International Development Cooperation Agency (Sida) and Finland’s Department for International Development Cooperation (FINNIDA). Development cooperation is not merely a euphemism – ‘cooperation‘ sounds less paternalistic than ‘aid’ – but a broader term, as it covers a wider range of activities and is not limited to development aid. In a policy brief prepared for the Development Cooperation Forum of ECOSOC with a view to the formulation of the SDGs, Alonso and Glennie (2015) set out criteria for defining development cooperation, and provided the following definition: Development cooperation [is] an activity that aims explicitly to support national or international development priorities, is not driven by profit, discriminates in favour of

46 United States Department of State, Office of the Historian, “Marshall Plan, 1948,” https:// history.state.gov/milestones/1945-1952/marshall-plan, accessed 2018-07-03.

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developing countries and is based on cooperative relationships that seek to enhance developing country ownership (Alonso and Glennie 2015, 4).

Three types of development cooperation comply with these rather idealistic criteria: – Financial and in-kind transfer; in-kind transfer includes food aid, book donations and the like. – Capacity support: includes training and capacity building, technology transfer, and sharing policy experience. – Policy change, referring to changing rules and activities at the national and international levels that have the effect of keeping poor countries poor. This might include measures by wealthy countries to reduce agricultural subsidies to their own farmers, amendments to international treaties on trade and intellectual property, and (since many developing countries are threatened by the effects of global warming) to reduce their carbon emissions (Alonso and Glennie 2015). The first two of these correspond to what is commonly known as ‘development aid,’ ‘international aid’ or (in British English) ‘foreign aid’, in line with a widely cited definition of foreign aid by Roger Riddell (2007, 17): At its broadest, [foreign aid] consists of all resources – physical goods, skills and technical know-how, financial grants (gifts), or loans (at concessional rates) – transferred by donors to recipients.”

Note that unlike the definition of official development assistance (ODA) issued by the Organisation for Economic Co-operation and Development (OECD), Riddell’s definition is not restricted to official aid (aid by governments or government agencies) but covers a greater range of aid donors.47 The acronym ODA is often used to refer to development aid generally, but to avoid confusion it should only be used in respect of development aid by OECD countries (or countries reporting the OECD) as delimited by that organization.

47 The member countries of the Organisation for Economic Co-operation and Development (OECD) have long been the world’s largest aid donors, and since the OECD’s Development Assistance Committee has been concerned with accurate measurement of the OECD’s ‘official development assistance,’ it has been at some pains to define this term precisely. See OECD, “Is it ODA?,” https://www.oecd.org/dac/stats/34086975.pdf, accessed 2018-07-03.

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10.10.2 Framework for discussing development aid For the remaining sections of this chapter Figure 10.2 presents an adapted and simplified version of the framework for questions about transfer (Figure 9.9) that was presented in Section 9.12. In the following sections, the main components of the framework are discussed. To avoid duplication, in each section observations are presented on aid in respect of LIS, more examples of which follow in chapters 11 and 12.

10.11 Donors The donors of development aid fall into four major categories: governments, multilateral donors, non-governmental organizations (NGOs), and private philanthropy. Governments: Twenty-three developed countries and the European Union are represented on the OECD’s Development Assistance Committee (DAC). These countries currently provide the bulk of the world’s official development aid (Keeley 2012, 49). Based on official figures from the OECD, in 2015 the USA was the world’s largest ODA donor, contributing $31.08 billion in 2015. The UK ($18.70 billion), Germany ($17.78 billion), Japan ($9.32 billion) and France ($9.23 billion) were also major donors. Four smaller OECD countries, Sweden, the Netherlands, Canada, and Norway, in that order, also contributed more than $4 billion or more in that year. If the donors are ranked by the ODA as a percentage of their GNI, the ranking looks quite different. Here Sweden (1.4%), Norway (1.05%), Luxemburg (0.93%), Denmark (0.85%), the Netherlands (0.76%) and the UK (0.71%) are the top donors. They were the only six countries to exceed the aid target of 0.7% of GDI, a target set by a UN resolution on 24 October 1970.48 The USA occupied the 20th position on the table, at 0.17%.49 A number of new contributors have joined the traditional donors. These include the BRICS countries (Brazil, China, Russia, India and South Africa), most of which are themselves still aid recipients (Keeley 2012, 55). China, India and Russia were among a number of non-DAC members also reporting data to the OECD. In this group the 48 OECD, “The 0.7% ODA/GNI target – a history,” https://www.oecd.org/dac/stats/the07odag nitarget-ahistory.htm, accessed 2018-07-03. 49 Wikipedia, “List of development aid country donors,” https://en.wikipedia.org/wiki/List_ of_development_aid_country_donors, accessed 2018-07-03.

CONTEXT

With which PROCESS?

Through which CHANNEL?

Requests & feedback

Gives WHAT AID? Amounts, types

INTERMEDIARIES?

By which AGENCY?

RELATIONS of power, history, affinity, strategy

Through which

Figure 10.2: Framework for development aid.

Donors, Motives

WHO ?

Foreign policy; strategic & trade objectives

Recipient(s),

To WHOM?

Political, economic, cultural etc.

CONTEXT

INTERNATIONAL/GLOBAL, GEOPOLITICAL CONTEXT

Feedback

Effect, Beneficiaries

With what OUTCOME?

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major donors in 2015 were China,50 the United Arab Emirates (UAE), Turkey, Qatar, India and Russia, which all reported figures over $1 billion. However, the figure of $1.14 billion, or 0.03% of GNI reported by Russia, which was a significant donor during the Cold War, placed that country well down on the list of donor countries in both absolute and percentage terms. The UAE’s expenditure on official aid amounted to 1.09% of GNI.51 These countries, engaged in South-South cooperation, are sometimes referred to as the “new development partners” (Keeley 2012, 53–54). Aid from them has increased rapidly, to about $25 billion in 2012, but 80% of official aid still comes from the wealthy countries (Riddell 2014a, 1). Multilateral aid donors: About 40% of aid is channelled through multilateral donors and agencies.52 These include four main groups: development banks such as the World Bank and the African Development Bank; the United Nations; the European Union; and global funds, which are solely financing agencies, such as the Global Fund to Fights AIDS, Tuberculosis and Malaria. Multilateral donors are able to cut costs by pooling resources, and they can coordinate aid efforts, but they suffer from the perception that they are bureaucratic and expensive (Keeley 2012, 56–57).53 NGOs in developed countries are significant contributors to development aid. They raise between $20 and $25 billion a year in private contributions to development aid. Private philanthropy includes many kinds of organizations, including foundations, charities, diaspora groups, faith-based organizations, and businesses. Well-known charities such as Oxfam and Médecins sans Frontières are prominent in responding to natural and man-made disasters. Some foundations, such as the Bill and Melinda Gates Foundation, have such deep pockets that they can exert significant influence in the aid industry. Most of the major foundations are based in the USA, which has a tradition of charitable giving and a fiscal system that encourages donors. Businesses make donations for various reasons, one of them being to promote their brands. In other cases, they may be pressurized by advocacy groups and public opinion to reduce prices of their products (e.g. medicines and scientific journals) for the benefit of

50 China still receives a large amount of aid, but the aid it gives has overtaken the aid it receives. Its aid programme is growing very significantly (K. Lo 2018). 51 Wikipedia, “List of development aid country donors.” 52 Riddell (2014a, 1) estimated this at 30%. 53 The OECD listed the top ten multilateral donors for the years 2013-2015. The top two are “EU institutions” (36%) and the International Development Association (IDA), a part of the World Bank (22%) (OECD 2017, 6, Table 1.2.6).

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developing countries (Keeley 2012, 58–59). When corporations make direct investments (FDI) in developing countries, they may initiate programs to support education and community development in the areas where their plants are located.

10.11.1 Donors in LIS projects Many donors have supported LIS development. These include government agencies of many countries, particularly cultural diplomacy agencies such as the British Council, which act as executive agencies for their respective governments. Such countries include all OECD members, with Nordic countries providing support disproportionate to their economies. It is worth noting that aid from LIS governmental aid agencies is not infrequently channelled through NGOs. A recent example is INASP’s Strengthening Research and Knowledge Systems (SRKS) programme, funded by the British Department for International Development (DFID) and Sweden’s Sida (INASP 2018). Donors also include supranational organizations such as the European Union, which has contributed to various LIS-related projects as part of programmes of wider scope. Examples were a programme to upgrade teaching and learning at historically disadvantaged universities in South Africa (G. Thomas 2007, para. 4.2), and a programme to modernize higher education in Syria (I. M. Johnson 2010). These examples also illustrate the point that LIS-related aid is often embedded in larger aid programmes, especially in education. The role of intergovernmental agencies should also be mentioned. UNESCO (largely using funds obtained from the UNDP) was the most prominent of these. In addition, we need to consider charitable foundations, primarily in the USA, among which the Carnegie Corporation, and the Ford, Gulbelkian, Rockefeller, Mellon, and Bill and Melinda Gates Foundations stand out; national and international NGOs, large and small; informal groups; and individuals. It is inevitable that over time, donors lose interest in particular areas of activity as new areas beckon, or when they face economic constraints. Political developments may cause them to scale down aid or to move on to other areas. This is shown by the fluctuating fortunes of the British Council and its successive American counterparts, which have been even more vulnerable to political fashions. It is also seen in the withdrawal from library programmes of previously generous Nordic aid agencies (e.g. Wilhite 2003), and by UNESCO’s waning interest in LIS (Lor 2012b). Major foundations have entered and left the field as well. An example is the Carnegie Corporation, which, after making a very

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significant contribution to library development, shifted its interest elsewhere in the 1960s (Rochester 1993, 151). By the 1980s Clow (1986b, 108) observed in respect of “information-related aid, including aid to libraries,” that “no major aid agency gives top priority to it, and only a handful can be said to give it more than a low priority.” However, in the 1990s the Andrew W. Mellon Foundation made major investments in libraries, and in 1997 the Carnegie Corporation’s new President, Vartan Gregorian rekindled its interest in libraries (‘A Short History of Carnegie Corporation’s Library Programs’ 2003). In the twenty-first century the most prominent donor in the field of LIS has been the Bill and Melinda Gates Foundation. This was not to last. In 2014 the Foundation announced that it was phasing out its Global Libraries programme (Jacobs 2014), but identified three “lead legacy partners,” one of which is IFLA, to carry forward the work of that programme.54 In recent decades a noteworthy phenomenon has been a shift to a more decentralized aid environment in which a larger number of smaller organizations, which are located in many parts of the world, participate in forms of development aid. Many individual libraries, library associations, and LIS schools are involved in cooperative arrangements with partners in developing and emerging countries. Library “twinning” (Doyle and Scarry 1994) was the initial concept, later replaced by “sister library” partnerships, which have been promoted by IFLA and the ALA (e.g. Sager 2000; Everall and Rankin 2014). These are often reported in the more popular library magazines, linking individual libraries in the USA and other developed countries with libraries of the same type in the South (e.g. Griner, Herron, and Pedersoli 2007). Other examples of partnership arrangements are a programme which has linked the member institutions of the Oregon Library Association with institutions in Fujian, China, for over two decades (Sapon-White 2017), and a programme at Simmons College in Boston, USA, to train Vietnamese librarians by means of classes both in Boston and in Vietnam (Baudoin and O’Connor 2008). Regional centres of LIS expertise have emerged in various parts of the world. LIS schools in countries such as Australia, New Zealand, Singapore, Botswana and South Africa are attracting master’s and doctoral level students from countries in their wider region and beyond, offering programmes which are closer to home and less expensive than equivalent studies in the USA and Europe, and in some cases, of greater relevance to the conditions in the students’ home environments.

54 Technology and Social Change Group, “TASCHA to work with Gates Foundation Global Libraries on legacy strategy,” http://tascha.uw.edu/2015/01/tascha-to-work-with-gates-founda tion-global-libraries-on-legacy-strategy/, accessed 2018-07-03.

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10.12 Donor motives Motives and objectives should not be confused. The objective of an aid project might be to construct a highway from the port city of the recipient country to the hinterland. The motive of the donor might be related to economic or security concerns. There has to be a degree of convergence between the needs and interests of the donor and the needs of the recipient. Sometimes those of the donor are the dominant consideration. Recipient countries may succumb to the temptation to opportunistically adjust their priorities in order to accept offered aid. Official aid is usually linked to the direct or indirect national interests of the donor countries. It is also given within the framework of the concepts of development which were discussed earlier. The concepts change over time and their relative influence is determined by the domestic politics of donor countries. The following are important categories of donor motives (Riddell 2007, chap. 6; Haan 2009, chaps 1–2): – Economic: to ensure supplies of strategic resources from recipient countries and to develop new markets there for the donor’s own products. – Geopolitical strategies, such as combating terrorism, acquiring and keeping bases, protecting supply lines, propping up an allied regime, or “winning the hearts and minds” of people in a theatre of conflict. In light of security concerns, another consideration might be to inhibit inflows of political and economic refugees by promoting the development of more favourable conditions in developing countries so that their citizens will feel less need to leave them. Disaster relief also has a geopolitical side to it: preventing instability and refugee flows. – Ideological motives such as promoting the donor country’s concepts of democracy and human rights are often intertwined with the preceding two. – Proselytising or support of co-religionaries may be carried out by religious organizations through the provision of health, educational and social services. – Historical, cultural, and linguistic affinities may be significant considerations. – Ecological concerns about such issues as biodiversity loss, global warming and rising sea levels. Conserving biodiversity and preventing the destruction of rain forests may also have economic and strategic value. – Charitable motives of a humanitarian nature come into play when disasters strike, if only because public opinion calls for relief efforts. The bill for official development aid is ultimately paid by the taxpayers of the donor countries; in the case of NGOs, public contributions are critical, especially when it comes to appeals for emergency humanitarian aid. Historical and

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ideological factors play a role. Shifts in public perceptions are reflected in government policy. Public support is thought to be a significant factor in development aid (Riddell 2007, chap. 7). The degree to which this leads to significant changes in policy depends on the political system of the donor country and on the position of the country’s development agency in the government apparatus. In an adversarial “winner-takes-all” political system, policy swings can be marked. For example, American domestic disagreements about the proper role of government in dealing with poverty and welfare are reflected in U.S. Federal aid expenditure. It is low by the developed country standards, but this is partly compensated for by private philanthropy at a level found nowhere else. In the consensual West European social democracies such as Norway and the Netherlands, there is a higher degree of consensus on development aid, and policies are more stable and supportive. However, the advent of centre-right governments there has led to greater emphasis on accountability and effectiveness, and there has been some decline in aid. Some countries, such as the USA, have multiple official aid agencies, none of which has access to the highest level of the executive; other countries concentrate development aid in a separate government department headed by an official of cabinet rank, which favours public visibility, access to resources, and coordination (Haan 2009, 27–36). In the context of the political process and donor motivations, mention should be made of ‘tied aid’. This refers to the disbursement of aid funds which have to be spent on products and services provided by the donor (cf. Riddell 2007, 99–101). Because it tends to increase costs and decrease effectiveness, it has been discouraged by the OECD (Keeley 2012, 52). Supporting own industries remains a motive of donor governments. For example, it has been pointed out that food aid in kind serves as a form of subsidy to the donor country’s farmers (Haan 2009, 30).

10.12.1 Donor motives in LIS aid In the context of international relations, LIS development aid can be considered to form part of “soft” or cultural diplomacy. It should therefore not be a surprise that it has largely been driven by the geopolitical and security concerns of the donor countries. Generally, the examples cited in Chapters 11 and 12 show that Realpolitik and foreign policy objectives, dissemination of ideology, and the desire to promote the donor’s national language and culture, play a determining role in the aid decisions of government agencies. To a lesser extent, these also play a role in decisions of charitable foundations. For example, during the 1950s, containment of “Communist expansion” was an important factor not

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only in official U.S. aid, but also in the Ford Foundation’s choice of regions in which to operate (Brewster 1976). On the other side of the ideological divide, aid was harnessed in support of the former Soviet Union’s post-war aims, inter alia to support other socialist governments, to encourage the spread of Communism, and to secure its borders (cf. Richards 2001). After the Berlin Wall fell, U.S. foundations, the European Commission, individual European governments and other bodies were all anxious to provide aid to the CEE countries, in the hope of ensuring their orientation to Western Europe and their eventual membership of the EU. Similarly, after the Baltic republics broke away from the Soviet Union, the Nordic countries hastened to renew their historic relations with them (Virkus and Harbo 2002). Aid to more distant parts of the world is motivated in part by the desire to alleviate distress and improve the quality of life there, but there is also an unspoken motive: to create such conditions in the South as to reduce the flow of economic migrants and refugees. The promotion of human rights, freedom of expression and other Western values have also played a role, particularly in the smaller West European social democracies. An example is the contribution of Finnish librarians to the Solomon Mahlangu Freedom College (SOMAFCO), the training college of South Africa’s exiled African National Congress in Tanzania, during the anti-apartheid struggle.55 Another example is the support provided to IFLA’s FAIFE by Danish and Swedish aid agencies and library organizations until the late 2000s (Byrne 2007, chaps 4 & 5). Such ideals are also important motivators of individuals who volunteer for the U.S. Peace Corps and other similar organizations.

10.13 Forms of aid The nature of aid has changed a great deal since the 1950s. There are several ways of categorizing the nature of the aid that is delivered, in that it has been provided in different forms to address a succession of different problems or to fill different gaps seen as critical at particular points of time. In the 1950s, it was physical infrastructure and technical skills; in the 1960s, it was the savings and investment gaps; in the 1970s, meeting basic needs, in the 1980s, the productive sector; in the 1990s, governance, human rights and human development; and today (not unlike the 1970s),

55 IFLA’s President during 2015-2017, Sinikka Sipilä, was one of the Finnish librarians who worked at SOMAFCO, as recorded in her message to the South African Library Week in 2015. LIASA, “South African Library Week opening 2015: message from IFLA,” http://www.liasa.org. za/south-african-library-week-opening-2015-message-from-ifla/, accessed 2018-07-03.

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assistance targeted on the achievement of the Millennium Development Goals (Riddell 2014b, 1).

The objectives of aid reflect the development thinking current at the time. A basic distinction can be made between humanitarian and development aid. Humanitarian aid is typically a response to emergencies of various kinds, such as armed conflict, famine, and natural disasters. Development aid is intended to contribute to longer-term development processes. In the past, humanitarian aid accounted for 5% to 10% of the total, but it is increasing more rapidly than development aid (Riddell 2014a, 2–3). Data released by the OECD show that net non-humanitarian ODA by DAC members held more or less steady from 2009 to 2015, while the costs of humanitarian assistance, especially assistance to refugees in donor countries, grew significantly, no doubt in response to refugee crises (Solheim 2016). It is generally observed that a tension exists between humanitarian and development aid. They differ in various respects. Conceptual, institutional, strategic, and funding gaps between the two were summarized by Hinds (2015, 2–3). Here one thinks of the immediacy and duration of the project, and the responsiveness, mindsets, and organizational cultures of the agencies involved (e.g. Anyangwe 2015). In addition, humanitarian aid attracts far more media attention (Keeley 2012, 50). It has been argued that a clear public policy distinction should be made between these two (I. M. Johnson 2017). However, it is becoming increasingly difficult to maintain such a distinction. On the one hand, emergency aid is often used for longer-term reconstruction projects in the aftermath of the emergency. On the other, resources earmarked for development aid are often spent on immediate life-saving activities, such as immunizing children against deadly diseases (Riddell 2014a, 4). In terms of the intended time horizon of the initiative, aid can be placed on a continuum ranging from short-term projects, through medium-term projects of limited scope and duration which address specific problems, to long-term programme aid. Providing emergency aid requires prompt responses, improvisation and rapid mobilization of resources. Leaving emergency aid aside, de Haan (2009, 17–18) made a distinction between projects, programmes, and sector reform: A project involves financial and technical support to a distinct activity with directly tangible objectives, such as building roads or giving immunizations. A program supports recipient governments’ policies more generally, for example through general “budget support” to finance ministries. . . Reforms are complex processes, often involving dozens of policy prescriptions imposed by donors on recipient governments.

Projects are often tied to the fiscal and planning schedules and the politicallydetermined priorities of the aid agencies which launch them. Typically, after an

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initial period of one to three years, and a possible further extension, a project is terminated and the agency funding it pursues new priorities. Programme aid is typified by the structural adjustment programmes referred to in Section 10.9, which aimed at lasting, pervasive effects and came with significant conditionalities, notably an emphasis on good governance and reform of financial management (Haan 2009, 116–26). In the 1990s there was a shift in programme aid toward “sector-wide approaches” involving the development of comprehensive policies, plans, and multi-year financial frameworks and the coordination of support from multiple donors, in sectors such as education and health (Haan 2009, 127–31). This corresponds roughly to what Riddell (2014a, 32) calls “transformational aid.” In the sections and chapters that follow, I use the term “systemic aid” for interventions aimed at improving the overall functioning of a larger system. For example, the donation of a new building for a university library is a laudable project, but it will not by itself do much to improve learning, teaching and research in the recipient university, let alone improve the higher education system of the recipient country, which would require systemic aid. Generally short and medium-term projects predominate because results become visible sooner. It is more difficult to generate resources for programme aid, because results are often less visible and only become evident in the long term. Charities and the media have been very effective in drawing public attention to needs arising from relatively short-term humanitarian crises. This does not help to promote an informed public understanding of development and commitment to what it involves, making it difficult for government agencies which depend on taxpayers for their funding. As a result, in recent years donors have been channelling more of their resources into “short-term quick-impact aid, aimed at achieving immediate results” (Riddell 2014a, 32–33). A further distinction can be made between aid in kind and financial aid. Aid in kind includes such items as food aid, medicines, agricultural inputs, educational materials and books, educational scholarships, expert advice and consultant services, and technical assistance. Financial aid can take the form of grants, low-interest (“soft”) loans, and debt relief.56 Statistics on ODA expenditure by OECD member states in 2015, showed that aid was spent in the following sectors: – Social and administrative infrastructure, including education, health, water supply (34.3%) – Economic infrastructure including transport and communications, energy (18.8%)

56 Or “debt forgiveness” (see Keeley 2012, 50).

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– Humanitarian assistance (11.2%) – Multisector (9.9%) – Production, including agriculture, industry, mining, trade and tourism (6.5%) – General programme aid (2.2%) – Action relating to debt (0.4%) – Others (16.8%) (OECD 2017, 11–12, Table 1.3.3)57

10.13.1 Forms of LIS aid Of the various forms of aid mentioned above, evidence to be cited in the next two chapters suggests that assistance in education and training is the form of aid that has had the greatest long-term impact. During the Cold War, the Soviet Union made a very significant investment in the education and training of librarians from the socialist and non-aligned countries. This included ideological training to promote participation by the students in the international struggle against bourgeois ideologies (Richards 2001, 196–97). Of course, training of developing country librarians in the West was not value-free either. Reservations have quite frequently been expressed concerning the ideological “baggage” with which students return. In addition, there have been reservations about the relevance of training in the North to conditions in the trainees’ home countries, and about the brain drain that occurs when some choose not to return home (e.g. Asheim 1966, 68–70; Clow 1986b, 115, 117). In spite of these concerns, and notwithstanding some attrition that occurs when promising returnees are promoted to senior nonlibrary positions and are “lost to the profession,” young librarians in their twenties and thirties can potentially contribute to LIS development in their countries for three or four decades, to promote policies and practices relevant to the circumstances of their home country, and in the process spreading the influence of the countries where they were educated. In contrast, collection building aid has attracted much criticism, which has focussed on the donation of inappropriate and useless materials, and the effect of dumping of free or low-cost foreign books on the book industries in recipient countries. Books go out of date, but continuing access to journals can be very helpful. The problem with such aid is that recipient governments and institutions become excessively dependent on it.

57 The same table also gives figures for multilateral aid by the EU and the World Bank. These follow the same pattern, except that the figure for “Others” is much lower at 3.9%, raising all the other figures by a few percent.

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Technical assistance in the form of seconded technical experts and others sent to advise or manage new establishments has played an important role in many developing countries but is no longer so common. In the aftermath of natural and ‘man-made’ disasters, LIS-related emergency aid must take second place to saving lives and caring for the survivors, but to minimize losses, emergency aid focussing on salvaging collections and heritage materials should commence as soon as the librarians, archivists and conservators no longer risk getting in the way of rescue and humanitarian relief workers (e.g. Leonard 2004). Emergency aid is mainly focussed on replacing destroyed collections and library facilities, tracing and repatriating looted items (e.g. Rothfeld 2005), and assessing and salvaging materials damaged by fire and water (Sturges and Rosenberg 1999). An organization called Libraries without Borders, founded in Paris in 2007 as Bibliothèques sans Frontières, has focused mainly on emergency aid to francophone developing countries (Kniffel 2013).58 IFLA has developed guidelines for disaster response (IFLA 2012) and participates in the International Committee of the Blue Shield, as mentioned in Section 7.4 (Varlamoff 1999; Boylan 2003).

10.14 Process: channels, intermediaries, agents Aspects of the political process in the donor countries, such as public perceptions and policy shifts and the motives of decision makers in donor countries, have been touched on above. The process of giving and receiving aid may be initiated by both donors and recipients. International organizations (IGOs and civil society) which raise awareness of needs, campaign for such issues as increasing aid and debt forgiveness, and set targets for expenditure by donors, play important roles. Here one thinks of the MDGs and the SDGs that were discussed earlier. A considerable proportion of official aid is multilateral, the funds being channelled through UN agencies and other international organizations, development banks, the EU (Riddell 2007, 67–69), and others.59 Even in relatively straightforward bilateral aid, in most cases various parties are involved in the process of approving and delivering an aid package. In terms of agency, many actors play a role. In aid organizations, officers at various levels as well as consultants, participate in decision-making and in

58 Libraries Without Borders is not to be confused with Librarians Without Borders, http:// lwb-online.org/, accessed 2018-02-07. 59 See Riddell (2007, chap. 5) on “the complexities of multilateral aid.”

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overseeing projects, applying sophisticated application and evaluation procedures, such as Project Cycle Management, in combination with which various versions of Logical Framework Analysis (LFA), also known as the Logical Framework Approach or Logframe Analysis, are widely used (Landoni and Corti 2011).60 In the recipient country aid agency staff, various categories of local staff, consultants and contractors may be employed, and these have to work with local communities and bureaucrats in different ministries and at different levels of government. In a study utilizing the Institutional Analysis and Development (IAD) framework, C C. Gibson (2005, 60–64) outlined the conventional, linear “chain of aid delivery” schema, which “stresses the primacy of the donor as a principal who must work through a series of hierarchically organized agents to reach the final beneficiary.” Figure 10.2 above is an example of such a schema. In this linear chain the donor government is linked to the beneficiary via various “concatenated intermediary organizations,” including various government ministries and agencies in the recipient country, NGOs, other donors, and other actors (p.61). He identified eight major actors: (1) (2) (3) (4) (5) (6)

the donor government; the recipient government; other donors; the donor’s international development agency; sectoral ministries and agencies within the recipient government; third-party implementing organizations, including NGOs and private consultants and contractors; (7) organized interest groups and civil society organizations within the donor and recipient countries; and finally (8) the target beneficiaries (C. C. Gibson 2005, 63).

Judging the interactions among these to be too complex to be accommodated in a linear schema, Gibson proposed an “International development cooperation octangle” (C. C. Gibson 2005, 64, Figure 4.2) in which multiple links were depicted. It is not possible to discuss this here, but the point to be retained is that a considerable number of actors are involved in any development aid initiative. When aid projects are analysed and evaluated, these should be taken into account.

60 LFA can appear quite intimidating to inexperienced aid applicants. In 2008 the author attended a training seminar on LFA in a Nordic country, where the facilitator, a consultant, herself got so confused that the session was almost abandoned. For a simple explanation see BOND (2003).

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10.14.1 Process issues in LIS aid The literature has repeatedly highlighted the important roles played in aid delivery and reception by key individuals at both ends of the relationships. In addition to their professional skills and expertise, vision, sensitivity to cultural factors, patience and perseverance are required of the administrators and staff of aid programmes, and of the experts and advisers sent to the recipient country. In the recipient countries, officials, professionals and enthusiasts need corresponding talents. In recent decades, increasing costs and other practical considerations have prompted donors to make more use of local or neighbouring intermediaries to deliver aid. An intermediary role may be played by an organization located in a more developed neighbouring country. An example is a collaborative project of the libraries of the University of Bergen in Norway and Makerere University, in Uganda, which already had a long-standing collaboration, to assist in an automation project in the library of Juba University, in neighbouring South Sudan. This library had been closed due to the civil war in that country. In this case the East African School of Library and Information Science (EASLIS) at Makerere University, and Oslo University College were also drawn into the project to train library staff in Juba (Musoke and Landøy 2014). Further south, the expertise available in South Africa makes the country a potential intermediary in aid programmes targeting sub-Saharan Africa, as has been the case with a LIS education project funded by the Carnegie Corporation: a master of information technology programme tailored for promising middle managers in African libraries, which was established in the Department of Information Science of the University of Pretoria (Dick 2012b). Whenever two or more donors or influencers are active in a given country, there is scope for confusion and conflict. Different donors have different aims, emphases, timetables and ways of working. Often their objectives are shortterm, so that synergy cannot be achieved. As pointed out by I.M. Johnson (2016a) in his study of Iraq, lack of coordination between aid agencies is a negative factor.

10.15 Recipients Accurate recent figures for aid flowing to recipients are only available for ODA by OECD countries and other countries reporting their data to the OECD’s Development Assistance Committee. In 2015, Africa received the largest share of ODA, $51.0 billion, followed by Asia ($45.6 billion), America $10,1 billion), Europe

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($6.8 billion) and Oceania ($1.9 billion) (OECD 2017, 3, Table 1.1.7).61 In terms of income levels, the least developed countries received the highest share ($43.0 billion) followed by the lower middle income countries ($35.1 billion) (OECD 2017, 2, Fig. 1.1.3). This suggests that aid is going to the poorest countries.62 Figures for the countries receiving most ODA are interesting. Three-year average figures for the years 2013–2015 show that Afghanistan ($4.78 billion), Syria ($4.24 billion), and Egypt ($3.85 billion) were top recipients. Together they received 8% of the aid. The other countries in the top ten recipients were Vietnam, Ethiopia, Pakistan, Tanzania, India, Kenya, and Turkey. Given that the USA is by far the largest donor, this suggests that U.S. strategic and security considerations play a big role in the allocation of aid to recipients. This inference is supported by an analysis of President Obama’s aid budget request for 2016: $42.2 billion, of which $25.6 billion for “economic and development assistance” and $ 16.8 billion for “security assistance.” The top ten recipient countries of U.S. economic and development assistance were in two regions: sub-Saharan Africa (Kenya, Nigeria, Tanzania, Ethiopia, Uganda, Zambia and Mozambique were the major recipients, in that order), and the Middle East/South Asia (Afghanistan, Jordan, Pakistan). Of the top ten, Afghanistan ($1 billion) was the top recipient, followed by Jordan ($632.4). U.S. security assistance went to Afghanistan, Israel, Egypt, Iraq, Jordan and Pakistan, in that order. The remaining three of the top ten were Colombia, Lebanon, and Mexico. If the two types of assistance are aggregated, the top recipients are Afghanistan ($4.7 B), Israel ($3.1 B), Egypt ($1.4 B), Iraq ($1.14 B), Jordan ($1B), and Pakistan ($742.2 M).63 Haynes (2008, 29) commented that during the initial and final phases of the Cold War, “. . .Western, especially U.S., development funds rarely went to the most ‘deserving’ cases; instead, the lion’s share went to key ideological allies in the developing world.” However, this is not the only factor. Other factors include colonial history, recent history (large amounts flow to countries “in or emerging from conflict”), the level of poverty, policy congruence (Western donors favour democratically governed recipients, at least in principle), and the capacity of the recipient to benefit from the aid (Alesina and Dollar 2000; Haan 2009, 57–58). De Haan (2009, 37) pointed out “how strongly the provision of aid is tied into national ideological, social and political-administrative traditions.”

61 The insight that can be gained from this breakdown is diminished by the fact that the destination of $37.1 billion (24.3% of the total) is “Aid unspecified by region.” 62 This figure is for net disbursements in 2014. In this case, the destination of the largest slice of the aid, $54.9 billion (36.0%) was “Unspecified.” 63 The Washington Post, “The U.S. foreign aid budget, visualized,” https://www.washington post.com/graphics/world/which-countries-get-the-most-foreign-aid/, accessed 2018-107-03.

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Within the recipient countries, aid is primarily disbursed to governments and their agencies to carry out the projects and programmes for which it has been approved, but a percentage is disbursed to non-governmental organizations (NGOs), and community-based organizations (CBOs) which spend about 14% of all aid, some of it being ODA and the rest funds they generated themselves (Riddell 2014a, 1, footnote 1). Ultimate beneficiaries, such as students receiving scholarships to study in the donor country, recipients of emergency aid, or communities for which a well has been dug, usually receive their benefits through governmental and non-governmental agencies. Recipients are determined by the policies of donors (e.g. U.S. foundations may not donate to governmental entities) as well as by the policies of recipient governments (e.g. some governments try to control all inflows and will not allow foreign funding of NGOs).

10.15.1 Recipients of LIS aid As is evident from the next two chapters, LIS aid recipients have been found throughout the developing and emerging world. Former colonial powers have tended to concentrate their aid in their former colonies: the UK in the Commonwealth; France in its former colonies and la francophonie,64 with a strong emphasis on the promotion of French language and culture. Book donations to educational institutions and assistance to the book industries fit into this pattern. The relationships of former colonies with their former metropoles are not only linguistic and cultural, but also economic. In some former British colonies, the British educational publishers and their local subsidiaries have held the lion’s share of the school text publishing industry. Countries without a recent history of colonialism (e.g. the Nordic countries, Germany) tend to spread their aid more widely. The USA has been a donor to a wide range of countries regardless of linguistic or cultural links. In its case, strategic, military, economic and diplomatic considerations are important determinants of who receives aid – and these considerations are not discreetly glossed over. UNESCO has probably been the most catholic in its choice of recipients, which is not surprising, since the organization is expected to be present in all its member countries.

64 La francophonie refers to people who speak French as part of their daily lives or of populations and regions where French is widely spoken. La Francophonie (with a capital F) refers to the Organisation internationale de la Francophonie, an organization of states and regions in which French is spoken as an official language or as a language of communication, and in which French culture is influential.

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Ultimately aid donors are accountable to those who provide their funding. Reports of mismanaged, squandered and diverted aid can lead to parliamentary questions and in the worst cases to cut-backs in aid funding. Not all aid agencies are transparent in publishing reports on projects, consultancy missions, etc. In a study of foreign aid in Iraq, I.M. Johnson (2016a) found that UNESCO had a practice of editing reports to conform to its policies and priorities, while the British Council had not published and not even archived consultants’ reports. Staff of aid agencies have an incentive to manage successful projects and are therefore reluctant to recommend the investment of resources in countries with poor track records and poor prospects of success. Conversely, aid flows more readily to ‘successful’ countries, referred to Brewster (1976, 53) as “best bets.” This is an example of the phenomenon known in sociology, economics and other fields as the “Matthew effect.”65

10.16 Context As suggested by Figure 10.2, attention should be paid to the international and global geopolitical context of development aid, in which the parties are linked by relations of power, history, affinity, and strategy, as well as the specific contexts of both donors and recipients. Aspects of this have been touched on the preceding sections. For the successful delivery of aid there has to be some congruence in the parties’ political-economic contexts. Expenditure on aid by donors on development aid is ultimately a domestic budgetary and foreign policy issue. In the donor country decisions are influenced by public sentiment, political swings between left and right-leaning parties, and economic circumstances. In the early years of this century, in some of the generous Nordic countries, where aid had long been opposed for opposite reasons by the far left and far right, a long-standing political consensus in favour of aid broke down as the electorate swung towards the right. In Denmark, for example, this led to severe cuts in aid funding (Christensen 2002). Increasingly, the debate about aid is intertwined with that about migration and acceptance of refugees. Similarly, in the recipient country, events such as perceived insults to the country or the religious beliefs of the population, may dramatically affect

65 The Matthew effect, named after the parable of the talents, recorded in the Gospel of Matthew, Ch. 25, is defined as “The tendency for an established cause, institution, etc., to receive continued or increased support, while less established counterparts remain overlooked”; Oxford dictionaries, “Matthew effect,” https://en.oxforddictionaries.com/definition/matthew_ef fect, accessed 2018-07-03.

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public acceptance of certain aid programmes and lead to their termination. Alternatively, actions by the recipient government, for example suppressing opposition, may trigger aid cut-backs by donor governments, although this does not happen as often as one might be led to believe from donors’ idealistic statements (Mold 2009, chap. 6).

10.16.1 Contextual factors in LIS aid The important role of context emerges from many of the examples discussed in the next two chapters. A wide range of contextual factors, such as those identified by I.M. Johnson (2016a, 365–70; 390) interact to affect the outcome of the aid process in three spheres: the context of aid-giving in the donor country, the international or global context; and the context in which aid is delivered in the recipient country. The first two of these determine the motives of the donor, the form of aid given, and the recipients. LIS-related aid has never been a major part of the total investment in foreign aid. In many cases, LIS aid has been an adjunct to more substantial aid in sectors such as education, public administration, public health and agriculture. As shown by Brewster (1976) and I.M. Johnson (2016a), such aid is often intended to strengthen the economies and institutions of allied countries in a context of global political-economic competition. During the Cold War, the USA emphasized “building a healthy economic base” that would enable recipient countries to ward off communism (Brewster 1976, 53). In these circumstances LIS aid can materialize when alert and farsighted individuals in aid agencies and recipient countries grasp opportunities and insert LIS into programmes which are not primarily about libraries or information. The context of the recipient is of equal significance as a determinant of success or failure. Commenting on U.S. aid to develop law libraries in Vietnam in the 1960s before the Vietnam War put paid to U.S. interventions, Brewster (1976, 64) pointed out that social institutions in Vietnam were in a state of flux, often chaos, not only because of the rapid transition the country was making from a traditional to a modern society, but because the state of war the country suffered. The rapidity of change and the strains of military combat vitiated, to a great extent, attempts to seek and establish permanent institutions, attitudes or behaviour. As a further strain, Vietnam had been heavily influenced by two foreign cultures, France and the United States, on which it had modelled many of its institutions; these two cultures were quite different in their individual approaches to education, libraries and legal systems.

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Vietnam in the 1960s was an extreme case, but any aid intervention requires awareness of the context in which the intended aid is to be received. In particular, this is a prerequisite for a systemic approach. At any given time, various socio-cultural and political forces will be at work, some competing and others converging. Formal pronouncements by government officials may have little effect “on the ground.” Progressive and traditional groups may be competing in communities. The donor’s informants may not represent all opinions in the recipient institution or community. Apparently inexplicable delays and obstacles may occur. Interventions in which partnerships are painstakingly formed with communities, the national and regional authorities, and with relevant professional institutions and associations, and with other stakeholder groups, are more complex and require much more time and effort than simply donating books, but they have a greater potential for long-term success. For an example, see an account of the work of Lubuto Library Partners in Zambia by Cramer (2017).66

10.17 Outcomes A great deal has been written about the outcomes of development aid, especially about its failures. This has given rise to a great deal of eye-catching and quotable comment, such as the passage from Nederveen Pieterse quoted at the beginning of this chapter. When aid is successfully delivered, we expect to see consequences such as the improvement of health services, education and training, the development of infrastructure and productive agricultural, mining and industrial enterprises, and the establishment of competent, ethical and effective governance. At the same time, it is hoped, goodwill is engendered towards the donor country. This does indeed happen in many cases, but in others, things do not turn out as planned, and there are unintended consequences. There is a vast literature of horror stories, some of which are quite entertaining (e.g. Stupart 2012), but, summarising from a selection of the more scholarly and technical literature, the following appear to be the main problems: Donor policies: Problems arise when too much development aid is uncoordinated and different agencies duplicate efforts or work at cross purposes and when the recipient country’s development plans and priorities are distorted by the “often divergent agendas and criteria imposed by the variety of national

66 Disclosure: I serve on the Advisory Board of Lubuto Library Partners.

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and international funding agencies on which it depends” (Weiler 1982, 117). Because aid donors prefer to fund short-term projects which yield visible results within their budget cycles, development aid has a stop-start pattern. There is far too seldom any longer-term follow-through. Since aid flows are volatile and unpredictable, it is difficult for recipient governments to incorporate aid funds into their budgets and spending plans. This reduces the efficiency of this form of aid (Riddell 2014a, 32). In the case of small and fragile states, the amount of aid received may overwhelm the “absorptive capacity” of the recipient country, which may be unable to spend donated funds and to oversee projects effectively. Provision of large quantities of free food, clothing and other commodities can damage local industries and destabilize the recipient’s economy. A mismatch may occur between what is needed and what is provided. Aid may be delivered to countries that do not need it as much as some other, more deserving recipients. This may result from politically determined priorities of the donor – and the donor’s need for visible successes in order to keep its taxpayers happy. Donor decisions and practices: Project results may disappoint as a result of top-down planning involving faulty assumptions about what is needed, failure to assess needs in consultation with recipients, an inadequate understanding of the recipient environment, and poor collaboration with all the interested parties in the recipient country. Money is wasted on expensive expatriate experts. Riddell (2014a, 7) asserted that the cost of paying, transporting and housing a foreign technical assistance worker, and educating his/her children, commonly exceeds $250,000 per year. The arrival of a team of well-paid aid workers may destabilize the local economy, for example “creaming off” local staff whose skills are badly needed in the community. Disappointing results: On the ground in the recipient country various things can happen. Some projects fail to meet their targets: the deliverables are delayed, of poor quality, or never completed. Even if it is successfully implemented, it can happen that recipients are unhappy with the product and fail to use it; or recipients accept the donated product enthusiastically, but they fail to maintain it and allow it to deteriorate. This may happen when recipients lack the resources or skills to maintain the product. It may also happen because inappropriate technology was installed, including technology dependent on consumables such as fuel and spares, which the recipients cannot afford. This may be a result of “aid tying”, where recipients are obliged to acquire products from the donor country. Some beneficiaries monopolize donated resources, e.g. wealthy farmers may bribe local bureaucrats to locate a well on their land. Some students who have been given grants to study overseas, do not return. Within a recipient country, aid may not go to the districts or communities

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where it is most needed, because the leaders of the recipient country divert it to their political constituencies. Corrupt officials divert aid funds into their own pockets. This is a particularly acute problem in emergency situations, where it is often difficult or not possible to exercise adequate control. Long-term effects in recipient countries: One of the most frequently voiced objections to development aid is that recipients become dependent on it. Aid dependency is widely regarded as a serious problem. One of its manifestations is known as ‘fungibility,’ which occurs when a government or institution stops budgeting for certain essential items in the expectation that they will be provided by the foreign donors that have done so in the past (Haan 2009, 107). Another long-term effect, which was particularly serious during the 1970s and 1980s, is indebtedness. Many poor countries borrowed heavily to fund development projects and ended up deeply indebted (Omotola and Saliu 2009). Much Soviet aid was in the form of credits to purchase goods and services from the Soviet bloc, and repayment was expected.67 The debate about the effectiveness of development aid was particularly lively during the first decade of this century. In a review article written at the end of that decade, Klees (2010) discussed five contributions to the then ongoing debate on the effectiveness of development aid, all written before the recession of 2008. Klees usefully categorized them in terms of three politicaleconomic “paradigms”: – Neoliberal, focussing on the market mechanism and critical of government intervention (Dichter 2003; Easterly 2006; Moyo 2010). Dichter and Moyo, and to a lesser extent Easterly, represented the dominant view, expressing themselves pungently on the failure of aid and its negative effects on recipients. – Liberal, more critical of the markets and placing more faith in government (Ellerman 2005; Riddell 2007). These authors took a more nuanced approach. They did not dismiss aid, but identified serious flaws and proposed changes in the way aid is structured internationally. – Progressive, taking a more radically critical view of the current world system (Samoff 2009). Klees aligned himself with this paradigm. The debate is likely to continue. Since it is ideologically coloured, it is unlikely to be resolved. Those against aid argue that there too much of it and that it is doing grave harm. Those in favour of aid admit that there are grave problems

67 Repayment was not usually expected in the case of educational grants and book aid, for much of which there was a propaganda motive.

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but want them to be fixed – and more aid. In his critical analysis of the effectiveness of aid, Riddell took a middle-of-the-road position. Answering his own question, “does aid really work,” he said, “not as well as it could, and not as well as it should.” Aid has had a positive impact, but the benefits of aid have not always been sustained (Riddell 2014a, 2). In identifying problem areas and making proposals to address them, he emphasized the importance of the systemic effects of aid: Today the main aid donors are ready to acknowledge that aid-giving has become so complex and fragmented that a series of systemic problems have developed which are now seriously undermining aid’s potential impact. . . a growing body of recent scholarship is now suggesting . . . that the recent emphasis given to short-term results and the channelling of more aid into projects and programmes aimed at ‘making a tangible difference’ and doing so quickly is not only adding significantly to aid’s systemic problems but risks eclipsing those benefits (Riddell 2014a, 40).

An implication of this is that the success of aid is not to be measured so much by outputs that are achieved at the project level as by the long-term aid outcomes at the country level, improving the lives of those who need it most, the desperately poor, the victims of emergencies, and those living precariously on the margins.

10.17.1 Outcomes and evaluation of LIS aid Various criteria are used for the evaluation of aid: – Relevance: how appropriate the aid is to the priorities and needs of those concerned – Effectiveness: whether the stated objectives were met – Efficiency: whether the best use was made of resources – Impact: what changed (for better or worse) as a result of intervention68 – Sustainability: whether the benefits will continue after the funding ends, and what the impact is on the environment (Keeley 2012, 98–99) In developed countries, sustainability in LIS is associated with limiting the ecological impact of a library by means of “green” operations, practices, and buildings (Jankowska and Marcum 2010). This is also relevant in the context of development, but here sustainability is more concerned with whether the

68 The terms ‘outputs,’ ‘outcomes,’ and ‘impacts’ are used in different ways depending on disciplines and contexts (cf. I. M. Johnson et al. 2004, 35).

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benefits of a project can survive the termination of its funding. At the practical level, a number of factors must be taken into account. In the hypothetical case of a project which establishes a library, they can be expressed in the following questions: – Capacity building: is capacity created in the recipient community for the community to continue operating the library? – Cost in use: Can the community afford to continue it? – Long-term commitment: can the community make a long-term commitment to the project or will it collapse as soon as the visiting Peace Corps volunteer or other enthusiast returns home? – Responsibility: Is responsibility allocated to specific persons or agencies in the community to continue the project? – Structures: Can the project be embedded in existing local structures, such as the Ministry of Education (in the case of a donated school library), or is it an alien imposition? – Scalability: can it be scaled up for wider application, or is it something unique that is limited to a one-off project? In evaluating the outcomes of aid, an important distinction is made between short-term impacts (the immediate results or outputs of the intervention) and long-term impacts, which are more difficult to measure because they are only apparent in the longer term, in effects that may have multiple causes. Riddell (2014b, 2) proposed that aid is working if aid projects achieve their immediate objectives and these can be sustained; if aid contributes to an aggregate fall in poverty levels, and to faster growth and sustained development; and if aid-giving rather than adding to the systemic problems which constrain a recipient’s long-term development prospects, helps to reduce them.

As Riddell suggest, evaluation is not only concerned with the longevity of an intervention’s effects, but also with the scope of its impact. Here the basic question is whether it has had positive effects on the society generally. C.M. White (1970, 278–80) distinguished between library development, which “institutes library service into the living tissue of a nation’s life,” and “libraries development,” which focuses on operational problems in libraries. The question whether LIS development benefits the community or country as a whole is difficult to answer. Considerable attention is being paid to evaluating the impact of libraries on communities, including the impact on aid recipients (Nganga 2013; Chisa and Hoskins 2016). The Global Libraries Programme of the Gates Foundation has made impact evaluation a part of its approach to the strengthening of public library advocacy (e.g. Streatfield et al. 2015).

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Thirty years ago, Clow (1986b, 117) posed the question, “Does library aid work?” and concluded that “it seems certain that library aid projects have been no more successful than any others, and have generally achieved less success than, say, health initiatives.” Such a comparison is difficult to substantiate. An immunization campaign has measurable and direct short-term effects, while the benefits of LIS-related aid are more indirect and long-term, for example, supporting teaching, learning and research at universities. The question to be asked, therefore, is to what extent LIS aid benefits the national systems (such as education, culture, health services, agriculture and public administration) which are served by LIS. This question poses a continuing challenge to LIS.

10.18 Conclusion Development and development aid are complex topics, which call for a multidisciplinary approach. They require not only a grasp of the contemporary cultural and political-economic situation but also in the case of most developing countries, an understanding of the historical background of colonialism. There is ongoing debate on theoretical issues as well as on the practicalities of assisting developing countries. Since LIS development and development aid are important features of international librarianship, the next two chapters focus on LIS development and development aid in relation to particular regions of the world, and specific countries or groups of countries are discussed in four illustrative exhibits.

11 LIS development and aid (1) In our own eyes our intentions are so pure, our selflessness so apparent, our integrity so certain, our technical knowledge so superior that we find it difficult to believe that anyone could, for a moment, question our motives, suspect our ability, or consider other alternatives (Asheim 1966, 67). There is virtually no awareness among those who comment and write for librarians and other related information workers that there are other bodies of literature relevant to information in the developing world. Once one explores the literatures of development and communication, it becomes quite obvious how significant a gap this is. The writing is generally rooted in a very much better knowledge of African societies and a willingness to adopt much more radical approaches (Sturges and Neill 1998, 227).

Outline 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9 11.10

Introduction 597 LIS development questions 598 Factors influencing LIS development 604 LIS development trajectories 613 Historically literate realms 616 Exhibit B: China 621 Latin America 625 Former colonies of large-scale European settlement 632 Exhibit C: The Carnegie Corporation, Canada, and New Zealand Conclusion 652

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11.1 Introduction At any given time, thousands of LIS professionals are engaged in some or other form of LIS development assistance – whether this be collecting books to send to poor communities in distant countries, serving on committees that develop guidelines and standards for library development, visiting and advising colleagues in developing countries, spending a summer vacation helping to set up a school library in a rural community, or on a more formal basis, working, consulting or teaching in developing countries. Not all of this well-meant activity achieves useful results. Some of the assistance is misguided and may do more harm than good, often because the helpers do not have a good understanding of the problems they are trying to address, or of the context in which they are attempting to intervene. With the intention of better equipping those who go out to help, this and the https://doi.org/10.1515/9783110267990-011

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next chapter look specifically at LIS development and aid in light of theoretical insights derived from the general literature of development and aid that was presented in the previous chapter. Sections 11.2 to 11.4 discuss LIS development generally. Sections 11.5 to 11.9 describe generalized LIS development trajectories in three different developing and emerging regions. Two more regions are dealt with in Chapter 12, in which a general summary of LIS development and aid is presented.

11.2 LIS development questions Generally speaking, the development theories and debates described in the previous chapter have not been reflected in the literature of LIS – at least not explicitly. In our field, the most common, albeit unstated, basic assumption appears to have been that LIS in all countries will develop along similar trajectories of modernization, ending up looking much like Western LIS, and that this is a good thing. However, before considering the factors influencing LIS development trajectories in different parts of the developing world, it seems advisable to take a step back to consider three questions: (1) What do we understand by LIS development? (2) How do we assess it? (3) How does LIS development relate to national development (development of the society as a whole)? It should be appreciated that LIS development is ongoing in all parts of the world, including – and especially – in the highly developed countries, as traced in works on the history of libraries internationally (e.g. M. H. Harris 1999; Richards, Wiegand, and Dalbello 2015) and in country and regional histories. However, here our focus is on LIS development in the less developed and emerging countries as discussed in Section 10.6.

11.2.1 What do we understand by LIS development? The assumption that all library development would converge towards a common model, was stated quite unselfconsciously by Krzys and Litton,1 whose

1 Referred to in Chapter 2, Section 2.5

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fourth “law of world librarianship” the Law of Total Convergence, stated that “all world variants of librarianship will, through standardization, converge to form a ‘global librarianship’” (Krzys and Litton 1983, 197). In historical accounts, the development of LIS in individual countries has generally been described uncritically in terms of progress. Progress is recorded in descriptive accounts, such as in the country and regional chapters edited by M.M. Jackson (1982), McCook, Ford and Lippincott (1998), R.N. Sharma (2012b), and Abdullahi (2009), mostly as expansion and modernization. Where such progress does not occur, or does not occur rapidly enough, it is lamented, criticism is voiced, and blame is apportioned – most frequently to authorities for failing to provide more funds (e.g. Otike 2004; Opara 2008). In line with Krzys and Litton’s fourth law, these accounts reflect LIS conditions that are expected increasingly to resemble those of the wealthy Western countries, especially the USA. This is in line with modernization theory as discussed in Section 10.9. The question arises whether it would be helpful to borrow concepts from development theories other than modernization theory. For example, taking the human needs approach, we could ask whether LIS development might be defined in terms of the contribution of the LIS system in a country to human development: in helping to improve the health and educational status of the society, raise income levels, and reduce inequality. Many LIS workers fervently believe this to be the case. Sen’s capability approach, referred to in Section 10.9, offers further perspectives. His focus on individual human capabilities rather than on resources suggests that LIS development should open up opportunities for individuals to make choices on how to fulfil their needs and actualize their potential (cf. Britz et al. 2012). This involves much more than simply rolling out a network of libraries. Taking this approach, LIS development could be defined as that development which increases the capacity of the LIS system to support the health, educational and economic status of the population while freeing individuals to make choices on how they want to live their lives. This is an aspirational definition, stating what is thought to be desirable, and it emphasizes the desired result. LIS development can be considered both as a result (or state) and as a process. A suggested definition emphasizing process is as follows: LIS development in a society (country, region, area) is the sum of processes, procedures and actions by which a system of LIS comes into existence and is shaped (adapted, adjusted, transformed) in response to needs, enabling factors, and constraints in the society. This definition accommodates both the transitive and the intransitive uses of the term ‘development’ and it is more neutral than the preceding one, since it does not suggest desirable outcomes.

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11.2.2 Assessing LIS development How we assess or measure LIS development depends on how we define it. Typically, LIS development is measured by growth in the number of libraries and their collections and buildings, user numbers and diversity; in the diversification of LIS institutions, increasing technological sophistication, establishment of networks, expansion of LIS education and research, in terms of the philosophy and ethics of service, and so forth. In a pioneering comparative study of library systems of the USA, UK and Germany, C.M. White (1966) identified a number of common characteristics of LIS in these highly developed countries: 1. A trend away from personal libraries and libraries serving restricted groups. Here White was particularly referring to the replacement of seminar libraries by central university libraries. 2. The institution of library service as a public responsibility. Although White does not use this term, this characteristic is concerned with recognition of libraries as a public good. 3. The presence of four major types of libraries, distinguished by White on the basis of their “social basis”: academic, school, special and public libraries.2 4. Similar national library objectives: “To accumulate and make available. . . the best work of the mind, regardless of when or where the work was done. . .; to afford access to all responsible intellectual work without interference from political or religious authority; to further research. . .; To aid formal instruction. . .; to supply information in the management of practical affairs. . .; to promote popular enlightenment and to enrich human life.” (pp.18–21) 5. Specialized literature on the art and science of librarianship. 6. Bibliographical access to library holdings, including bibliographies and catalogues. 7. Active professional organizations. 8. Development of human resources 9. Well-designed library buildings. These characteristics appear idealistic and somewhat old-fashioned, but they are recognizably present in the library systems of developed countries. Placed in chronological order, they suggest a number of stages of LIS development.

2 C.M. White (1966, 16), on somewhat legalistic grounds, denied the existence of national libraries in the three countries.

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The LIBECON statistical benchmarking studies of the late 1990s and early 2000s measured such indicators as the number of public library service points, the number of staff employed, the number of visits, loans and registered members, total expenditure on library sectors (by type of library), and workstations in public libraries per 100,000 population, plotting these on an annual basis from 1997 through 2001 (Fuegi and Jennings 2004). It covered the countries of the European Union, as it expanded, some other OECD member countries (Australia, Japan and Canada), and Turkey. Plans for further expansion were not realized, as the European Commission funding for the project ceased in 2004. Although ultimately it was largely limited to Europe, it covered some emerging countries. In a study of factors associated with information development, Lau (1995, 1990) included three components: “storage centers of information, accumulation of recorded information, and recording of information activities.” The third of these was concerned with publishing output. For measuring the first two, numbers of library service points and library holdings respectively were used as indicators. Because of lack of data, there were no indicators of the quality and benefits of information (Lau 1990, 318). In a report on the role of libraries in African development, Mchombu and Cadbury (2006, 8–11) identified four “key challenges” expressed as questions: – Is there sufficient access to libraries? – Are the materials in libraries relevant to their communities? – Are information agencies working together effectively in partnerships? – Is there real government support for libraries and information? In countries emerging from colonialism, an important development issue is the extent to which the leadership and management of the LIS system has been indigenized. A useful example from comparative education is provided by R.M. Thomas and Postlethwaite (1984a, 15–17), who compared the state of schooling in the Pacific under colonial regimes with that under independence. They devised an analytical scheme using six dimensions of schooling which were thought to reflect the extent to which the indigenous islanders had taken over control of education from the colonial regimes. They emphasized ethnic and cultural issues, and for each of the six dimensions they formulated a “descriptive question,” and a number of “analytical questions” that focus on differences between the colonial and postcolonial situation. This scheme was adapted by Wickens and Sandlin (2007) for a study of adult literacy education. Most of the questions of Thomas and Postlethwaite can readily be adapted, replacing education and schooling to refer to LIS, to generate questions such as the following:

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1.

Dimension I: The Purpose or Role of LIS. Descriptive question: What are the general goals of LIS, both officially and operationally? 2. Dimension II: The Administrative Structure of the LIS System. Descriptive question: What are the units that compose the LIS system, and how are they organized? 3. Dimension III: LIS Personnel. Descriptive question: Who staff the LIS system at different levels of the system hierarchy? 4. Dimension IV: Composition of the user population. Descriptive question: What is the composition of the user population in different types and levels of libraries and information agencies? 5. Dimension V: Information resources and services. Descriptive question: What are the collection development objectives and composition, and what services are delivered? 6. Dimension VI: Financing the LIS system. Descriptive question: How adequately is the system financed, and what are the sources of financial support? Here are some examples of the “fourteen analytical questions” as they might be adapted: – Dimension I, The purpose or role of LIS: (1) Who determines the purpose – the foreign colonizers or the residents of the area or their representatives? (2) From what culture are the purposes derived? – Dimension III, LIS personnel: (6) Who decided what system will be used for recruiting, training and promoting LIS personnel; (7) What influence do people’s ethnic and cultural origins have on their chances of being recruited, trained, and promoted? One might add: does the country in question have the facilities and expertise needed for educating and training its LIS staff, at which levels, and of what standard? – Dimension V, Information resources and services: (11) What are the cultural sources of the collections and services? More specifically, to what extent are local languages represented in the collections, and to what extent are the cultures, concerns and interests of the population covered? By contrast, a managerial approach to the assessment of LIS development could emphasize general criteria such as effectiveness (fitness for purpose) and efficiency (optimum return on investment). More specific criteria might be responsiveness to changing needs, innovativeness, resilience (ability to survive shocks such as austerity measures), ubiquity (widespread access), coherence (a seamless system), impact, and public support/engagement. I.M. Johnson

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(2016a vol. 1, 396) has cited further criteria for assessing the impact of development activities.

11.2.3 How does LIS development relate to national development? It can readily be observed that developed, wealthy countries generally have more highly developed LIS, at least in terms of the number and diversity of LIS agencies and of the other quantitative criteria mentioned earlier. This prompts the question, do LIS contribute to national development, or are they simply a byproduct of it? Librarians like to think that they contribute to development and have long used this as an argument for government funding for LIS, the basic argument being that information is necessary for development, libraries provide information, and therefore libraries are necessary for development. In a chapter devoted to “the search for relevance,” Sturges and Neill (1998, chap. 4) discussed the largely fruitless efforts of African librarians, supported by UNESCO and a number of overseas development agencies, to persuade their governments of the equation “libraries = information = development” (p.123). They summarized a series of LIS conference resolutions as stating inter alia that: a. information is a prerequisite to national development, development planning and decision making; b. developed countries are developed because they are information rich; c. Africa is less developed because it is information-poor; d. as information is the librarians’ essential concern, it therefore follows that improved national development will result from more and better libraries and more and better librarians (Sturges and Neill 1998, 125).

From this followed recommendations on the setting up of national information coordinating bodies and the formation of coordinated national information networks (Sturges and Neill 1998, 125), which essentially came to nought everywhere. The Soviet Union and its satellites constitute a counter-example to the generalization that wealthy countries have the most highly-developed libraries: while these countries were not affluent, the communist regimes presided over an impressive expansion of scientific and technical library services as well as popular libraries, including libraries in rural areas (Irmler 1970), which is not to say that ideological motivations did not play a significant role (cf. R. V. Williams 1984, 9). Both the generalization linking library development and wealth and counter-examples need to be supplemented by a closer examination of factors influencing LIS development.

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11.3 Factors influencing LIS development Reasons why library development is further advanced in some countries than in others have been of interest to LIS comparativists for some time. In a doctoral dissertation, Hassenforder (1967) related divergent public library development in France, the USA and the UK to economic, political, educational, religious and other factors. Interestingly, he gave some weight to the role of that set of national attitudes and habits which he considered as constituting a mentality (mentalité), suggesting that national psychology (la psychologie des peuples) needed to be considered (Hassenforder 1967, 113). In this section, factors favourable to LIS development as well as factors inhibiting it, are discussed.

11.3.1 Which factors favour LIS development? In 1970, Carl M. White contributed an insightful review (referred to in Section 10.17) of library development work starting well before the Second World War, in which he distinguished between library development and “libraries development.” The latter is concerned with operational matters within the walls of individual libraries, while the former, library development, should be treated as “indigenous action that institutes library service into the living tissue of a nation’s life” (C. M. White 1970, 280). His conclusion was that a country’s readiness for library development is linked to its willingness to modernize, which is not only “technological, scientific, industrial, or political progress; but . . . something deeper than, and veiled by, them all – something that has to do with one people’s will to trust and develop its own inherent capabilities as opposed to another people’s will to trust in wisdom born of bygone capabilities” (p.277). In this view, which reflects the then prevalent modernization theory of development, LIS development is favoured by acceptance of modernization and a willingness to let go of tradition: It is a nation’s commitment to the development of human capabilities, to the use of research, to the use of professions based on learning, and to the use of the best available information in the management of its affairs that are the frontline generators of library needs (C. M. White 1970, 277).

One notes that such a statement reflects a thoroughly Western worldview. Little more than a decade later, in an attempt to develop theoretical constructs to explain library development, Robert V. Williams confronted the problem of defining it. If library development was assumed to follow an American model it would mean that “libraries of lesser-developed nations can only be

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considered developed when they look like and are similarly distributed in their countries as are those of Western nations” (R. V. Williams 1984, 4). He rejected this as an ethnocentric approach which he thought would impede theory development. Williams examined historical explanations such as those linking the development of libraries to the “production and use of written works within a society” (p.5) as well as explanations of public library development in the USA (theories emphasizing social conditions, democratic tradition, or social control by elites). He also noted that support of libraries by local and national governments is a significant factor; this support is affected by political ideologies and other factors.3 He noted that in the USA the development of academic, school and special libraries is related to the development of the institutions they serve, but that there is not necessarily a direct correlation between the growth of an institution and that of its library. The presence of a research ethic appears to have been a significant factor in the development of academic libraries, while it has been argued that capitalist societies established more libraries because – particularly in a Calvinist-based philosophy such as that of Andrew Carnegie – this was considered to be an investment. The last of the historically-based theories, dismissed by R.V. Williams, is the “great men/great women theory,” in which the role of an influential person is seen as a causative factor in library development. Taking a “cross-sectional” (or synchronic) approach, Williams cited a number of quantitative studies examining the relationship between economic, geographic, demographic and educational factors and levels of public library development in the USA. The limited scope of these studies does not allow for any meaningful generalization – certainly not at the international level – but Williams suggested that attention be paid to a number of frequently mentioned constructs: education, economic ability, urbanization, the use of the mass media for information acquisition, and organizational complexity. All of these, Williams concluded, are problematic. They appear to be significant but we do not know how they operate, and they are difficult to define and measure. Theoretically, library development poses a complex problem (R. V. Williams 1984, 13–15). More recently, some international comparative studies with quantitative designs have attempted to identify general factors associated with library development in developing countries. In the study referred to earlier, Lau (1988, 1990, 1995) investigated the relationship between information development and socio-economic development, using five indicators for the latter: food consumption in calories, life expectancy at birth, infant mortality rate, enrolment in primary schools, and adult literacy

3 These theories had earlier been discussed by R.V. Williams (1981).

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(Lau 1990, 318). He also considered the relationship between information development and purely economic development as measured by GNP. He found that social development was an important predictor of information development. Some countries with a relatively low GNP but high social development (e.g. Yugoslavia, Hong Kong, Bulgaria and Hungary) had a high level of information development, while countries with a higher GNP but low levels of social development (e.g. Panama and Venezuela) were lagging in information development (Lau 1990, 328). This suggests that there is a – not unexpected – relationship between social development policies and LIS development. Lau’s data further suggested that information development seems to speed up until countries have satisfied basic human needs of the population, but slows down when a certain level is reached, and in highly developed countries libraries may decline (Lau 1990). In a sociological study of the establishment of community libraries and reading rooms in developing countries, Ignatow (2009) linked the development of community libraries in countries as far afield as Scotland, Turkey and South Korea to attempts by elites to counter threats to their cultural dominance. As a sociologist, Ignatow (2011) was puzzled by the establishment of public libraries in developing countries: For social scientists, public libraries in developing nations represent an unsolved puzzle. In terms of both rational-choice and class conflict theoretical paradigms, it is hard to conceive of why public libraries exist. They are complex and costly to operate, and produce little in the way of tangible short-term economic returns. In many countries building them is not particularly politically popular, as there is not often much public demand for local library services. Rather, libraries are often viewed as foreign institutions, and book reading is an unfamiliar custom (Ignatow 2011, 748).

Given these and other negative factors, he hypothesized that in developing countries economic globalization with its various consequences would lead to reduced government expenditure on public libraries. Examining the relationship between globalization4 and the establishment of public libraries in six developing or emerging countries, he found that (with two exceptions) globalization is not associated with the establishment of large numbers of public libraries; on the contrary, calculated on a per capita basis, numbers of public libraries remain unchanged or decrease with increasing globalization. In a further study of public libraries in developing countries, Ignatow et al. (2012)

4 Ignatow (2011, 755) obtained data values for the degree of globalization in each of the countries from a published index of economic globalization, the KOF Index of Globalization (ETH Zürich, “KOF globalisation index,” https://www.kof.ethz.ch/en/forecasts-and-indicators/indi cators/kof-globalisation-index.html, accessed 2018-09-19.

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examined the assumption that public libraries contribute to democratization in developing countries by analysing the relationship between public libraries and democratic systems of government in Namibia, Nepal and Malawi. Despite the well-known pronouncements by organizations such as UNESCO, they found little evidence that democratization had stimulated public library development in the three countries, or that public libraries there “generate or distribute significant amounts of cultural, social, or economic capital to nonelites” (Ignatow et al. 2012, 78). Finally, literature to be discussed below suggests that appropriately chosen, well-directed, properly coordinated, and sustained aid programmes can make major contributions to LIS development, while uncoordinated and episodic, short-term projects without follow-up may be counterproductive.

11.3.2 Which factors inhibit LIS development? Lack of resources is universally blamed for preventing or retarding library development. It is fair to say that librarians and LIS workers can always do with more funds. Even the West’s wealthiest private universities, such as Harvard (D. J. Brown 2016, 103–5), cannot afford to maintain journal collections of unlimited scope. It is only fair to say that educators, health workers, agricultural extension officers and others engaged in national development projects everywhere also complain of insufficient funds, and that sometimes inadequate funding is blamed for development failures due to other factors. Nevertheless, in many developing countries, lack of funds is a major factor inhibiting LIS development. Governments have to juggle resources to meet competing needs, and LIS is seldom a high priority. The problem is particularly acute in the case of public libraries. In Africa the challenge to librarians is to “. . . justify to governments a more equitable share of the national budget, in relation to the various demands such as defence, health and education budgets” and to demonstrate “the costbenefit relationship between library services and development” (Raseroka 1994, 155). As we saw earlier, this situation was exacerbated in the poorest countries by the structural adjustment programmes imposed on them by the World Bank and other donors. More recently, the transition from communism to a market economy in the former Soviet Union and its allies resulted in abrupt reductions in library budgets, library closures, and the laying off of library staff. In many cases, the shock has subsequently led to repositioning and renewal.5

5 This is discussed in Section 12.4.

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In the literature of LIS in the developing countries of the South, poor funding is often attributed to lack of recognition of the potential role of LIS in national development. This affects LIS staffing and accommodation, even though these can be sourced locally. In addition, books, journals and technology have to be imported using scarce foreign exchange. The result is a vicious circle, in which lowly ranked and poorly paid librarians using inadequate resources fail to deliver the impressive services which might improve their image and that of their libraries – and prompt more investment in LIS. As a general rule LIS development can only take place in a society which is able to invest some resources in LIS. There has to be sufficient surplus wealth for the accumulation of library collections above and beyond limited private collections. In addition to economic difficulties, unfavourable political circumstances also inhibit LIS development. These include political instability, civil unrest, and war (Battles 2015, chap. 5). In the worst cases, widespread destruction of libraries and loss of valuable collections can set back LIS development by decades, as in Iraq (e.g. I. M. Johnson 2005a), Afghanistan (Talab 2002) and Bosnia (e.g. Peic 1998; Kasapović 2015). Censorship is an inhibiting factor at the best of times (R. Knuth 2003); in the worst cases this takes the form of deliberate destruction of books and other cultural heritage (R. Knuth 2006). Political factors can have subtler inhibiting effects. Keseroğlu (2016) traced the development of public libraries in Turkey from the Ottoman period onwards, with particular attention to the establishment of libraries and the development of LIS education during major periods in the political history of the Republic of Turkey. During certain periods, and notably immediately after the founding of the Republic, when it was thought that libraries could contribute to the founding of a modern, secular state, governments promoted library development, but more recently the role of government in respect of libraries appears to be a paradoxical combination of neglect and interference. On the one hand, libraries featured in only four of the political programmes of the sixty-two governments which ruled the country between 1923 and 2015. On the other hand, successive Turkish governments have capriciously changed national structures of LIS governance, imposed censorship, and made political appointments to key library positions, with negative effects for library development. The reader gains the impression that considerable library development has taken place in Turkey in response to modernization pressures in education, science and technology in spite of, rather than thanks to, government actions.

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Further factors mentioned in the literature are low levels of literacy, absence of a reading culture,6 multiple languages and lack of reading matter in them, poorly developed book publishing and distribution, and teaching and assessment methods in use in the country’s education system that discourage independent reading (cf. I. M. Johnson 2016b, 237–39).

11.3.3 Generic factors In his History of libraries in the Western world, 4th ed., Michael Harris (1999, 4– 7) listed conditions thought by historians to be “important prerequisites for library growth” under the headings of social, economic and political conditions, summarizing a range of factors under each heading as follows: In summary then, libraries will flourish generally in those societies where economic prosperity reigns, where the population is literate and stable, where the government encourages library growth, where large urban areas exist, and where the book trade is well established (p.5)

In addition, Harris identified a number of “ideologies of reading“: – Control: powerful groups in society strive to use books and libraries in ways which consolidate their power. – Memory: libraries preserve the national memory and build cultural identity both symbolically and practically. – Commodity: libraries constitute a valuable market for book industries and scholarship (pp.5–7). Although these points have been distilled from Western library history, they deserve consideration in relation to LIS development more generally. In a comprehensive long-term case study of the development of LIS education in Iraq, I.M. Johnson drew on the management literature of innovation processes and change management as well as the literature of comparative librarianship, to compile a “Framework for reviewing influences on the development of education for librarianship, information science, and archives studies” (I. M. Johnson 2016a, vol. 1, 58). This was used in successive chapters to summarize the abundant historical evidence which he assembled, and it appeared in diagrammatic form in his concluding chapter (p.387). In effect, this framework of “generic factors” is a checklist of variables, conditions, agents, actions and processes, organized under five headings: 6 The term ‘reading culture’ is examined in Section 12.6.

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– Key elements underpinning education for librarianship (5 factors, including: The scale and nature of library, archive and information service provision; Governance and funding of educational institutions; Teachers’ knowledge and skills, beliefs and values.) – The situation in which the information sector is immersed (12 factors, including: Local traditions, culture, language, race and religion; Economic context; Government and political context; Information needs; Reading culture; Globalization of professional norms, roles and values.) – Events, actions and other factors that have specific effects in mobilising change in the information sector (18 factors, including: Connections and interactions among people and movements; Recognition of the need for change; Voluntary reorientation or enforced fundamental change; Policies and practices led by international agencies; Policies and practices driven by national planning and/or legislative action; Actions shaped by organizational or institutional strategies; Evolution of cognate disciplines; Leadership instilled by attitudes and experience of an individual; Staff development; Exploitation of ‘strategic assets.’) – Overcoming resistance to change in the information sector (five factors, including: Recognising the degree of complexity of the proposed change(s); Making the likely results of changes visible to all affected; Adopting changes subject to modification.) – Recognizing when innovation innovations become embedded in the information sector (Four factors, including: Historical boundaries which allow for definition; Existence of innovators, early adopters, majority adopters and laggards; Tipping point(s).)7 While specific to his study, many of the factors Johnson identified can be generalized to serve in the analysis of LIS development generally.

11.3.4 Synchronic analysis of development factors The range of factors identified so far is summarized in Figure 11.1, in which an attempt is made to depict the relationships between global, international, national, and sectoral factors. It incorporates elements from the list of environmental factors in Section 3.7, and from Figures 3.10 and 3.13. In contrast with

7 Johnson (2016a, vol. 1, 56) provided a rationale for including a large number of factors in his study.

11.3 Factors influencing LIS development

COLONIAL POWER Internal Factors

611

GLOBAL FACTORS

B

Geopolitics, Political economy, Resources, Internet, Cultural influences, Global civil society, etc.

G

LIS

A DEVELOPING/EMERGING COUNTRY INTERNAL FACTORS

FOUNDATIONS, etc.

Culture Languages

INFLUENCING COUNTRY Internal Factors

LIS

FOUNDATIONS, etc.

C Other influencing countries

Geography Demographic: diversity etc. Mentalité,Religions Social conditions Education Economy: diversity, Book & growth, resilience LIS Media Political system: System stability, pluralism Ideology Openness Science, Social policies ICT R&D Cultural & language policies

D Peer countries Influence

F E

Influence & Aid

INTERNATIONAL ORGANIZATIONS

United Nations, UNESCO, etc.; World Bank & MF; Regional organizations; International NGOs (IFLA etc.)

Figure 11.1: Factors affecting LIS development.

Figure 9.9, and Figure 10.2, Figure 11.1 puts the developing country, rather than the transfer and aid processes in the centre. At the centre of Figure 11.1 is the developing national LIS system of Country A. This system may be still inchoate or taking shape. It is embedded within various interlocking national sectors (or systems) in the developing country. Here only six sectors have been depicted: the culture, languages and heritage sector; the book and media industries; the information and communication sector, the education sector; and the system of research, R&D, and innovation. Since the 1980s the state of the information and communication sector has taken on special importance. Other sectors that are also relevant (e.g. health, public administration, the judiciary, industry and trade) have been omitted here for the sake of simplicity. Within these systems, there are various agencies which, in reality or potentially, maintain LIS. A range of factors internal to the country affect these sectors and (directly or indirectly) the developing LIS system. A list of relevant environmental factors appears in Section 3.7. In LIS development, geography and demographics have a significant influence. It is not for nothing that a special office has been created in the UN Secretariat for small island developing

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states and landlocked developing countries.8 Generally speaking, the development prognosis for small island states is not good, although there are notable exceptions, such as Mauritius and Singapore. With the exception of a number of countries in the European Union, which has well-integrated transport and communication networks, landlocked countries also do not have good development prospects. Countries with small populations, and those that are poorly endowed with natural resources are also less likely to accumulate sufficient surplus wealth to be able to invest in the various national sectors, including LIS. This is in line with the historical observations of M.H. Harris, cited earlier. We now consider external factors. The lines of influence and aid are indicated by the arrows in the figure. In the case of a colony or former colony, influence is exercised during and after the colonial period by the colonial power (B), which itself has a national system of LIS embedded within sectors that are analogous to those in the developing country, and which are shaped by analogous internal factors. The shape and state of Country B’s systems can exercise a powerful influence on those of Country A. For example, the structure of the colonizing power’s education system is commonly replicated, albeit in scaled-down (and often dumbed-down) form, in the colony. Development aid from the former colonial power may exercise significant influence. In the case of an emerging country which has not been subjected to formal colonization, there may be a country (C) which has exercised powerful political, economic and cultural influence on it, including influence through development aid. An example is the influence of the USA on Canada, Mexico and Central America. Although they are not strictly part of the apparatus of state, foundations and other non-state actors, such as missionary societies may be important channels of influence from Country B and Country C. For simplicity, only foundations are shown in the diagram. As a general rule, development assistance is an important vector of influence. As time passes, the influence of the colonizing power may wane, and another country (C) or countries (D) may exert competing influences. An example is the library system of South Africa, which followed British colonial patterns until an American foundation, the Carnegie Corporation, introduced new library philosophies. This led to considerable conflict within the South African library profession. As shown in Section 11.9, this also happened in New Zealand. There may be other countries exerting some influence (D and E). All of these are subject to roughly analogous internal and external factors. Figure 11.1

8 United Nations, “UN-OHRLLS,” http://unohrlls.org/, accessed 2018-07-11.

11.4 LIS development trajectories

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also indicates that a variety of international organizations (F) exercise influence. At G a number of global factors (as in Chapter 3, Figure 3.13) are listed. Much of the influence on LIS is exercised indirectly, via the relevant sectors. As a rule, education is the most important of these. The arrows in the diagram indicate the direction of influence, including development aid, and their width suggests their relative impact. They represent a variety of processes and mechanisms. Influence is not all one-way, as indicated by the arrows emanating from Country A. No colonial power is entirely immune from the influences flowing to the metropole from the colonies. Also, developing countries exert some influence on the global environment and on international organizations.

11.4 LIS development trajectories Figure 11.1 essentially depicts a synchronic set of relationships. However, development takes place over time. In this section a diachronic perspective is offered.

11.4.1 General trends in library development If the characteristics of developed national library systems listed by C.M. White (1966) and the preconditions for library development identified by M.H. Harris (1999), as discussed in the previous two sections, are placed in a rough chronological order against the background of the considerable literature on the history of libraries, they suggest a general pattern of world-wide library development in terms of the following trends: 1. Growing, stable and well-organized polities 2. Development or adaptation of a writing system and writing materials 3. Increasing numbers of written records/books 4. Increasing literacy 5. Trade and communication among polities 6. Growth in size and diversity of collections 7. Expansion of public education 8. Expansion of client base from small elites to broad public 9. Movement from proprietary to free public libraries 10. Diversification of library types 11. Growing size and complexity of libraries 12. Increasing professionalization and specialization of library work 13. Evolution of professional literature, associations, conferences, education and research

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14. Differentiation of archives, librarianship, library science, documentation, information science, etc. 15. Development of procedures, technology and management 16. Development and promotion of professional principles and ethics 17. Internationalization: cooperation, resource sharing, sharing of best practice, aid 18. Growing diversity of media 19. Disruptive impact of modern ICTs 20. Globalization At various times and places these trends proceed more or less rapidly. They may be interrupted and sometimes developments are reversed. Influences from more developed countries may be inserted into the development trajectory at different points. In the remaining sections of this chapter, we focus on the international diffusion over time of these elements, with emphasis on development in the South and the emerging countries, the rationale being that library development in the North has been extensively described in works on the history of libraries, most of which focus on Europe and North America (e.g. Richards, Wiegand, and Dalbello 2015).

11.4.2 Historical and political-economic factors The comparative analysis of library development by Hassenforder (1967), mentioned earlier, suggests that a number of historical factors play a role in LIS development. On the basis of many accounts of LIS development in various categories of developing and emerging countries,9 a number of historical and political-economic factors can be identified that possibly serve as co-determinants of LIS development: – Pre-colonial history of writing, literacy, and the book – Nature of colonization, or other exposure to Western influence, especially presence or absence of large-scale European settlement – Period and duration of colonization or other exposure to Western influence – Period and duration of subjection to domination by other powers, e.g. the Soviet Union, Japan – Colonizing, dominating or influencing power(s) – Colonial philosophies and policies of these powers

9 The bibliographic database assembled for this book counts over 480 items relating to LIS in developing countries, and over 230 items relating to emerging countries (with some overlap).

11.4 LIS development trajectories

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– Situation and state of development of LIS in these powers – Post-colonial political and economic situation, including political and economic disruptions – Post-colonial ideological orientations and reorientations – Degree of continuity of colonial and post-colonial policies relating to sectors allied to or influencing LIS, e.g. those depicted in Figure 3.10, including the education system, the book industries and the heritage sector – Development trajectories of the above-mentioned sectors – Degree of exposure to international influences (as determined by location) – Openness to international influences (as determined by cultural, religious, and ideological factors)

11.4.3 Generalized LIS development trajectories From the extensive literature on LIS in development cited in the sections that follow, the following development phases can be identified in developing and emerging countries: 1. Pre-colonial (or prior to Western or hegemonic influence) 2. Early contact with the West or other hegemon 3. Invasion and conquest 4. Colonial rule 5. Post-colonial development These phases do not apply to all the developing and emerging countries. They occurred in different countries during different timeframes; some phases recurred in the course of a country’s history; and the phases took different forms in different countries and regions. However, a number of general trajectories can be constructed. Taking into account the presence or absence of a tradition of literacy, and the period and nature of colonialism or hegemony, the following categories of countries are distinguished here: A. Historically literate realms: empires and kingdoms with an ancient tradition of literacy, which were not (or only briefly) colonized by the West (Sections 11.5 and 11.6) B. Latin America, countries which gained independence in the first wave of decolonization in the early nineteenth century (Section 11.7) C. Former colonies of large-scale European settlement which gained independence before the Second World War (Sections 11.8 and 11.9) D. Former colonies of limited European settlement which gained independence from the mid-twentieth century. These largely correspond to the

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ACAP (African, Caribbean, Asian and Pacific) group. They include some countries in which ancient literate civilizations were subjected to lengthy periods of European colonialism, as in the case of India and Vietnam, which have affinities to countries in Category A. This also applies to the Middle East and North Africa (Chapter 12, Sections 12.2 and 12.3) E. The former Russian Empire and Soviet sphere of control (Chapter 12, Sections 12.4 and 12.5) Although the categories are not exhaustive and some countries could be placed in more than one category, they can provide a structure for description and discussion. In the accounts that follow, illustrative examples are mentioned, but the accounts are not intended to be comprehensive, emphasis being placed on periods and events of particular interest.

11.5 Historically literate realms 11.5.1 Early literacy In various regions of the world there are countries with an ancient tradition of literacy which predates Western literacy, for example China (Battles 2015, 32–42), Mesopotamia (M. H. Harris 1999, chap. 2), and Egypt (M. H. Harris 1999, chap. 3). The history of libraries in Asia Minor, today’s Turkey, goes back to the Hittite civilization of the fifteenth century BCE, and libraries were present there during the successive Hellenic, Byzantine, Arab and Ottoman eras (Scepanski 1998, 90; M. H. Harris 1999, chap. 6). In other countries the development of literacy was roughly contemporaneous with that in the West, for example India (Bhatt and Majumdar 2012). In Ethiopia, where writing dates back to the first century BCE, the coming of Christianity in the fourth century led to the formation of collections of religious literature in centres of learning in the kingdom of Aksum (Assefa 2010). During its classical period (roughly the eighth to the twelfth centuries CE), the Arab-Islamic civilization produced splendid mosque, madrassah and palace libraries (A. H. Green 1988; Shabana 2010). During the Islamic Caliphate, Baghdad, in present-day Iraq, was a great centre of learning and counted many libraries (I. M. Johnson 2016a, 72–74). Islamic learning and libraries spread throughout the Arabic world and beyond along trade and pilgrimage routes, for example into the Sahel region of sub-Saharan Africa and as far west as present-day Mauritania (Krätli 2004a). In the Far East, China, Japan and Korea have long histories of literacy and developed distinctive scripts. Paper was invented in China during the Han

11.5 Historically literate realms

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Dynasty in the second century CE. Printing using wooden blocks was started in China under the Tang dynasty, while printing with movable type was invented in Northern China around 1045, by Bi Sheng, who used ceramic types (Needham 1985, 5, part 1:201–17). These technologies soon spread to various countries in the Far East. By the fifth century CE paper-making and printing techniques had reached Korea. The world’s oldest surviving printed work, found in a Buddhist pagoda in Gyeongju, South Korea, is thought to date from around 700 CE.10 It is claimed that printing using movable metal type, an advance on the use of ceramics, was invented in Korea and first used there in 1234, two centuries before Gutenberg.11 Korea’s first royal library with a substantial collection was founded in 918 CE. During the Koryo dynasty (918–1392 CE) there were various college and temple libraries. These libraries, which built up fine collections, were open only to a limited clientele (D. H. Chang 2000, 102–3). In this section the focus is on the major polities that managed to avoid Western colonization more or less intact, such as China, Japan. Korea,12 Turkey and Iran. Other countries where literacy existed before contact with the West are covered in other sections below.

11.5.2 Western incursions and influence In the nineteenth century, Western merchants and adventurers, in some cases backed up by naval expeditions and military forces, sought to “open up” the ancient empires and kingdoms to Christianity and commerce. In the case of China, Western powers used their military superiority to exact commercial privileges and territorial concessions in terms of unequal treaties which fatally weakened the Qing dynasty.13 Missionaries brought Western education, and with it, libraries. Library development in China is dealt with in more detail in Exhibit 6 (Section 11.6). Other countries in the region learned from the Chinese 10 Wikipedia, “History of printing in East Asia,” https://en.wikipedia.org/wiki/History_of_ printing_in_East_Asia, accessed 2018-07-11. 11 As with other significant inventions, who and where printing with movable type was invented is a matter of national pride. There is evidence that metal type may have been used in China even earlier. See Wikipedia, “Movable type,” https://en.wikipedia.org/wiki/Movable_ type, accessed 2018-07-11. 12 Korea, colonized by Japan between 1910 and 1945, is included in this category on account of its long tradition of literacy and book production and its subsequent development as an advanced industrial economy. 13 Encyclopaedia Britannica, “Opium wars,” https://www.britannica.com/topic/Opium-Wars, accessed 2018-07-11.

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experience with Western imperialism. During the late nineteenth century and early twentieth century, a number of countries which successfully resisted colonial threats adopted Western-style institutions to be able to protect their sovereignty. While the earliest Japanese libraries probably date from the sixth or seventh centuries CE, modern libraries, archives and museums emerged after the Meiji Restoration of 1868, a revolution prompted in part by fears of the Western encroachment seen in China (Takayama et al. 2010). Like Japan, Korea had a policy of restricting foreign contacts, but the policy broke down progressively from the 1860s onwards against the background of increasing Western incursions and rivalry between the modernizing Meiji regime in Japan and imperial China. Relaxation of the restrictions on foreign contacts was accompanied by an internal modernizing movement (J. Kim 2012, chap. 7). It is interesting that Korea’s first exposure to Western libraries came via Japan. In 1876 Korean emissaries to Japan for the first time saw modern libraries. Other young Koreans who visited Japan and the USA reported on public libraries there, exciting interest among young modernizers back home (D. H. Chang 2000, 104–6). After Korea established diplomatic relations with the USA, there was a big influx of American Protestant Christian missionaries. They introduced Western education by establishing schools, which soon developed into colleges. After Korea was annexed by Japan in 1910, the Japanese authorities inhibited further development of higher education (D. H. Chang 2000, 87–94). As part of a general enlightenment movement, the first public libraries were established in the first decade of the twentieth century. After 1910, as part of a nationalist resistance movement against the Japanese occupation, privately run public libraries were established (Y. Lee and Jo 2006). In an attempt to modernize Korea and bring it into line with development in Japan itself, and to disseminate the Japanese ideology, the Japanese colonial regime established modern public libraries (D. H. Chang 2000, 109–12). The first academic library was established in 1927 at Kyongsung Imperial College (Cho et al. 2010, 4925), a higher education institution under Japanese control. However, the Japanese suppressed Korean culture and language, so that their libraries were seen as an alien imposition (C. S. Kim 1994; D. H. Chang 2000, 109–13). In the case of Thailand, a similar pre-emptive modernization included the creation of a modern standing army, a centralized territorial administration, a national education system and a national library. The National Library of Thailand evolved from an aristocratic club, founded during the 1880s, to an official organ of the state in 1905, becoming the National Library in 1932. It played an important role in developing the cultural identity of the Thai nation (Jory 2000). Expatriates have also been recorded as founding libraries in a number

11.5 Historically literate realms

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of countries which resisted colonialism. Two examples are the Neilson Hays Library in Bangkok, founded in 1869 by a group of British and American women who established the Bangkok Ladies’ Library Association in 1869, with the aim of circulating and sharing books,14 and a number of Russian libraries established by the Russian-speaking community in north-eastern China, notably in Harbin (Gamsa 2006).

11.5.3 Development following the Second World War After the Second World War American influence on LIS increased significantly in a number of countries, particularly in countries which were occupied by the American armed forces. These included Japan, Korea and a large part of Germany. American attempts to root out the vestiges of Nazism in Germany and militarism in Japan led to drastic interventions in the educational systems of these two countries (Pepin and Clark, 2004; Shibata, 2004; Tanaka, 2005). In Japan, under General MacArthur, the Supreme Command for the Allied Powers (SCAP) recognized the role of libraries in strengthening democratic institutions. Japan’s new constitution made the National Diet the highest organ of state, and a modern library was seen as essential for its functioning. After the War American experts were called in to help in drafting legislation for the National Diet Library, which was modelled on the U.S. Library of Congress, and to help in developing the new institution. Since the skilled librarians needed to run it were lacking, American training programmes were introduced. An American library school was supported by the U.S. military until 1952, when the Rockefeller Foundation provided a grant to continue funding U.S. library educators until Keio University could assume full responsibility (Brewster 1976, 23–26). However, despite mandatory legislation passed as part of post-war reforms, an attempt to transplant American school library concepts did not succeed. Because of cultural differences, the nature of the Japanese educational system, and an ineffective law, Japanese school libraries took on a different shape (Knuth, 1995b). Immediately after the Second World War, the occupying U.S. forces in the southern sector of Korea (today South Korea) embarked on a programme of political, economic, societal and cultural modernization. A number of information centres were set up by the USIS as part of the American cultural

14 Neilson Hays Library, “History,” http://neilsonhayslibrary.com/history/, accessed 2018-07-11.

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propaganda effort, while shipments of U.S. books followed. The Korean Library Association was set up in 1945, under U.S. supervision, and a library school was founded (D. H. Chang 2000, 113–17). The occupying authorities also adopted a strategy for reshaping the educational system by introducing John Dewey’s pragmatic philosophy of democratic education. Korean educators and students were sent to the USA, and many U.S. experts were brought to Korea to serve as consultants and advisers. Progress was interrupted during the Korean War (1950–1953). After that war, the USA took the lead in pouring massive amounts of aid into the reconstruction of the educational system. In higher education some of the aid took the form of programmes executed by U. S. universities under contracts awarded by the U.S. administration. Korean college and university librarians were among the Korean higher education staff who participated in educational staff exchanges. Various other measures greatly stimulated the development of LIS education along U.S. lines in South Korea (D. H. Chang 2000, 94–127). Chang attributed the very large U.S. investment in educational development to U.S. recognition of South Korea as “a strategic bulwark against the southward progress of the Soviet Union in East Asia” (D. H. Chang 2000, 126). Chang’s observation is a reminder that during the Cold War (1945– 1991), strategic considerations played a determining role in deciding on the recipients and nature of development aid, including aid for LIS development. This should be seen against the background of the geopolitical strategy of containment, adopted by the USA in 1947 to counter the expansion of the Soviet Union (Pieper 2012). The policy involved military, political and economic support for countries such as Greece, Turkey and Iran which were seen to be facing communist threats.15 Development aid to these countries included programmes to strengthen higher education, which it was thought would help to strengthen their economic base and hence their stability. Brewster (1976) refers to a number of these programmes in Iran, Turkey and Thailand at various points in her book, not only in the chapter devoted to U.S. government programmes, but also in the chapter on the role of U.S. foundations. For example, in the international programmes undertaken during its first decade, the Ford Foundation, which became a public philanthropy in 1950, concentrated its resources on countries prioritized by the U.S. State Department, including Turkey (Brewster 1976, 139–43; Marco 1995).

15 GlobalSecurity.org, “Cold War – containment,” https://www.globalsecurity.org/military/ ops/cold-war-containment.htm, accessed 2018-07-11.

11.6 Exhibit B: China

621

In Thailand American and U.S.-trained librarians also played a significant role in the development of formal LIS education, but there were many other contributors to the development of LIS, including U.S. Peace Corps volunteers, various foundations, the British Council, the Canadian International Development Research Centre (IDRC), Australian development agencies, Southeast Asian regional bodies such the Congress of Southeast Asian Librarians (CONSAL), UNESCO, and IFLA, which held its annual conference in Bangkok in 1999 (Phornsuwan 2001). LIS development has sometimes been affected by dramatic political changes. During the 1960s library development in Iran, especially LIS education, was greatly influenced by American educators and consultants and by U.S.-trained Iranian library educators. The 1979 Islamic Revolution led to “de-Americanization” and the departure of American library educators. Some LIS schools had to close, but this created opportunities for U.S.-trained Iranian librarians who returned to Iran. Education had to be based on Islamic principles, and educators who were not committed to the Islamic government were purged. A seminar held in 1981 to discuss the relevance of American library principles to Iran proposed that library education based on American ideas be continued and endorsed the “pattern of Iranian librarianship as it existed, despite its origins in American models” (Hayati and Fattahi 2001, 280). Some students were sent to Australia and Japan for PhDs, and PhD level courses were developed in Iran. Foreign lecturers, especially from other Islamic countries, were permitted, but no Americans. Because of a lack of Persian textbooks, American texts continued to be used, but their relevance was questioned. Ultimately, the Iranian library profession determined that a distinction had to be made between the Americanization of library education and the use of American standards that are used internationally (Hayati and Fattahi 2001). All the countries in this group have reached a high level of LIS development, as is evident from the presence of well-equipped, well-stocked and well-accommodated libraries of various types, particularly national and university libraries, and of LIS education and research, associations and journals. However, in several of the countries, concerns remain about freedom of expression and freedom of access to information.

11.6 Exhibit B: China China is the home of ancient civilizations with a long history of literacy and libraries (Lerner 1998; Sturgeon 2004). From the nineteenth century onwards, China was subjected to considerable pressure by Western powers seeking

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trade and territorial concessions.16 With this went westernizing influences. There is a considerable literature dealing with U.S. influence on library development in China, particularly before World War 2. Huanweng Cheng (2001) divided China’s modern library history into four periods. From approximately 1840 to 1949, Western influence gradually grew and towards the end of this period American influence had become dominant. The victory of the Communists and the creation of the People’s Republic of China in 1949 brought American influence to an abrupt end and ushered in a period of Soviet influence which lasted until the break in relations between the Soviet Union and China in the early 1960s. After the Great Proletarian Cultural Revolution of 1966– 1976, China normalized its relationship with both the Soviet Union and the USA and the door was opened to further Western LIS influence, that of the USA again being dominant (Cheng 2001). Cheng’s periodization clearly illustrates the role of ideological and geopolitical factors as determinants of influence: Since librarianship is the inevitable outcome of social development, it is bound to be variously affected by society. Generally, economics decides the development of librarianship. However, politics often plays a decisive role in the development of librarianship, and the Cold War is the best example (Cheng 2001, 48–49).

In a thoughtful study of the origins of modern academic libraries in China, Liao (2004) traced the role of Christian missionaries as well as Chinese officials and reformist scholars in disseminating Western library ideas, and outlined the growing tension between these ideas and the traditional Chinese understanding of libraries. Liao linked the growing interest in Western-style libraries to intellectual ferment arising from China’s humiliating defeats at the hands of Western powers in the Opium Wars of 1839–1842 and 1856–1860 and in subsequent conflicts, and by the shock of China’s defeat by Japan in the first Sino-Japanese War of 1894–1895. These shocks helped protagonists of Western education and librarianship to overcome the considerable resistance from the traditional intellectual elite: The genesis of the modern library in China . . . involved more conflict and struggle than in many other cultures. Ironically, the source of the trouble lay precisely in the existence of China’s great cultural tradition and in the belief in Chinese cultural supremacy to which

16 This pressure was not limited to Western countries. Gamsa (2006) described the establishment of Russian libraries in China, particularly in the Russian speaking community in Harbin.

11.6 Exhibit B: China

623

such a tradition gave rise. As a result, it was only through fortuitous circumstances (such as the fall of China to Western imperial powers and the subsequent collapse of traditional belief) that the modern Chinese library was born (Liao 2004, 171–72).

Perceptive Chinese visitors to Europe after 1895, having seen the British Museum and the Bibliothèque nationale, tried to interest Chinese officials in library development as a means of improving China’s competitive position in trade and industry. However, the embattled Qing dynasty focussed rather on acquiring military technology (Yi and Thompson 2015, 54). Accelerated, Americaninspired library development took place in China in the 1920s and 1930s. H. Cheng (2001, 2013) and J. Liao (2009) described the dominance of American influence during this period, including the central role of an American teacher, Mary Elizabeth Woods, who arrived in China in 1900, in promoting the establishment of libraries, training Chinese librarians in the USA, and founding China’s first library school in 1920. J. Liao (2009) emphasized the role of Woods’s protégés and students who became national leaders in the development of a “modern library system” (p.29), adapting their American models to Chinese conditions. J. Zheng et al. (2010) also celebrated the role of Woods as the “queen of the modern library movement in China.” P. Yu and D.D. Davis (1998) detailed the involvement of American Library Association representative Arthur E. Bostwick in the development of public libraries in China during the mid-1920s, while Tsay (1999) provided a more comprehensive overview of the library development projects undertaken by the ALA in China. The narrative suggests that the superiority of American librarianship was taken for granted by librarians in both countries. It was assumed that development should follow American models. Thus, American library philosophy, education, techniques and materials were exported to China on quite an ambitious scale. American influence was impeded by the disruption caused by the Japanese invasion of China in 1937 and the ensuing war and revolution (Yi and Thompson 2015). Further impetus came after the Second World War with new programme initiatives involving the ALA and other U.S. entities (Kraske 1985, 92–121; Zhou and Elliker 1997) and the establishment of ten U.S. Information Service libraries in major Chinese cities (Tsay 1999), but as indicated above, American influence virtually disappeared during the Cold War. Following the Communist victory and the formation of the People’s Republic of China in 1949, Mao Zedong adopted a “leaning to one side” policy, aligning China with the leader of the “anti-imperialist front,” the Soviet Union (Yu 2001, 254). Libraries were seen as important, and Soviet theories and principles were followed to build a socialist library service in which libraries served the political objectives of the Communist Party. This led to tremendous changes in Chinese librarianship. The American model was abandoned in favour of a new

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socialist librarianship derived from the model of Soviet librarianship (Cheng 2001, 44). Not only were library collections weeded and undesirable works replaced with Marxist-Leninist materials, but Chinese translations of Soviet library science texts conveyed Soviet library techniques. A Chinese classification system based on a Soviet model was adopted. Libraries were organized to serve workers and peasants and large numbers of reading rooms were set up for them. Foreign language collections in research libraries were dominated by Russian works (Yu 2001). Soviet influence came to an end around 1963, when the “socialist brotherly relations” between the Soviet Union and China broke down (Cheng 2001). When China emerged from relative isolation after the Cultural Revolution, American influence returned. Chinese library development took on a rather similar pattern to that of the pre-1949 period, but multilateral relations mediated by organizations such as UNESCO, IFLA and ISO also played a significant role (Cheng 2001). Ziming Liu (2004) focussed on the contribution of “human movement” in the flow of LIS information between the USA and China, paying particular attention to the role played by two influential Chinese librarians, Guojun Liu and Tonli Yuan, who had graduated in library science at U.S. universities in the 1920s and who served as gatekeepers and mediators of the flow of information between the two countries. The translation of American library texts into Chinese and the adaptation of the Dewey Decimal Classification for use in China are examples of such mediation. After the restoration of Sino-American relations in the 1970s, library relations were renewed, exchange programmes between the USA and China increased, and there was strong growth in LIS education. Significant development of China’s information infrastructure and access to information continues (Yi and Thompson 2015, 61–64). Current literature frequently contains reports on Chinese-U.S. cooperation (e.g. Megan Johnson, Shi, and Shao 2010), while Chinese LIS researchers who have studied in the USA, or are based there, report on comparisons between the two countries in which conditions and practices in the USA are described with an implicit intent to improving matters in China, but these studies are not necessarily uncritical (Jin 2006; Shen 2006; Hua [1997] 2008; Y. Q. Liu and Zhang 2008; Z. Liu 2008; H. Wang, Latham, and Vann 2013). Modernization of practices in areas such as cataloguing entailed the adoption of international standards (S. Liu and Shen 2002). However, American models were not chosen in every case. China’s MARC format, CNMARC, is based not on the U.S. version but on UNIMARC, promoted by UNESCO and IFLA. The political and other factors affecting decision making on the development of a Chinese MARC format have been discussed by Ben Gu (2014). As the twenty-first century unfolds and an economically powerful China gains in self-confidence, the question arises whether U.S. influence will become

11.7 Latin America

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less important in Chinese LIS. Also, as China enters the field as an aid donor, it will be interesting to see to what extent LIS influence will flow from China to less developed countries.

11.7 Latin America At the time of the Spanish conquest of Mexico, the invaders found libraries with large collections of codex-like books (amoxtli) on religious and other topics housed in “houses of books” (amoxcallis) located in temples, tribunals, markets and palaces.17 Few of these books survived however. Many were destroyed by soldiers and priests who considered them “works of the devil” (Mattes 1998, 12– 13). The destruction of the pre-Hispanic documentary heritage of Central America by the Spanish invaders (Meneses Tello 2011; Battles 2015, 42–45) is an extreme example of a policy of erasing the religions and cultures of colonized peoples.

11.7.1 Colonial rule in Latin America Latin America was under colonial rule for more than three centuries, considerably longer than colonial rule in most countries in Africa, Asia and Oceania, so that international interest in, and assistance for, library development in Latin America could be said to have had an unusually long history. While Iberian colonists came to exploit the natural resources of the New World, the Catholic Church came to convert the native inhabitants to Christianity. Finding much of the New World suitable for settlement, significant numbers of Spaniards and Portuguese arrived and established new cities. It is estimated that during the colonial period, between 1492 and 1832 some 1.8 million Spaniards settled in the Americas.18 Over time, the Spanish colonies were thoroughly Hispanicized, to the extent that today Native Americans make up only eight percent of the total population of Latin America, with concentrations in Bolivia (62%), Guate-

17 I am indebted to Professor Ian Johnson for substantial contributions to this section. 18 Wikipedia, “Spanish colonization of the Americas,” https://en.wikipedia.org/wiki/Span ish_colonization_of_the_Americas, accessed 2018-07-12. These Spanish settlers were followed by another 3.5 million after the colonies became independent. Especially from the 1860s onwards they were joined by immigrants from other European countries such as Germany, Italy and Ireland, encouraged by the ruling white upper classes (of Iberian descent), which sought to shape the new nations on the European mould (Stavenhagen 1992, 426–27).

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mala (43%), Peru (40%) and Ecuador (35%) (Escóbar 2007, 313). As a result, all these territories developed as settlement colonies, incorporating to various degrees features of both plantation settlement colonies (characterized by the importation of slaves) and non-plantation settlement colonies (characterized by substantial European immigration, as distinguished in Section 10.2. Library development went hand in hand with the educational and proselytizing endeavours of the Church. In Mexico the earliest book collections were assembled from the 1530s onwards by members of the clergy. The first libraries were set up in religious institutions such as convents tasked with educating the Spanish colonists, educating the clergy, and supporting the missionaries in their work of converting the Native Americans to Christianity. To the latter end, Spanish priests studied the native languages. Clerical scholars, deploring the destruction of the Aztec codices by their predecessors and by Spanish soldiers, commissioned native scribes to reconstruct these records of Pre-Columbian civilization (Mattes 1998, 1314). In Mexico the first monastic library was founded in 1536 by the Franciscans (Mathes 1994) and the first printing press arrived in 1539 (Lau 2010, 2624–25). From the early years of Spanish conquest, there were private libraries. Over the centuries the private libraries of bishops, clerics, and later of academics and educated members of the laity, played an important role in library development throughout Latin America. Many of their collections eventually formed the nuclei of academic and national libraries. The first universities in the Spanish colonies were established in the sixteenth century. The National University of San Marcos (Universidad Nacional Mayor de San Marcos), founded in Lima in 1551 by royal decree of the Holy Roman Emperor, Charles V, claims to be the oldest officially established university in the Americas.19 The accession to the Spanish throne of the Bourbons in 1701 made it possible for the ideas of the French Enlightenment to reach the Spanish Americas, which stimulated the development of libraries by private individuals (Chaparro-Univazo 2010, 4149). For more than two centuries the Jesuits, members of the Roman Catholic order of the Society of Jesus (founded in 1540), played a significant role in Latin America, creating educational and scholarly institutions equipped with libraries. As an order, the Jesuits were extremely active in missions, and emphasized

19 This claim is disputed by the Royal and Pontifical University of Mexico (cf. Mattes 1998, 13), and the Autonomous University of Santo Domingo, in the Dominican Republic. Wikipedia, “National University of San Marcos,” https://en.wikipedia.org/wiki/National_University_of_ San_Marcos, accessed 2018-01-10.

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education and scholarship.20 A printing press set up in Lima, Peru, in 1584 was used by the Jesuits to print theological works, including some in native languages (Chaparro-Univazo 2010, 4148). In Brazil the Jesuits established colleges and schools almost as soon as they arrived in 1549. Because reading was regarded as very important in their educational philosophy, libraries were set up in these institutions throughout Brazil. The expulsion of the Jesuits from Brazil in 1759 destroyed the colonial education system and resulted in the dispersal of their books (Grover 1993). In 1767 the Jesuits were also expelled from the Spanish colonies, by Charles III of Spain. Their libraries were confiscated and dispersed, some ending up in the university libraries, others in early public libraries, as in Bogotá, Colombia, in 1777 (Gleaves and Lozano Rivera 1994).

11.7.2 Post-colonial development in Latin America Between 1808 and 1826 Spain and Portugal lost all their colonies in the Americas, with the exception of the Spanish colonies of Cuba and Puerto Rico, as groups of mainly Criollo (locally born Spanish) colonists revolted against Iberian rule and gained independence. Participants in the drawn-out wars of independence were divided by ethnic and class distinctions, competing economic interests, different political philosophies, and regional loyalties. The struggle resulted in the fragmentation of the region into a number of often unstable and quarrelsome entities. In Brazil, a rather different path to independence was followed. In 1808, during the Napoleonic Wars, the Portuguese court moved to Rio de Janeiro – taking the Royal Library – to escape the invading French forces. When King John VI moved back to Portugal in 1821, he left his son Dom Pedro behind. In 1822 Dom Pedro declared Brazil’s independence and became Brazil’s first emperor. The relatively peaceful transition gave Brazil greater continuity and stability than its neighbours.21 Although most of the countries in the region share a common language and cultural heritage, the countries differ considerably in respect of governance, resources and the characteristics of their populations (Sabor 1965b, 1). A tide of patriotism swept the newly created states. One outcome of this was the creation of national libraries. In Brazil, the Royal Library remained behind when the Portuguese court returned to Lisbon. Opened to the public, it became Brazil’s national library, the largest in Latin America, now with over 20 Encyclopaedia Britannica, “Jesuit,” https://www.britannica.com/topic/Jesuits, accessed 2018-01-10. 21 Encyclopaedia Britannica, “The independence of Latin America,” https://www.britannica. com/place/Latin-America/The-independence-of-Latin-America, accessed 2018-07-12.

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nine million items (T. A. Thompson and McCarthy 2012). In several former Spanish colonies, namely Chile, Colombia and Ecuador, the public libraries which had absorbed collections confiscated from the Jesuits became national libraries. Several others were proclaimed shortly after independence, with collections assembled from bequests, the confiscated collections of defeated opponents, and donations of private collections (Gropp 1970). Others followed in the course of the nineteenth century. Gropp’s national library profiles suggest that the eminent scholars and men of letters who were appointed as directors of national libraries generally took as their model the great learned libraries of continental Europe, emphasizing historical collections of national interest, and publishing retrospective bibliographies and catalogues of acquisitions. In the aftermath of independence, several of the national leaders proposed plans for popular education, in which libraries were to play an important role. In Chile the newly created national library was conceived as forming part of the estado docente, the teaching state. The government created schools and cultural and scientific institutions and took measures to purchase materials from overseas. But, while the national library grew and accumulated valuable collections, not much came of extending its services more widely to the general population until well into the twentieth century (Yeager 1994). Among the countries of Latin America, Uruguay stands out as a leader in providing access to education for the entire population. General José Artigas, who had led the national liberation struggle, founded the national library in 1816. He believed that public libraries and schools should be constructed together and laid the foundation for the development of public libraries on a national basis. In the case of Uruguay, this concept was not merely paid lip service (Maciejewski 1994). Across the estuary of the Rio de la Plata, the founding fathers of Argentina also expressed great interest in books and libraries. The Argentinian politician, educator and writer Domingo Faustino Sarmiento wrote eloquently of the importance of libraries. During his term as President of Argentina (1868–1874) he was able to put some of his ideas into practice through the creation of public libraries that were integrated into the school system (Litton and Krzys 1983). However, over the years, government support for popular libraries fluctuated and school library development was minimal (Gleaves 1994). It would seem that the public library system did not live up to the early promise. Writing about Latin America, Sabor (1966, 109) commented in the mid-1960s that countries which had “attained good cultural levels (e.g. the Argentine Republic) have no public library network.”22

22 However, a decade earlier Penna (1954, 90) had stated that Argentina had 2,500 public libraries. Issues of definition may explain this apparent contradiction.

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Writers on Latin American librarianship in general have noted the emphasis on national libraries and, to a lesser extent, on academic libraries. Two causative factors have been identified for the weak development of public and school libraries. First, there was the influence of the custodial tradition (Penna 1954, 89–90; Litton and Krzys 1983, 83), which appears to derive mainly from continental Europe. Second, education was long organized for “a public at a certain social level” and libraries were also aimed at this elite: “a public which was already cultured or in process of becoming so, rather than for those requiring information or education in general” (Sabor 1966, 109–10). During the twentieth century a number of external and internal influences challenged the European tradition and the elitist custodial tradition of Latin American librarianship. Penna (1954, 93–95) identified six such factors: (1) scholarships granted to librarians to study librarianship abroad, especially in the USA; (2) the establishment of library schools; (3) Latin-American congresses of librarians; (4) library associations; (5) library literature; and (6) the influence of international organizations. Librarians returning from scholarships in the USA brought back with them new perspectives and techniques. International assistance in the sense that we understand it began during the early twentieth century, and came largely from the USA. The American Library Association’s Committee on Library Cooperation with Hispanic Peoples, later known as the Committee on Library Cooperation with Latin America, made its first report as long ago as 1921. Before the Second World War, it became involved in facilitating exchanges of publications between libraries in North and South America and began to develop particularly close cooperation with colleagues in Mexico. More active cooperation was hindered, according to Brewster (1976, 215–19), by the distance and cost involved, and the limited international cooperation within the region (which is hindered by the same factors). However, some further impetus was provided by the personal interest in Latin America of Carl Milam, ALA’s Executive Secretary, by grants from the Rockefeller Foundation, and by increasing U.S. government interest in opportunities to counter Nazi propaganda in the region. Between 1942 and 1948, the ALA was involved in twenty-three projects in the region, including 6 in LIS education. After the war, however, ALA’s focus largely shifted away from Latin America (Brewster 1976, 224–37). Between the two world wars, a number of bi-national centres had been set up by the USA in collaboration with local partners, the first of these in Buenos Aires in 1927. Each one included an up-to-date American library, which showcased American public library ideas and technology, such as open stacks, the issuing of books for home reading, reference service, dictionary catalogues, and the Dewey Decimal Classification. These were established in all the Latin

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American capitals and in other major cities. During the Second World War, the United States stepped up its cultural diplomacy in Latin America by setting up three model public libraries in key Latin American countries, Mexico, Uruguay, and Nicaragua (Litton and Krzys 1983). The Biblioteca Benjamin Franklin, in Mexico City, was opened in 1942 as a collaboration between the ALA, the State Department’s Division of Cultural Affairs, and U.S. diplomats stationed in Mexico. It was funded by the U.S. Office of the Coordinator of Inter-American Affairs (OCIAA) but was managed on a day-to-day basis by the ALA. The reason for this arm’s length approach was the extreme sensitivity of the Mexican public to U.S. propaganda (Montero Jiménez 2013, 274–75). It is an example of the close relationship between the ALA and the State Department during this period (Kraske 1985, chap. 3). The first Latin American library schools were founded in 1911 and 1922, but from the 1940s onwards new library schools were established, with an increasing number of American or American-educated instructors. During the 1950s and the 1960s, the U.S. government sponsored a number of projects that featured library development activity in Latin America, all as a component of a broadly-based program of assistance for a specific institution (Brewster 1976, chap. 1). These included two projects – at the University of Córdoba in Argentina and the University of Panama – and two in Brazil in the 1960s, which had LIS education as a specific focus (Brewster 1976, chap. 1). An important addition to the Latin American library schools was the Inter-American Library school (Escuela Inter-Americana de Bibliotecologia), founded 1956 in Medellín, Colombia with support from the Rockefeller Foundation (Litton and Krzys 1983, 83–84). From time to time, UNESCO was also a significant actor in post-war library development in the region, influenced in part by the natives of the region who held senior posts in the Division of Libraries, Archives, and Documentation, notably Carlos Victor Penna during the 1960s and Celia Ribeiro Zaher in the 1970s. However, it was during the 1980s that UNESCO made its most substantial investment in the region, allocating funding there for one of its three regional schools of information science, intended to act as demonstrations to prompt the initiation of similar national graduate programs. Thus, one of these master’s degree programs was established in Universidad Simon Bolívar in Venezuela. Regrettably, the termination of UNESCO support coincided with a national financial crisis, and the program was closed (Paez-Urdaneta 1991). The library schools helped raise the standards and the image of the library profession, but the foreign influence came at a price. Overall, U.S. influence on LIS education and practice in the region, including the then tendency for

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students from the region to attend schools in the USA, was so significant that its relevance to the local context came in for some criticism during the 1980s, outlined by I.M. Johnson (2005b, 16–19). A number of Pan-American library congresses also contributed to the dissemination of a professional spirit and the striving for better methods and procedures. Library associations were established in all the Latin American countries. From the 1940s onwards, there was a pronounced quantitative and qualitative growth in Latin American library literature, including manuals, reference works and periodicals. Two international organizations, UNESCO and the Organization of American States (OAS) also provided significant stimulation for library development. Among other projects, the OAS provided support for the Inter-American Library School, while UNESCO paid particular attention to the promotion of public librarianship. A UNESCO-sponsored Conference on the Development of Public Library Service in Latin America took place in São Paolo, Brazil, in 1951. It was followed by the creation in 1954 of a pilot public library, the Biblioteca Pública Piloto, in Medellín, in collaboration with the government of Colombia. The second half of the twentieth century saw many technological advances in Latin American librarianship, with increasing U.S. influence. A variety of cooperative programmes, including exchange programmes and library twinning, resource sharing, and the use of U.S. bibliographic utilities (especially OCLC) link Latin American libraries to their counterparts in the USA. This is particularly prevalent in Mexico (Seal 1996). Fundamental rethinking of library philosophy also got under way, not least in Cuba after the revolution of 1959, which led to a radical reorientation of Cuban librarianship towards that of the Soviet Union. Portugal and Spain joined the European Union in 1986. Their economies were revived by internal development assistance from the EU during their initial period of membership, enabling them to play a more significant role in assistance for their former colonies. An example is the construction of a new building for the National Library of Peru, which was undertaken with a loan from the Spanish government. The modernization of programs in the Iberian universities, the increased availability of scholarships, and the familiarity of the language has attracted more students from South America to Portugal and Spain. The Spanish government also took advantage of one of its periods as President of the European Council to initiate ALFA (América Latina Formación Académica), a small regular programme of EU funded collaborative projects between academic institutions in European and Latin American countries, which has included a few library development projects (e.g. L. L. Rega 2006).

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11.8 Former colonies of large-scale European settlement 11.8.1 Early libraries in North America In Section 10.2, a distinction was made between types of colonies. This section deals with LIS development in settlement colonies, specifically those which attracted many settlers from the metropole. Here, private libraries soon appeared, followed by libraries of religious, educational and trading establishments. In Quebec, there is evidence of a Jesuit library dating from 1632, and the Jesuit College founded in Quebec in 1635 is thought to have established the first college library in North America. (See Section 11.9 for more on Canada.) Early British settlers in what is now Massachusetts commonly had small private collections; over time records show that these collections grew to a few hundred in the seventeenth century, and to a few thousand in the eighteenth century. In New England it soon became an established practice to donate or bequeath private collections to institutions for public use (Campbell and Litton 1983; M. H. Harris 1999, chap. 10). During the nineteenth century the development of libraries in the USA mirrored that country’s rapid demographic, economic and political growth. In 1851 a survey by Charles C. Jewett, Librarian of the Smithsonian Institution, showed that in the USA there were at that time only five libraries with collections of over 50.000 volumes (Whitehill 1956, 2). But this was about to change. In the two decades that followed, the first major free public libraries were founded, higher education and curricula expanded through the establishment of land-grant colleges, and the idea of the research university was imported by Americans returning from study in Germany. The year 1876 was pivotal in the history of American and world librarianship. In that year a national meeting of American librarians took place at the Centennial Exposition in Philadelphia in 1876 (Lor 2017). As part of the centennial celebrations, the United States Bureau of Education had compiled a report on the state of public libraries nationwide (Public Libraries in the United States of America: Their History, Condition and Management. Special Report 1876). This was not limited to public libraries and covered “the various questions of library economy and management” (p. xiii) in such detail as to constitute a veritable manual of librarianship. It included a ground-breaking 25-page piece by Melvil Dewey in which he described the “decimal classification and subject index,” which he had developed for Amherst College (pp.623–648) – later known as the Dewey Decimal Classification. Part II of the report consisted of a second seminal work, the first edition of Charles Ammi Cutter’s hugely influential Rules for a printed dictionary catalogue, a major contribution to the theory of library cataloguing (Carpenter 1994, 114). While new LIS ideas continued to cross the Atlantic in both directions, the year 1876 marked the point at which the USA became a major exporter of modern

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librarianship. In the second half of the nineteenth century, American librarians pioneered significant developments in public librarianship, while there was massive growth in academic and research libraries, prompted by the adoption of the research model and the expansion in the number of colleges and universities (M. H. Harris 1999, chap. 12). By the end of 1901 the Library of Congress became the first American library to reach one million volumes (Cole 1993, n.p.). Further LIS development in the USA is not dealt with in this book.

11.8.2 The British dominions Other settlement colonies followed a similar development pattern, albeit at some distance. For example, in South Africa the substantial private library of Joachim von Dessin, an official of the Dutch East India Company, was bequeathed in 1761 to the Dutch Reformed congregation of Cape Town for the use of the general public. It subsequently became the nucleus of the South African Public Library, founded in 1818 (Immelman 1972), and is today part of the National Library of South Africa. Settlers brought with them not only their private libraries but also the concepts of library provision to which they had been accustomed: mainly feebased public libraries such as commercial circulating libraries, subscription libraries and mechanics’ institutes. In South Africa, the arrival of a large group of British settlers in 1820 was quickly followed by the establishment of numerous subscription libraries in the districts where they were settled (Friis 1962, chap. 4; Immelman 1972). In Australia, mechanics’ institutes and schools of arts provided libraries and reading rooms (Beddoe 2003), creating a pattern which later impeded the development of free public libraries there (Barker 2007). In the British dominions with substantial European populations, further library development went hand in hand with the development of educational and research institutions. During the 1920s and 1930s, the economic and political development of these colonies was marked by the achievement of nationhood and autonomy as dominions within the British Commonwealth.23

23 The Imperial Conference of 1926 recognized six dominions (Canada, Australia, New Zealand, South Africa, Ireland and Newfoundland) as “autonomous communities within the British Empire” and in 1931 the Statute of Westminster conferred complete legislative autonomy on them (Encyclopaedia Britannica, http://www.britannica.com/EBchecked/topic/168777/do minion, accessed 2018-02-22). Newfoundland, which became a province of Canada in 1949, and the Republic of Ireland are not considered here.

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In the four dominions discussed here, Canada, South Africa, Australia and New Zealand, British LIS traditions were challenged during this period by new ideas from the USA, channelled mainly by the Carnegie Corporation of New York (Rochester 1993, 1996). These gave rise to a degree of conflict within the emerging library profession, pitting librarians trained according to the British tradition against younger librarians imbued with American ideas, the education of librarians being a particularly controversial issue in South Africa (e.g. Malan 1970). In that country, as well as in Australia and New Zealand, senior library positions were routinely filled by librarians recruited from the UK, and early training followed the British pattern: entrants learnt on the job and sat the examinations, initially of the (British) Library Association, and later, of the respective national library associations (Murray 1969; MacLean 1976, 434; Rochester 1981, 243–46; Reid-Smith 2006). In Australia the crosscurrents of British and U.S. influence are thought to have left a legacy of continuing tension between competing models of LIS education (M. Carroll et al. 2013, 123–25). As discussed in Section 11.9, New Zealand in particular remained strongly attached to the British motherland.24 Nevertheless, in both Australia and New Zealand, the “tyranny of distance” from the mother country, egalitarianism, and an independent spirit have led the profession to synthesize new models of professional education and practice from diverse traditions (M. Carroll and Harvey 2006; R. Harvey 2015, 199–200). In Canada, where both the Carnegie Corporation and the Rockefeller Foundation were active, library development largely followed the models and practices of its larger southern neighbour (Buxton and Acland 1998). Canada and New Zealand receive further attention in Exhibit C (Section 11.9). After the Second World War the library development trajectories of the former settlement colonies diverged. In Canada, Australia and New Zealand, where the original inhabitants had largely been displaced and marginalized by large numbers of European settlers, economic development caught up with that of the Western capitalist economies. Today, as OECD members, they are considered to be part of the global North. The development of LIS followed concomitantly along Anglo-American lines, with American influence predominating. Ross Harvey (2015, 179) observed that “on casual inspection a North American or British visitor to any type of library in Australia or New Zealand

24 New Zealand did not accept the autonomy granted by the Statute of Westminster of 1934 until after the Second World War (Rochester 1981, 17), which had disabused both Australia and New Zealand of their faith in British protection against Japan.

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will note nothing that is unfamiliar.”25 A similar comment might be made about Canada. Deeper fault lines have been uncovered since the 1970s, as awareness has grown of the abused rights and unmet needs of the various indigenous peoples of these countries, including the USA. As a result, there is increasing interest in library services to the indigenous peoples (e.g. K. Webster 2005; Burns et al. 2010; Roy and Hogan 2010). Furthermore the arrival of significant numbers of immigrants from the developing world has changed the demographic composition of North America and in Australasia, where Ross Harvey (2015, 179) noted the library implications of the “developing new multicultural national identities.”

11.8.3 Dominions with settler minorities In another British dominion, South Africa, people of settler origin formed a substantial but shrinking minority. Here a schizophrenic LIS system developed: fairly well developed along Anglo-American lines for the white minority, but rudimentary and sadly inadequate for the black majority. In settlement colonies with smaller populations of European settlers, such as Rhodesia, now Zambia and Zimbabwe, (N. Johnson 1972) and Kenya (Olden 1995, chap. 3), a pattern similar to that in South Africa emerged. In this regard the distinction between colonies in which there was significant European settlement and others in which this was not the case is pertinent. Olden (1995, 1–3) argued that relations between the colonialists and the native populations were different in the two colonial situations.26 In West Africa, European presence was limited to colonial and military officials, traders, missionaries and the like. There, relations between Europeans and Africans were somewhat more relaxed than in colonies with cooler climates which attracted permanent European settlement. The settlers who had settled permanently on land (in most cases taken originally by conquest or subterfuge, much as in the Americas) were more likely to arouse the resentment of the 25 Harvey did point out, however, that closer scrutiny reveals tensions between a British past and the “Asian and Pacific reality” in which these two countries now find themselves. 26 Economic factors also played a role in limiting library development. In the case of the British colonies, their administrations had to rely entirely on taxes that could be raised there, until the Colonial Development Act was passed in 1929. This allowed small amounts of British government funds to be used for the development of the colonies. See Encyclopaedia Britannica, “Decolonization and the regaining of independence,” https://www.britannica.com/place/ western-Africa/Decolonization-and-the-regaining-of-independence#ref516446, accessed 201807-13. In the event, pre-war and wartime economic conditions limited the funding available for this purpose.

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dispossessed. The settlers “had more to gain from keeping Africans down” (Olden 1995, 2), and they tended to exhibit more racist attitudes than those whose sojourn in Africa was temporary. In countries of significant European settlement liberation struggles were protracted and bloody. In his history of library development in Nigeria, Ghana and East Africa, Olden (1995) showed how this phenomenon affected library development. In colonies of European settlement both the development of free public library services for the entire population and the development of higher education for Africans was delayed until shortly before or after independence. Small public libraries were set up at an early stage, “almost invariably for the exclusive use of Europeans” (Sturges and Neill 1998, 80). Racist attitudes inhibited use of these libraries by Africans before independence. As part of their survey for the Carnegie Corporation, S.A. Pitt (1929) and Milton J. Ferguson (1929) visited not only South Africa, but also Southern and Northern Rhodesia (now Zambia and Zimbabwe respectively) and Kenya. In Southern Rhodesia they found small public libraries in six of the larger towns, “all of them of the subscription type, and open, of course, to white people only” (M. J. Ferguson 1929, 30). Similar subscription libraries for the settlers were found in Kenya (M. J. Ferguson 1929, 33; Pitt 1929, 40–41). Olden (1995, 35) mentioned club libraries, some of which were run by the East African Women’s League, an organization of British women, who were strongly opposed to inclusion of people other than Europeans. The Carnegie visitors did not mention the Seif Bin Salim Library and Free Reading Room that had been established in Mombasa in 1903. It was open to all but contained only Indian literature. In 1942 the Desai Memorial Library was founded in Nairobi, also by Indians (Musisi 1993, 420). It is interesting to note that in Kenya (with a substantial settler population) universities were late in developing, since the focal point of university education in East Africa was in Uganda, a country without a large settler population.27 However, it should be noted that the establishment of a single university to serve a group of colonies forms part of a pre-independence pattern, also found in French West Africa with the establishment of the University of Dakar. In Namibia, a German colony which was occupied by South African forces in 1915 during the First World War, and subsequently ruled by South Africa from 1920 to 1990, libraries were only opened to all races when South African rule ended (Namhila and Niskala 2013, 58). South Africa itself is the most

27 The university college founded in Kampala, Uganda, to serve the three British territories in East Africa became the University of East Africa in 1963. After universities were established in Kenya and Tanzania, it was renamed Makerere University (Muchie n.d., 2).

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extreme example, adopting a democratic non-racial constitution, and opening library services to all only in 1994 after a long and bitter struggle against apartheid.28

11.8.4 Algeria In Algeria, a somewhat similar pattern of LIS development played out under French colonial rule, except that the country already had a long tradition of literacy in Arabic. As a result of settlement by French and other European colonists, by 1962 these made up about one tenth of Algeria’s population. In terms of LIS, the meagre colonial legacy reflected both the tardy development of libraries in France itself, and the French colonial policy, which was to limit access to education by the indigenous population. In addition, the French suppressed cultural institutions which provided education in Arabic and which had generally disposed of significant libraries with books in Arabic. Libraries of Koranic schools were closed and their collections confiscated, as the French colonial regime sought to separate the native population from its original language and culture. In their place came the école franco-musulmane, which substituted French for Arabic, and suppressed any Arabic culture. Their libraries were limited to French. This was to promote the process of “francisation” of the indigenous population in accordance with the French policy of assimilation, which was in any case intended only for a small elite of lower and middle ranking public cadres. By 1930 there were only two Arab libraries left in the whole of Algeria. When independence came in 1962, 80% of the population was illiterate. In addition to municipal libraries serving the colonists and located mainly in cities where these were concentrated, Algeria also had a national library and a university library, the library of the University of Algiers (Hartani 1980, 4–7). The University was restricted to Europeans. Writing about French colonies in North Africa, A.H. Green (1988) commented: In formally colonized areas there occurred intra-European contests over educational policy; liberals wanted to Europeanize their Arab subjects via integrated schools, while settlers, preferring an apartheidlike socioeconomic relationship between themselves and the Arabs, sought to restrict native education to a few vocational schools. By and large, these contests were won by the settlers. The colonial governments therefore tended not to establish new facilities of higher education in Arab lands. The lone exception, the University of Algiers (1859), was restricted to Europeans. . . (A. H. Green 1988, 463)

28 There had been separate but largely inferior and inadequate library services for Black South Africans in certain areas.

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The situation of LIS in Algeria was further exacerbated by destructive violence which marked the end of the French colonial regime, and the departure of most of the European librarians in the mass exodus which followed independence. Further LIS development in Algeria, Kenya, Zimbabwe and Namibia followed much the same pattern as that of former colonies which did not attract significant European settlement, as discussed in the next chapter.

11.9 Exhibit C: The Carnegie Corporation, Canada, and New Zealand As mentioned in the previous section, the Carnegie Corporation of New York made significant investments in four countries, Canada, South Africa, Australia and New Zealand, which share a British colonial heritage and which between the two world wars achieved the status of dominions under the British crown. Being situated in largely temperate latitudes, all four are countries of substantial European settlement. They exhibit some similarities in library development, but also differences which may be related to different histories. Canada and South Africa have longer histories of European colonization, substantially antedating British conquest, and hence some library history antedating British influence. Australia and New Zealand were colonized somewhat later by the British and had no prior colonial heritage. The different LIS development trajectories reflect the intersection of colonial and later American influences. These differences deserve more attention, but here the focus is on the oldest of the four, Canada, and the youngest, New Zealand and on the role of the Carnegie Corporation of New York. For a recent, concise account covering Australia as well as New Zealand, see Ross Harvey (2015), who placed less emphasis on the Carnegie influence and gave more weight to the tensions between their British origins and “Britishness” on the one hand, and their situation “in an Asian and Pacific reality” (R. Harvey 2015, 179). The discussion of Canada and New Zealand in this section is preceded by brief background on the Carnegie Corporation.

11.9.1 The Carnegie Corporation of New York The Carnegie Corporation was not the only U.S. foundation to provide substantial library development assistance to the four dominions, but it is thought to have played a significant if not pivotal role in their library development. Hence some background on the Corporation is in order. Andrew Carnegie (1835–1919), a Scottish-born American industrialist, amassed a huge fortune and devoted

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the latter years of his life to philanthropy. In the process he established over twenty trusts and institutions (Carnegie Corporation of New York 2007).29 One of these is the Carnegie Endowment for International Peace, which after the First World War funded some library-related projects aimed at promoting international understanding (e.g. Witt 2014b). However, Carnegie is best known for making donations for the building of over 2,500 libraries. Most of these donations came through the Carnegie Corporation of New York, which he set up in 1911. Despite its name it is a non-profit foundation. It has a broadly educational mandate, which includes library development in the context of the creation, organization and dissemination of knowledge. Carnegie earmarked a proportion of his endowment for philanthropy in countries of the British Commonwealth, and grants to institutions in Commonwealth countries were disbursed from the British Dominions and Colonies Fund (Rochester 1996, 345–48). Between 1911 and 1961 an amount of over $68 million was spent on library programmes, of which $6 million went to the British dominions (Rochester 1993, 139). In today’s terms these were very large amounts. Before making grants in these countries the Corporation commissioned reports by experts sent there to assess their situation and needs. Programmes were developed in collaboration with key local individuals and a body was selected or created in the recipient country to administer the grants that were then made for various programmes there. Much emphasis was placed on building relationships with key people in the recipient countries. Through a system of travel and study grants, potentially influential individuals and promising postgraduates (Beeby 1988, 41–44) were enabled to undertake formal studies and study tours in the USA and Europe (Rochester 1993, 143–50). Florence Anderson (1963, 3; cited in Rochester 1981, 1–2) identified four periods in the Corporation’s library-related philanthropy. (1) Before the First World War most of the grants were for buildings. (2) During and immediately after that war few grants were made but the basis was laid for a purposeful programme of grants. (3) Following this and until the Second World War, many grants were made for the improvement of libraries and library services. The Second World War interrupted Carnegie grant-making in countries other than Canada. (4) After that war, the Corporation’s focus shifted away from libraries and library-related programmes were largely wound down (Rochester 1981, 292–94). In 1923, at the start of the third period identified above, Frederick P. Keppel became the President of the Carnegie Corporation. He was highly

29 For more on Carnegie’s motivations and his role in the development of American philanthropy, see C. Harvey et al. (2011).

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influential in determining its priorities (Glotzer 2009). His arrival coincided with the release of two reports on library matters that had been commissioned by the Corporation. A report by William S. Learned (1924) considered the potential of public libraries in adult education. He recommended that the Corporation support the American Library Association (ALA) as a means of promoting adult education through libraries. The other report, by Charles C. Williamson (1923), was concerned with education for librarianship. Williamson emphasized university-based education of a theoretical and professional character. This report is generally thought to have contributed significantly to the adoption of what became the American model of postgraduate education for librarians (R. E. Rubin 2004, 449–51). These reports impressed Keppel and as a result the Corporation made very significant grants to the ALA, which took on an important role in administering Carnegie grants, and to develop graduate education for librarians (Rochester 1981, 54–55; 67–69). These emphases were later reflected in the Corporation’s grant-making outside the USA, and notably in the British dominions.

11.9.2 Canada: early library development Canada was the first of the four dominions in which libraries were established.30 The earliest libraries, including private collections and a seminary library, were those of French settlers and Jesuit missionaries and settlers in the early seventeenth century, followed by English fur traders (Morton 1970, 71; I. E. Wilson 2011, 725–26). Direct French influence came to an end with the Peace of Paris in 1763, when the French territories of New France came under British control. This meant that the francophone regions of Canada did not undergo the changes that affected libraries in France during the French Revolution. French influence on Canadian librarianship appears to have been limited, except in francophone Canada. In mid-nineteenth century Quebec a long political controversy arose when the Catholic hierarchy sought to supress impious and immoral books and libraries containing them, and tried to combat their influence by establishing parish libraries under the control of local parish priests (Morton 1970, 76–77). This suggests that the

30 I am indebted to Professor Peter F. McNally, McGill University, for guidance on this section.

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residual French influence retarded rather than promoted public library development, which may explain why francophone Canada lagged behind other provinces in this respect (Lajeunesse 1981, 1983). In francophone communities, children’s and school libraries were also largely ignored (McNally 1986, 38). As discussed in Section 9.13, the libraries of metropolitan France are generally thought to have lagged behind the Anglo-American and Nordic libraries and would hardly have served as models for Quebec. Indeed, a French library educator has mentioned Canadian libraries as a source of inspiration for library renewal in France (Bertrand 2012, 172), and identified the Roman Catholic religious tradition as an impediment to library development in France (Bertrand 2010, 56). Starting in the last quarter of the eighteenth century British North America saw the arrival of subscription libraries, legislative libraries, garrison libraries and private collections. The first mechanics’ institute in Canada was founded in 1827. As in Britain, the mechanics’ institutes were important precursors of free public libraries. Other precursors of public libraries were the school district libraries that were established in certain provinces. The first free public libraries were established in the 1880s and rapidly spread in Ontario (I. E. Wilson 2011, 727–28). The Confederation of Canada was formed in 1867. Canadian provinces have a large degree of autonomy, and this is reflected in considerable differences between them in respect of library development. Generally, however, library legislation, funding and development followed the British pattern that is also seen in the other three dominions, with the province of Ontario setting the pace. Public library development was especially stimulated by the Carnegie philanthropy referred to below.

11.9.3 U.S. foundations in Canada: the Carnegie Corporation Given that Canada has a long, shared border with the United States, the fact that the bulk of Canada’s population lives close to this border, and the close links between the two populations, it should come as no surprise that Canadian librarianship has been much influenced by that of the United States. Two U.S. foundations played a major role. Buxton and Acland (1998, 29) stated that “. . .the Canadian library movement owed its form and direction to Rockefeller and Carnegie support.” The earliest interventions, by the Carnegie Corporation, took the form of gifts to communities that wished to establish free public libraries and undertook to support them (Beckman, Langmead, and Black 1984). This was done on the same basis as in the USA. Between 1901 and 1923 altogether 125 grants were made by Carnegie and his Corporation for

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the erection of public library buildings in Canada.31 Most of these were in the province of Ontario, others in western provinces, only one in the Maritime Provinces and none in the province of Quebec. It is interesting to note that in this province the city of Montreal turned down an opportunity for a Carnegiefunded library building. This was attributed to the opposition of the clergy (Bertrand 2006, 125). The Carnegie donations generated public awareness of libraries, contributing to public library development in Canada. During the period 1912 to 1927 the lion’s share of grants made from the British Dominions and Colonies Fund went to Canada; grants from this fund being made inter alia to universities (Rochester 1995, 368–69). When the United States entered the First World War, the Corporation suspended its support for library buildings. After the war the programme was not resumed. Instead, the Corporation turned its attention to library education, adult education and the library profession, through grants to the ALA (Horrocks 1971, 82–90). In the 1920s the Corporation continued its grant-making in Canada, providing books for college libraries, and grants to library schools. These included a grant for the establishment of a library school at McGill University in 1927–28 (Rochester 1986, 41). The ALA became an important partner of the Corporation in managing its grant-making in Canada (Rochester 1996, 343; Buxton and Acland 1998, 3–4). It is of interest that in the 1929–1942 programme of Carnegie fellowships run by the Carnegie Corporation in cooperation with the ALA to promote the development of library leadership, twenty-three of the 107 awards went to Canadians (P. Sullivan 1996, 439). It would appear that in this instance Canadians, unlike participants from the other dominions, were treated as part and parcel of the American programme. Library associations existed in most Canadian provinces by the Second World War, but until 1946 Canada lacked a national library association.32 Instead, Canadian librarians participated in the ALA, which held its conferences in Canadian cities from time to time. Starting in 1900, various attempts had been made to establish a Canadian library association to serve specifically Canadian interest without competing with the ALA. Modest funding for this was sought from the Carnegie Corporation in the 1920s and 1930s, but neither the Corporation nor the ALA responded favourably to the recommendation on the establishment of a Canadian library association. Instead, the Corporation funded two “demonstrations” (demonstration projects) for rural public library services, in Prince Edward Island and the Frazer Valley, in British Columbia 31 The Canadian Encyclopedia, “Libraries,” http://www.thecanadianencyclopedia.ca/en/arti cle/libraries/, accessed 2018-02-23 32 The Canadian Encyclopedia, “Libraries,” http://www.thecanadianencyclopedia.ca/en/arti cle/libraries/, accessed 2018-02-23

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(Rochester 1995; Buxton and Acland 1998, 3–6). The ALA continued to serve as the intermediary for the Corporation’s grant-making in Canada. Advisory bodies with Canadian members, such as the Canadian Library Council, helped steer Carnegie grants to Canadian projects, effectively keeping the Canadian profession under American tutelage.

11.9.4 U.S. foundations in Canada: the Rockefeller Foundation Towards the end of the 1930s the involvement of the Corporation in library projects declined. At about the same time, the Rockefeller Foundation, which had concentrated its grant-making on higher education and research, especially in the social sciences, developed an interest in college and university libraries. Like the Carnegie Corporation, the Rockefeller Foundation followed the practice of sending an expert visitor to the relevant country or region to assess the needs there and make recommendations on what should be done. Prior to its involvement in Canadian librarianship, the Rockefeller Foundation engaged Charles F. McCombs to assess conditions in Canada. McCombs’s report,33 submitted in 1941, was a milestone in Canadian library development, complementing a 1933 report to the Carnegie Corporation by John Ridington (Ridington, Black and Locke 1933). An informal division of responsibilities developed between the Carnegie Corporation and the Rockefeller Foundation. The result of the American philanthropy was not only felt in terms of library buildings, resources and staffing, but also in public awareness of the importance of libraries. It also led to improved communication and a growing self-awareness among Canadian librarians (Buxton and Acland 1998, 1; 29). This led, ultimately, to the founding of the Canadian Library Association in 1946.

11.9.5 Impact of U.S. philanthropy in Canada Did the American philanthropy bring about a thorough Americanization of Canadian librarianship? In 1938, the Norwegian librarian, Wilhelm Munthe, undertook a lengthy tour of North America at the invitation of the Carnegie Corporation of New York. The tour took him through 36 U.S. states and four Canadian provinces (Munthe 1939, v), but his report barely mentions Canada

33 The McCombs report, Report on Canadian libraries, is reproduced in Buxton and Acland (1998).

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and gives no inkling of any political or cultural differences between the two countries. Today, Canadian LIS workers are integrated in the U.S. professional and academic organizations and systems. For example, Canadian LIS schools are accredited by the American Library Association. Buxton and Acland (1998, 1), while emphasizing the significant role of the two foundations in the development of libraries in Canada, argued that their role has been “ritualistically” referred to in the literature of Canadian library history, with emphasis on the sums of money disbursed, but without relating the library philanthropy to other funding objective and programmes of the two foundations, the assumption being held that the effects were positive. As a result, there had been no examination of “how American philanthropy has shaped Canadian librarianship along particular lines, thereby excluding other possibilities in the process.” This suggests that contiguity and the very close relationship with the American profession may have stifled the development of a uniquely Canadian librarianship.

11.9.6 The colonization of New Zealand The last of the four dominions to be colonized by Europeans was New Zealand, inhabited since the thirteenth century by Maori (or Māori).34 The first formal European settlement, at Wellington, was established in 1840. It was promoted by the New Zealand Company, which based its scheme on the ideas of Edward Gibbon Wakefield. Wakefield had proposed a system of colonization in which the colonists constituted a cross-section of the mother country’s population, representing all classes of society (R. Graham 1996, 134–35). The colonists were an ethnically homogeneous group, overwhelmingly of English (the largest group), Scottish, Irish and Welsh descent (Rochester 1981, 17) (Rochester, 1981: 17). In spite of the distance separating them from Britain, New Zealanders long regarded Britain as home and were fiercely attached to their place in the British Empire.35 There were strong ethnic, cultural and economic ties to Britain, which until British accession to the European Community in 1973, was the main destination of New Zealand’s exports. Dependence on Britain is illustrated by the fact that final examinations in New Zealand’s university colleges were set and marked in Britain until after the Second World War (Rochester 1981, 21). Unlike those of 34 General background information from the Encyclopaedia Britannica, “New Zealand,” https://www.britannica.com/place/New-Zealand, accessed 2018-02-23. 35 “British Empire,” NZ history, http://www.nzhistory.net.nz/war/british-empire-facts-andstats, accessed 2018-02-23.

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Australia, the different settlements in New Zealand soon constituted a single colony rather than separate states. Provincial governments, established in 1853, were abolished in 1876, leaving the colony with only two tiers of government: local and national. This had consequences for library development.

11.9.7 British influence in New Zealand British institutions were quickly implanted in New Zealand by the settlers. By 1840, the majority of the British working class was literate and interest in emigration was stimulated by literature. As part of the propaganda for the new settlement at Wellington, it was promised that a full range of British institutions was to be set up there. There would be a “Literary, Scientific and Philanthropic Institute” which would include a museum and a library. The first initiatives for establishing a library and the equivalent of a mechanics’ institute were taken within a year of the colonists’ arrival. Although the ambitious Institute referred to above did not materialize, various kinds of libraries were soon set up on the British pattern (R. Graham 1996, 135–36). Traue (1998, 162) wrote that “Public libraries came to New Zealand in the baggage, both ideological and literal, of the first colonists.” Elsewhere Traue (2007, 151–52) described the speed with which public libraries spread throughout the colony, reaching “within fifty years of settlement, the highest density, that is, in number of libraries to total population, ever reached in any country or state in the world” (p.152). He drew parallels with the rapid spread of (mainly short-lived) libraries in gold-mining communities in Australia and California. By mid-nineteenth century, the majority of the population was literate and reading had become part of daily life. Hence libraries were set up in quite small communities that had barely been founded, as in the case of the library at Karori, today a suburb of Wellington (R. Graham 1996, 133–34). Graham listed five types of libraries drawn from pre-1850s British patterns: religious libraries, subscription libraries, book clubs, commercial circulating libraries, and institutional libraries (under which he includes mechanics’ institutes). But while the (British) Public Libraries Act of 1850 led to the development in Britain of free public libraries, the development of public libraries in New Zealand followed a different trajectory. Rapid settlement, the large number of small communities, and weak local government contributed to the persistence in New Zealand until the late 1930s of subscription libraries. These were known under various names, including mechanics’ institutes, literary institutes, athenaeums, and public libraries. Mostly they were run by library societies that received government subsidies in terms of the (New Zealand) Public Library Act of 1869, which emulated the British legislation, “as a direct implant from Britain” (Traue 1998, 164). It was

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followed by the Public Libraries Subsidies Act of 1877, which as one of its conditions, stipulated that borrowers had to pay an annual subscription of not less than five shillings (Traue 2007, 153–54). During the second half of the nineteenth century most of these institutions shed their educational and cultural role in favour of recreational reading. Traue (2007, 162) compared the growth of the subscription libraries to the exotic animals and plants that, once introduced into New Zealand, soon became “pests and weeds.” The provision of subsidies to the subscription libraries is an interesting case of policy borrowing gone amiss.

11.9.8 Stalled development of LIS in New Zealand By the 1930s, New Zealand’s initially promising library development had stalled. There were only two substantial free public libraries. Starting in 1905, a number of public libraries had received grants from Andrew Carnegie (Millen 2014). Most public libraries were subscription-based and poorly resourced, and they offered a very limited book stock. University libraries were woefully inadequate (Beeby 1988, 39–40), which is not surprising if one takes into account the unimaginative teaching methods relying on textbooks and lecture notes, the predominance of departmental collections controlled by professors, and tiny book budgets (MacLean 1976, 425). School libraries worthy of the name were almost non-existent. Some eminent personalities such as Sir George Grey (Kerr 2006) and Alexander Turnbull (Hitchings [1966] 2011) had built up substantial private libraries and donated them to public institutions, but there was no national library. The status of librarians was low. Some had passed the examinations of the (British) Library Association and a few had attended library schools overseas (McEldowney 1963, 308; Rochester 1981, 434). The Libraries Association of New Zealand was a body representing library authorities rather than librarians (MacLean 1976, 439). It is against this background, described in a report commissioned by the Carnegie Corporation and published in New Zealand (Munn and Barr 1934), that the Carnegie Corporation embarked on library-related philanthropy in New Zealand.

11.9.9 The Carnegie Corporation in New Zealand Before looking more closely at the Munn-Barr report, it is necessary to refer briefly to prior work of the Carnegie Corporation in New Zealand. The report followed earlier investigations commissioned by the Rockefeller Foundation and subsequently by the Carnegie Corporation, focussing mainly on adult education.

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These led to support for innovative rural adult education schemes including the Canterbury Rural Adult Scheme, which had a library component. Subsequently the Corporation offered collection development grants to the four university colleges36 subject to quite strict conditions. One of the conditions was that their libraries should be managed by trained librarians. Each of the colleges was offered a Carnegie library fellowship to enable an appointee to study at a library school for one year.37 The selected applicants, their backgrounds, studies and travels during the years 1932–1933, and their subsequent careers, have been described by Rochester (1981, 80–91). All of them subsequently assumed senior positions in their colleges, and some played major leadership roles in New Zealand’s library development, but not before overcoming a number of obstacles. Some returning grantees encountered opposition from superiors and colleagues. While in the USA they had been warned in advance “. . .of the strong British bias they would encounter when they returned home. . . Ideas known to have come from America would not be welcome.” The expedient adopted to gain acceptance of American ideas was to seek out and cite examples of British and Canadian libraries where these ideas had been adopted, and to downplay American ideas (Rochester 1981, 89–90, 264–65). Some encountered reluctance on the part of their college authorities to make the investments they recommended and that were required by the Corporation before the collection development grants could be released (Rochester 1981, 69–98). Two of the colleges were not able to meet the requirements before the Second World War broke out. The report, New Zealand libraries: a survey of conditions and suggestions for their improvement (Munn and Barr 1934), generally referred to as the Munn-Barr Report, was an outcome of a visit to the USA by John Barr, of the Auckland Public Library, on a Carnegie grant. While in the USA, Barr met Keppel, who suggested that a survey of library conditions would be a first step in promoting library development. Barr took the idea back to New Zealand and succeeded in persuading the Libraries Association of New Zealand to support the idea. The Carnegie Corporation send Ralph Munn of the Carnegie Library of Pittsburgh to New Zealand and Australia. Barr accompanied him on a lengthy tour of New Zealand during which over a hundred libraries were visited. In addition to

36 Until 1961 the University of New Zealand was the only fully-fledged university in the country. It operated through six constituent university colleges which later became universities. The four then in existence and referred to here were located in Auckland, Christchurch, Otago and Wellington. Wikipedia, http://en.wikipedia.org/wiki/List_of_universities_in_New_Zea land, accessed 2018-10-22 37 These were not the only grantees. Rochester (1981:299–301) listed another fourteen during the 1930s

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setting out deficiencies of New Zealand’s libraries, the report made specific recommendations relating to the functions of libraries (cultural, vocational and recreational), the need for free public libraries, the tax base and subsidies for public libraries, development of urban and rural libraries, regional infrastructure, establishment of a national library, professional training and remuneration, school libraries, and the renewal of the Libraries Association (‘Munn Barr Report on Libraries’ 2014). The report has been described as a turning point in New Zealand librarianship. McEldowney (1963, 307) stated that the report “touched off a revolution in library services,” while A.M. MacLean (1976, 422) credited it with much of the change that took place subsequently, describing it as “one of the mainsprings of the campaign for free service which got underway in the 1940s.” Although in some areas change was delayed by the outbreak of the Second World War, there were some favourable conditions in New Zealand which were not present in either Australia or South Africa. One was the influence of a number of senior civil servants and (from 1935) senior members of the Cabinet who were favourably disposed to the proposed changes. This was related to the general political climate during the 1930s. The Great Depression and the political situation in Europe and Asia led to questioning and readiness for change. In 1935 the Labour Party of New Zealand came to power and introduced a number of welfare programmes and reforms (Oliver [1966] 2009), including reforms intended to promote equality of opportunity to education. In this climate, libraries had to change too (Rochester 1981, 276–78).

11.9.10 Building a national library system in New Zealand The report was followed by significant progress in the building of a national library system. One of the first outcomes was the revitalization of the library association, and this was followed by moves to improve the education of librarians. Challenged by the Munn-Barr report, the Libraries Association of New Zealand was reconstituted in 1935 as the New Zealand Library Association (NZLA) (Bagnal [1966] 2009). Personal members could now join (MacLean 1976, 439– 40). In 1942 the reinvigorated NZLA established a general non-graduate training course by correspondence for library assistants.38 Rochester (1981, 246) interpreted the adoption of the British example as a compromise solution, in view of likely opposition from the British-oriented University of New Zealand. A

38 In 1966 much of the tuition was taken over by NZ Library School

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university-based library school was seen as a desideratum, but was not yet attainable (McEldowney 1963, 310). It came a step closer when in 1946 the New Zealand Library School was established within the County Library Service (see below) and a one-year full-time post-graduate diploma course was initiated (MacLean 1976, 434–36). This was made possible by “a happy combination of circumstances,” when Mary P. Parsons arrived in New Zealand to direct a United States Information Library. Parsons had been the resident director of the Paris Library School (1924–1929) and had taught in library schools in Canada and the United States. She was recruited by the New Zealand government to establish the new Library School (McEldowney 1963, 310). Over time, but not without some initial resistance from older librarians who feared that the new course would be too theoretical, graduate qualifications came to be accepted as a requirement for professional positions (McEldowney 1963, 311–13). Starting in 1950s, there were voices calling for the school to be moved to a university. After a great deal of discussion and negotiation, the certificate course was taken over by the Wellington College of Education and the diploma course by Victoria University of Wellington, which from 1997 offered a master’s degree programme (Millen 2014). Considerable progress was also made in developing a national library service. In 1938, a Country Library Service CLS) was established under the Department of Education to provide services to smaller public libraries, hospitals, prisons, etc. In 1942, the CLS set up a similar service for schools. In 1945, the CLS became part of a wider National Library Service (NLS), to which were added, in 1946, a National Library Centre (national bibliography and union catalogues) and the New Zealand Library School. The proposed national library followed much later. After a long process of deliberation, the National Library of NZ was established in 1966, incorporating the NLS and (briefly) the General Assembly Library,39 and the Alexander Turnbull Library as separate constituent divisions (MacLean 1976, 426–28).

11.9.11 Assessing U.S. influence in New Zealand In her dissertation, Rochester (1981) considered not only the Munn-Barr report but also the travel and study grants, the encouragement of adult education, funds for

39 The General Assembly Library was separated from the National Library in 1985 and became the Parliamentary Library. Wikipedia, http://en.wikipedia.org/wiki/National_Library_of_New_ Zealand#History, accessed 2018-10-23.

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the operation of the NZLA, and the strengthening of college libraries. She hypothesized that library development in New Zealand was substantially changed during 1932 to 1941 by borrowing from American librarianship through the Carnegie programmes. She systematically analysed the changes in New Zealand in relation to the four American ideas on a “refocused role for libraries”: a. The idea of the library as a collection of materials, organized both intellectually and physically for access by users b. The concept of the library as an educational institution c. The conception of organized information as a public resource and responsibility d. The conception of librarianship as a profession, with the need for professional education (Rochester 1981, 150–51).40

She concluded that: Similarity of goals and methods in New Zealand librarianship to those of the United States is apparent for these four focuses. Clearly, American librarianship exerted powerful influence upon New Zealand librarianship (Rochester 1981, 253).

This is not to say that American ideas were warmly welcomed by all. Rochester (1981, 91–98) detailed the reception that returning grantees encountered. A Carnegie grantee, Alister McIntosh, who was employed by the General Assembly Library, reported back to the Carnegie Corporation that the New Zealand press, reporting on his tour, had inserted sub-headings with a British bias in the newspaper reports. He submitted a report to his superior, making detailed recommendations. He was directed to rewrite his report, but the new version was shelved. McIntosh moved to another civil service job, ultimately holding top civil service positions from which he was able to promote libraries (Rochester 1981, 96–98). Rochester (1981, 266) commented: Borrowing of expertise from another country usually brings hostility because of the connotations of cultural imperialism by the donor country. This hostility to the United States was present in New Zealand because of the prevailing British cultural imperialism.

This suggests that New Zealand was caught between cultural imperialism from two sides. Nevertheless, over a period of time New Zealand integrated the

40 It is no coincidence that this list is reminiscent of the six characteristics of American librarianship identified as exportable by Swank (1963). Rochester (1981: 6–7) used four of these as a framework for her doctoral research on American influence in New Zealand.

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American influence by creating compromise solutions appropriate to the conditions in the country. This seems to have been facilitated by a remarkable and ironic convergence of the library ideas of a socialist government with Marxist and British socialist origins (Gustafson 2013) and a foundation set up by a billionaire capitalist. In this process the returning Carnegie grantees served as effective change agents (Rochester 1981, 286). The Carnegie programme of study and travel grants is widely thought to have been its most effective strategy in the long term.41

11.9.12 Comparative comment Canada and New Zealand have a common British heritage and both, as members of the OECD, are among the world’s most affluent countries. There are also significant differences between them in terms of size, demography, economics, etc. The factor that appears to account more than any other for the differences in LIS development is probably location: the contiguity of the USA in the case of Canada, and New Zealand’s isolation in the vast Pacific Ocean. Canadian LIS are very close to those of the USA. To an outsider, they appear indistinguishable. New Zealand, on the other hand, developed its own compromise between British roots, U.S. influence and its location in the Pacific. In both countries the contradictory forces of globalization, are bound to change them. On the one hand, globalization and modern ICTs have reduced New Zealand’s isolation, bringing more U.S. influence on a daily basis as new Zealanders use Google, electronic journal platforms, OCLC, and other U.S.-based global services. On the other hand, globalization engenders renewed awareness and appreciation of difference. Canadians detest being confused with their American neighbours, and resist U.S. influence. To make matters more interesting, in both countries, growing awareness of the heritage and needs of their respective First Nations and the presence of immigrant communities from many cultures, can be expected also to influence LIS development.

41 This account has a limited focus on the role of the Carnegie Corporation. For a recent, concise account covering Australia as well as New Zealand, see Ross Harvey (2015).

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11.10 Conclusion This concludes the discussion of three of the five categories of countries that were identified in Section 11.4. The remaining two categories are dealt with in Chapter 12, where some conclusions will be drawn concerning dimensions of LIS development and aid that are common to the development trajectories described in the country groupings and the five exhibits.

12 LIS development and aid (2) . . .expatriates in ex-colonial countries. . . are caught up in the cultural clashes which they no longer control. This often causes them to become incongruous figures in the landscape, but affords some of them at least unique opportunities for understanding. It is a journalist’s commonplace that anyone who takes up a post in an ex-colonial country will need different interests, attitudes and qualities from those members of that now almost extinct species, the colonialists, who spent their lives abroad in the past. . . The new role, however, carries with it the possibilities of at least vulgar errors, or in some instances total disaster (Benge 1970, 36). The main determinant of the effectiveness of information transfer to a developing country is the ability of the intermediary – individual or organization – to blend the information process with the culture of the particular society or group (Dosa 1997, 9). Stories abound concerning development projects which commenced with a lot of enthusiasm and much excitement, but whose life span came to a crushing halt once the funding ran out, or the foreign facilitators left. . . (Wormell 2002, 147).

Outline 12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8

Introduction 653 Former colonies of limited European settlement 654 Exhibit D: Francophone Africa 672 The former Russian Empire and Soviet sphere of control 678 Exhibit E: The European Union and Central and Eastern Europe Five dimensions of LIS development and aid 696 Systemic aid 715 Conclusion 718

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12.1 Introduction This is the second of two chapters dealing with LIS development and aid. The two remaining categories of countries (as distinguished in Section 11.4) are discussed, with two exhibits. They are followed by a general overview of LIS development and aid in terms of five dimensions common to all the country categories, and a brief section on systemic aid.

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12.2 Former colonies of limited European settlement This section deals with former colonies in which European settlement was not a significant factor, or in which minority rule by settlers was terminated. Consequently, this section covers a large number of developing countries, including most of those in the African, Caribbean and Pacific (ACP) group, and almost all of the least developed countries (LDCs). It is not possible to give a complete overview here. Instead some general trends and typical examples are cited. Africa receives most attention because many of the countries are in Africa, and the LIS development challenges in Africa are arguably the most extreme. Almost two-thirds of African countries are LDCs.1

12.2.1 Pre-colonial conditions There were libraries in sub-Saharan Africa well before European colonization. Although African culture here was predominantly oral (cf. Amadi 1981b, 69–70; Kotei 2003, 17), over twenty indigenous African scripts and related writing systems such as syllabaries, many of great beauty, have been described (Mafundikwa 2006). Some of these scripts, such as the Meroitic and Ge’ez scripts, are of ancient origins, while others were invented during the nineteenth and twentieth centuries in response to colonialism (Le Quellec 2011). The indigenous scripts are not thought to have been widely used (Sturges and Neill 1998, 80), but Arabic script was extensively used in North and West Africa. Under Islamic influence, centres of learning were established, and from the fourteenth to the nineteenth centuries books were collected and traded throughout the Sahara and the Sahel, from Mauritania (Krätli 2004a, 2004b) to Nigeria. Today Timbuktu, which had its golden age during the fourteenth to sixteenth centuries, is the best-known ancient Islamic centre of learning in the Sahel region (Singleton 2004; Diagne 2008), but by no means the only one. In India, emperors and kings supported scholarship and established libraries. As early as the sixth Century CE, ancient universities on the subcontinent had libraries containing large numbers of manuscripts. During the sixteenth to the eighteenth Centuries the Mughal emperors and their courtiers built up magnificent libraries. The Imperial Library was carried away in 1738 by the

1 Thirty-three of the forty-seven countries on the UN’s list of least developed countries are in Africa, nine in Asia, four in the Pacific, and one in the Caribbean. United Nations Committee for Development Policy, “List of least developed countries (as of June 2017),” https://www.un.org/de velopment/desa/dpad/wp-content/uploads/sites/45/publication/ldc_list.pdf, accessed 2018-07-19.

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Persian invaders under Nadir Shah, and others were dispersed as the Mughals declined (Bhatt and Majumdar 2012, 236–47). In South-East Asia libraries were also in existence before the colonial period. In Myanmar, Buddhist monastery libraries and royal libraries held collections of manuscripts. Many of these were destroyed when the British army captured Mandalay in 1885. The surviving documents were dispersed (Wijasuriya, Lim, and Nadarajah 1975, 18). Vietnam has a history of literacy going back at least two millennia. Under Chinese influence a tradition of administration by a bureaucracy of scholar-bureaucrats was established (LePoer 1989). Printing using wooden blocks was introduced in Vietnam at some time after the fourteenth century CE. Before the French conquest of the various polities comprising Indochina, the emperors of the Nguyen Dynasty had developed a significant library and archives at the imperial court in Hué. Unfortunately, the collections suffered serious losses during the wars of the twentieth century (MacMillen 1993; Stueart 2010, 5542). In some countries, literacy was confined to small elites; in others it was more or less widespread.

12.2.2 Colonization Traders, missionaries and consuls representing European interests were among the earliest visitors to bring Western ideas (Akinola 2008). In many cases their impact was destructive and destabilizing. Here slave traders in Africa and opium traders in the Far East come to mind, but the widespread trading and colonizing activities of European companies chartered to trade in the West Indies and in Asia, had far-reaching long-term consequences wherever they operated. In Britain, the East India Company was founded in 1600 as the “Governor and Company of Merchants of London trading with the East Indies.” A charter granted by Queen Elizabeth I allowed it to raise its own army. During the two centuries that followed it succeeded in subjugating a large swathe of South Asia (Dalrymple 2015). The British company and other European counterparts were, however, dwarfed by the Dutch East India Company.2 In terms of its charter, issued in 1602, it too was allowed to wage wars and conclude treaties with Asian rulers, build forts, and enlist soldiers, so that within the geographic region allocated to it, it functioned as an independent state. In addition to capturing or establishing trading stations, it waged wars, forced local rulers to give trading concessions, and when thwarted,

2 Vereenigde Oostindische Compagnie

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subjugated and enslaved the local peoples in the territories it controlled, with little or no oversight from the metropole.3 In 1652 it established a refreshment station at the Cape of Good Hope, setting in motion – unintentionally – the European colonization of South Africa.4 Several European countries also launched West India companies, which traded in West Africa, the Caribbean, and the Americas.5

12.2.3 Initial impact of colonization on the cultural record The impact of missionaries is still the subject of debate. They are accused by some of having colluded with the colonizers, served as agents of imperialism, and brainwashed their converts (e.g. Gifford 2012; Nkomazana and Setume 2016). They have also been blamed for their destructive impact on traditional cultures.6 But while attempting to convert the “heathen” to Christianity and having no cause to preserve native beliefs and practices, missionaries did contribute to the recording of the vernacular languages of the countries where they worked, producing texts in those languages. They imported printing presses, and pioneered the production of tracts, books and newspapers there (Pawliková-Vilhanová 2007; Ranasinghe 2007). The arrival of armed forces to protect trading interests and ensure access to resources heralded an accelerating expansion of Western control, including the overthrow of existing polities and the annexation as colonies of large territories, some of which had an existing literary heritage. In some cases, indigenous knowledge was ignored and disparaged. In others, as in South Asia, indigenous writings were collected and preserved, and received scholarly attention (Sen 2005, 140–46). After the French deposed the Queen of Madagascar in 1897, many documents from the royal archives of the pre-colonial Merina Kingdom were preserved by the colonial authorities; today they form part of Madagascar’s national archives (Kaufmann 1997). In order to better administer and exploit their 3 Encyclopaedia Britannica, “Dutch East India Company,” https://www.britannica.com/topic/ Dutch-East-India-Company, accessed 2018-07-19. 4 South African History Online, “Dutch East India Company (DEIC)/VOC,” http://www.sahis tory.org.za/topic/dutch-east-india-company-deicvoc, accessed 2018-07-19. 5 E.g. the Dutch West India Company (Colonial Voyage: The Dutch West India Company,” https://www.colonialvoyage.com/dutch-west-india-company-wic-west-indische-compagnie/#, accessed 2018-07-19. For a list of such companies, see Wikipedia, “Category: Chartered companies,”https://en.wikipedia.org/wiki/Category:Chartered_companies, accessed 2018-07-19. 6 For example, by former South African President Jacob Zuma: The Guardian, “Jacob Zuma blames Christianity for breakdown of South African traditions,” https://www.theguardian. com/world/2011/dec/21/jacob-zuma-blames-christianity, accessed 2018-07-19.

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colonies, colonial powers invested in scientific research on their resources, peoples and cultures. This led to the establishment of important research libraries in the colonies. In Indonesia, officials of the Dutch East India Company established the Bataviaasche Genootschap van Kunsten en Wetenschappen (Batavian Society of Arts and Sciences) in 1778. Its library was a forerunner of the National Library of Indonesia (Massil 1989). The library of the Asiatic Society of Bengal, established in 1784, was referred to in Section 10.2. In West Africa the French founded a significant research institute, the Institut français de l’Afrique noire (IFAN, French Institute of Black Africa) in 1936 (Maack 1981b, chap. 4). Luyt (2008) has discussed the colonial library as an agency for colonial control. Along with other “knowledge-producing institutions” such as botanical gardens, zoological parks, museums and scientific societies, libraries played a role in the maintenance of colonial rule, as in the case of the Raffles Library in Singapore. In some cases, European philologists recorded folk tales and traditional knowledge. The activities of Sir George Grey, who governed the Cape Colony and New Zealand in the mid-19th Century, were mentioned in Section 1.5. While at the Cape, Grey also employed a German philologist, Dr Wilhelm Bleek, to catalogue his collection. In addition, Bleek assembled an important corpus of material in a language of the San (Spohr 1968), South Africa’s true First Nation.

12.2.4 Library development under colonial regimes The extent of library development, especially development of public libraries, depended very much on the extent of European settlement. In territories where European settlement was inhibited by the tropical climate and other factors, the colonial officials initially established libraries to meet their immediate needs. Small libraries and archives were set up for the use of colonial administrators, and to provide recreational reading for the garrisons and small expatriate communities, for example in Saint Louis, then the capital of Senegal under French rule, and also in smaller administrative centres (Maack 1978, 210–12, 1981a, 211–14). In India, libraries were set up in academic institutions founded by the East India Company and by missionaries. From the 1780s onwards, colleges were founded in major centres; by 1839 there were more than forty, paving the way for legislation passed in 1857 which authorized the founding of the first universities, based on the University of London model. Book clubs and then private subscription libraries were established after the British began to settle there, the earliest being recorded in the 1780s. The Calcutta Public Library, established in 1836, became the Imperial Library in 1903 (Taher 1994, 273–74; Yang 2009, 140) and eventually formed the nucleus of the present National Library of India. Further

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public libraries and many subscription libraries, mainly financed by Europeans for their own use, were established in the first half of the nineteenth century (Wani 2008, 1). The Registration of Books Act of 1867 gave impetus to public library development, including free public libraries such as the Connemara Public Library in Bombay, named after the Governor of Madras, Lord Connemara, and opened to the public in 1896.7 There is also evidence that leading members of the local population actively supported and used the public library founded in Lahore (now in Pakistan) in 1884 (Anwar 2011). In Malaya (later Malaysia), the first Western-style library was founded in Penang in 1817. It was followed by a number of others. They were all subscription libraries, with English-language collections, and were used almost exclusively by British expatriates. At the time of independence in 1957, the British left behind no official provision of library services. A non-profit company, the Malayan Public Library Association, was formed in 1955 and by 1957 it had established 231 libraries with a total book stock of 150,000 volumes, but in the absence of any government involvement, it did not make a long-term impact (Wijasuriya, Lim, and Nadarajah 1975, 33, 39–40). The early library development of another South-East Asian country, the Philippines, which was colonized by Spain, to some extent resembles library development in Latin America, but its LIS trajectory took a different course when the USA defeated Spain and seized the Philippines in 1898. Thanks to the influence of the USA, which controlled the country from 1898 to independence in 1946 (interrupted by a Japanese occupation during the Second World War), the Philippines have had an increasing number of Western-style libraries since the early twentieth century. The USA introduced an American pattern of mass education by a large number of public and private agencies, in which many school libraries was established as a result of a personal campaign launched by an English teacher, Lois Stewart Osborn. By 1932, there were almost 5,000 libraries in public schools (Hernández 1999). The basis for the country’s National Library was laid with the establishment of the American Circulating Library in 1900, which was acquired by the Philippine government in the following year. The University of the Philippines was founded in 1908 (Wijasuriya, Lim, and Nadarajah 1975, 21–23). However, public library development lagged behind (Rasmussen 1982). Generally, library development in African exploitation colonies was aimed at meeting the needs of the colonial regimes: initially to support the colonial

7 Wikipedia, “Connemara Public Library,” https://en.wikipedia.org/wiki/Connemara_Public_ Library, accessed 2018-07-19.

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administrations, and then to promote the language and culture of the colonial power among the inhabitants of the colonies. Writing about university and special libraries in Africa as the British West African colonies were gaining independence, Holdsworth (1961, 254) noted that library development followed a general pattern of three phases. First to be set up were special libraries: “bread and butter” libraries needed for the government of the colony and for the work of those engaged in industry, trade, and the professions. Next came libraries of colleges and eventually universities. Public libraries followed in the third phase. In Nigeria the first phase saw the creation of small special libraries at agricultural research stations, while the need for locally educated officials led to the expansion of schooling and the establishment of a few school libraries. In the second phase libraries were set up in colleges that were founded to provide for vocational and professional education. Universities and their libraries came somewhat later, and public library development lagged behind (Ekpe 1979). Of course, there were exceptions to this pattern, such as the founding of the Lagos Public Library, made possible by a gift from the Carnegie Corporation in 1932 (Ekpe 1979, 14). We may also note the establishment by the British Council of a number of reading rooms in Britain’s African colonies during the Second World War. This was done as a means of providing information about the war from the Allied perspective, or as Ochai (1984, 315) put it less charitably, of distributing British war propaganda. Neither of these initiatives can be seen as a significant extension of public library service to the general population. During the nineteenth century, missionaries contributed to the spread of literacy and Western education. They established schools and colleges, some of which later developed into universities, as in the case of Fourah Bay College in Sierra Leone,8 and the University of Fort Hare, in South Africa, which played a significant role in the education of African political leaders.9 It was not until after the Phelps-Stokes reports of 1922 and 1924 that there was any serious government interest in literacy campaigns in the British colonies (Tabellini 1983, 195). In Francophone Africa, where higher education was the preserve of the central government of France, it was not before 1957 that the first university, the University of Dakar (now the Université Cheik Anta Diop), was founded (Maack 1982, 205–7). As political consciousness grew among the indigenous peoples, the colonial powers increasingly felt the need to secure their cultural influence among 8 Wikipedia, “Fourah Bay College,” https://en.wikipedia.org/wiki/Fourah_Bay_College#His tory, accessed 2018-07-19. 9 University of Fort Hare, “History,” http://www.ufh.ac.za/About/Pages/History.aspx, accessed 2018-07-19.

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them. After the First World War, the Netherlands colonial administration established a huge system of some 2,500 small public libraries, named taman pustaka (gardens of reading), throughout the Indonesian archipelago in order to inculcate Western values and bolster Dutch colonial rule (Fitzpatrick 2008). For the French colonial authorities, the promotion of French language and culture was a high priority. By the 1930s, the French colonial authorities in West Africa became aware that, in spite of their quite limited investment in education, a growing percentage of the local population was literate, and that libraries could serve as a means of propagating French culture. However, the outbreak of the Second World War put paid to any public library development (Maack 1981a, 214–17). After the war, as it became clear that independence for the colonies was inevitable, the colonial powers made efforts to expand education, especially higher education. Prior to independence, universities were established in various colonies and some development of public libraries took place.

12.2.5 Post-colonial library development The issue of education for librarianship in British West Africa is of interest in illustrating the influence of competing British and American influences. In 1958 Harold Lancour, an American library educator, who had been commissioned by the Carnegie Corporation of New York to undertake a survey of West African library needs, advised that education for library leadership was needed and recommended the establishment of a post-graduate library school at the University of Ibadan, Nigeria (Lancour 1958). A substantial Carnegie grant funded the establishment of the Institute of Librarianship at that university in 1960 (Aguolu and Aguolu 2001, 14). In Ghana, on the other hand, it was decided to follow the pattern then obtaining in Britain, where in most cases students were prepared for the examinations of the Library Association in library schools which were not part of a university. In 1960 the Ghana Library Board invited J.C. Harrison, head of the library school in Manchester, England, to make recommendations on the establishment of a library school. Harrison recommended the establishment of a non-university school that would follow the example of British library schools.10

10 Boye (1996) mentions that Harrison did not object to the Ibadan model as such but did not see the need for two graduate library schools in West Africa.

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The Ghana Library School was established in the following year under the Ghana Library Board. As the British system itself evolved towards university-based library education, the Ghana Library School followed suit and in 1965 it was transferred to the University of Ghana as the Department of Library Studies (Boye 1996). As mentioned in the previous section, cross-currents arising from American and British approaches to the education of librarians in Africa had long-term effects in various parts of Anglophone Africa, including South Africa and Nigeria, as well as in former British colonies elsewhere (M. Carroll et al. 2013, 127–30). The period immediately following the granting of independence was something of a golden decade for library development in several of the former British colonies. The creation of new educational and research institutions continued. It was a period of great optimism about the prospects of the newly independent countries and their libraries. National leaders such as Kwame Nkrumah of Ghana and Julius Nyerere of Tanzania, who had emerged from their countries’ independence struggles with great national and international prestige, appeared to be favourably disposed to libraries (e.g. Olden 2005, 428). Although the sentiments they expressed were not necessarily shared by politicians and civil servants (Olden 1995, 142), political support, at face value, was reflected in the establishment of national library services in a number of newly independent countries. These took the form of a centralized national service to administer and supply public libraries and some other types of libraries, throughout the country, as well as to serve (with varying degrees of emphasis) as the country’s national library. This concept was disseminated in various forms to most of the former British colonies in subSaharan Africa, and elsewhere in the British Commonwealth, for example Jamaica, Trinidad (Douglas 1981; Maymi-Sugranes 2002), Malaysia (Singh 1998) and Guyana (Calixto 1994), and in the former South African and Australian trust territories of Namibia (Loubser 2003; Namhila and Niskala 2013) and Papua New Guinea (Malone 1994) respectively. In several cases, the Carnegie Corporation of New York played a role in their establishment. However, such services failed to emerge in Francophone Africa (Maack 1981a). This reflects the slow development of public libraries in metropolitan France, described by Bertrand (2006), as le retard français, described in Exhibit A (Section 9.13). The national library service concept has been referred to as the “AngloAmerican model,” although its origins are contested (Lor 2015c). In Africa, it has been severely criticized as inappropriate to African conditions and having a paralysing effect on the development of community library services (e.g. Mchombu 1982; Sturges and Neill 1990, 1998; Rosenberg 1993).

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12.2.6 LIS development aid The unprecedented scale of UNESCO‘s multifarious LIS development activities was a striking feature of LIS development following the Second World War. As reflected in the pages of the UNESCO bulletin for libraries, promoting library development in developing countries was a priority for UNESCO in its first decades. Libraries, and public libraries in particular, were seen as agencies to be harnessed in support of the organization’s stated aim to “promote peace and social and spiritual welfare by working through the minds of men” (UNESCO 1949). Library seminars were held in the various developing regions: Africa, the Arab states, Asia, and Latin America and the Caribbean (Kaungamno 1985; Parker 1985, chap. 8). UNESCO sent senior librarians as consultants to developing countries (Parker 1985, chaps 8–11; Foskett 1986) and played a major role in the establishment of library schools in the developing regions (Sabor 1965a; Keresztesi 1982; Saunders and Saunders 1994). From 1971, UNESCO/IFLA pre-session seminars, intended for librarians from developing countries, were held immediately prior to the IFLA conferences.11 A series of ten UNESCO public library manuals was published between 1949 (Danton 1949) and 1959 (Galvin and Van Buren 1959), their scope being broadened in 1960 to cover other types of libraries as well. UNESCO also published guidelines, standards and handbooks setting out best practice in various fields of librarianship (Lor 2012b, 271–72). UNESCO was but one of many organizations engaged in LIS development in the newly independent countries and other countries of the South. In the case of the USA, where a range of government and other agencies were involved in delivering LIS-related aid, strategic considerations played an important role, with the containment of communism a key motive. Hence, after Western Europe, countries in South-East Asia and the Middle East received LIS-related aid during the first decades of the Cold War (Brewster 1976, chap. 1). After China came under communist rule, India also became a major beneficiary of U.S. aid.12 During the 1950s and 1960s India received LIS development aid of various kinds from a wide range of agencies in the USA (Konnur 1990). In some cases, American librarians were recruited by Indian authorities to set up libraries and library systems. A number of “specialists” were sent to India under the India Wheat Loan

11 Wilhite’s chronology of IFLA indicates that these pre-session seminars took place almost annually. During the 1980s they lost their “UNESCO/IFLA” branding and gradually took on a more general character as IFLA pre-conferences (Wilhite 2012, 209–97). 12 However, after India reaffirmed its neutrality in the East-West rivalry and refused to join the Southeast Asia Treaty Organization (SEATO) formed in 1954, the USA gave preference to Pakistan, which did join, in its official aid (Brewster 1976, 32).

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Educational Exchange Program and subsequently the U.S. Library of Congress Public Law 83-480 (PL-480) Acquisitions Program. The Wheat Loan Educational Exchange Program, a precursor of the PL-480 Program, was instituted under the India Emergency Food Act, Public Law 48 (PL-48-82). It granted India a loan of $190 million for the purchase of food grains to meet the threat of famine arising from floods and drought in 1950. The first $5 million of India’s interest repayments on the loan was placed in a special account for use in the rehabilitation and development of India’s higher education institutions. Over a period of five years, one million dollars was made available per year for collection development and training programmes for Indian librarians (Konnur 1990, 51–52). Under the Agricultural Trade Development and Assistance Act of 1954 (P.L. 83-480) the USA sold surplus agricultural commodities to foreign countries which paid for them in their own currencies. Following the 1958 Dingell Amendment to PL-480, a portion of this payment was allocated for the purchase of library materials in multiple copies (M. Patterson 1969). These were selected by Library of Congress staff based at regional offices – one of which is in New Delhi – and were distributed to area studies collections in U.S. research libraries (Lorenz 1972, 553–54). The acquisitions activities of the Library of Congress in India were extended to neighbouring countries (Nepal, Sri Lanka and Bangladesh) in 1966. Other activities undertaken included the compilation of accessions lists (a useful contribution to bibliographic control in the region) and microfilming of newspapers from the wider region (a contribution to the long-term preservation of these materials) (Konnur 1990, 99–102). These details illustrate that development aid often benefits the donor as much as, or more than, the recipients. Various U.S.-based foundations also contributed to library development in India, giving grants for collection development, library buildings and LIS education and training. These included the Carnegie Corporation of New York, the Rockefeller Foundation, the Asia Foundation, and the Universal Serials and Book Exchange (USBE; formerly United States Book Exchange) (Konnur 1990, chaps 3, 4). The libraries of the USIS and a number of other American libraries in India also contributed by serving as a model of public library services, making information resources available, and providing training for Indian interns (Konnur 1990, chap. 6). In his longitudinal study of the development of LIS education in Iraq, I.M. Johnson (2016a) chronicled in detail the efforts made within that country by various organizations and individuals and by international agencies in LIS development generally. Various international agencies were involved in providing LIS development assistance, but these activities tended to be piece-meal and uncoordinated. Policy changes in the UN affected UNESCO’s policies. Here and in the various donor organizations, policy shifts affected the selection of

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projects and the allocation of funds. Projects took place against a background of political instability, including a revolution, several coups d’état, and several major wars. The vicissitudes of international politics, including interruptions of diplomatic relations with donor countries, appear to have inhibited long-term planning. Internal cultural factors in Iraq also affected decision making. As a result, LIS development aid came in fits and starts, with development spurts occurring in different LIS sectors at different times. A perennial problem in Iraq was the lack of trained staff and the low status of librarians. Considerable investments were made by UNESCO and the Ford and Gulbenkian foundations in the training of librarians. Their aid included study grants enabling Iraqi students to undertake postgraduate study in LIS, mainly at U.S. universities. This form of development assistance appears to have had long-lasting benefits, as “it created a cadre of well-educated practitioners receptive to new ideas from outside the country, several of whom became the core of the future teachers of a new generation of Iraqi librarians” (I. M. Johnson 2016a, 225). This was important because, as was demonstrated when Iraqi librarians were to a large extent cut off from external information and assistance during the UN embargo of the 1990s, LIS development ultimately depended on the Iraqis themselves. Sadly, this period did not end with renewed development of LIS. In the disorder and civil war that followed the overthrow of Saddam Husain in 2003 and that is still ongoing, libraries have suffered losses of staff, buildings and collections.13 Perhaps more seriously, the intervention set back reconstruction by removing one of the pillars of LIS development, namely a stable and economically viable state.

12.2.7 Obstacles and deviations While Iraq is an extreme case, it is not unusual for LIS development to be drastically redirected following ideological upheavals. In Indonesia, which had received much attention from UNESCO (W. L. Williamson 1999) and where LIS education had been assisted and influenced by institutions in the USA, the UK and Australia, doubts arose in the 1970s about the international influences and the “rigid imposition of Western international standards” on professional education (Rungkat 2001, 266–67). The case of Iran was referred to in Section 11.5. Generally, such breaks in the development trajectory predicted by Krzys and

13 The extent of losses after the fall of Saddam Hussain, especially because of looting, may have been exaggerated. See I.M. Johnson (2005a, 2016a, 343). However, losses in Mosul, recaptured in 2017 after occupation by ISIS, were significant (R. Wright 2017).

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Litton’s fourth law are presented in the literature, explicitly or by implication, as interruptions or aberrations. The developmental norm, it is implied, is to become, bigger, better, more technologically advanced, and more American. In many other countries, LIS development has been brought to a standstill, delayed, or generally inhibited by less dramatic events. Political instability – with or without coups or lengthy periods of kleptocracy and repression – has not favoured the development of education and social services, and libraries have not been a priority. Even in cases where booming exports of natural resources have led to significant economic growth, as in some petroleum exporting countries, the new wealth has not always “trickled down” to the general population.14 Severe economic constraints, such as those brought about by the structural adjustment programmes referred to in Section 7.3, have in some poor countries had a quite devastating impact. In a survey of African university libraries, it was found that the university libraries had become excessively dependent on donor funding ― in some cases donors were providing between 90% and 100% of acquisitions funding, replacing funding that should have been provided by the university from government funding. If donor funding was terminated, acquisitions ground to a halt (Rosenberg 1997, vol. 1, 43–45).

12.2.8 Critical reception of Western LIS The criticism of the Anglo-American model referred to above should be seen in the context of more general objections to the introduction of Western LIS in developing regions, especially in Africa. Apart from Amadi (1981a, 1981b) and Mchombu (1982, 1991, 1998), cited earlier, other critical contributors from Africa included Ochai (1984) from Nigeria, Sène (1992) from Francophone Senegal, and Raseroka (1986, 1994, 1995) from Botswana. A number of British expatriates also made notable contributions. An incisive critique of library development in Africa was contributed by perceptive British observers, Sturges and Neil (1990, 1998), while Diana Rosenberg has written extensively on challenges in the development of African LIS (e.g. Rosenberg 1993, 1994, 1997). In Britain a debate about appropriate LIS development was sparked by an article in the Library Association Record, by Plumbe (1960), who had proposed that British library schools should offer a course in tropical librarianship, the

14 For example: CNN, “Why the wealth of Africa does not make Africans wealthy,” https://edi tion.cnn.com/2016/04/18/africa/looting-machine-tom-burgis-africa/index.html, accessed 201807-19.

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emphasis being on the adaptations necessary for librarianship in tropical climates. The implication was that British librarianship could serve as the standard, it being necessary only to adapt to geographic and climatic circumstances. This evoked a response from another eminent expatriate Briton, Ronald Benge,15 who emphasized sensitivity to the social and cultural values of the developing countries. Brief accounts of the debate can be found in Sturges and Neill (1998, 129) and Poppeliers (2010, 65–66). In Africa the debate on whether there should be an ‘African librarianship’ and if so, what form it should take, is ongoing (Tise and Raju 2015). In other regions the notion that libraries were a universal phenomenon and should follow Western models, was also challenged. By the 1980s, librarians from developing countries, such as Brazil (Briquet de Lemos 1981) and Venezuela (Gassol de Horowitz 1988), were prominent in this discussion, taking critical positions on Western political-economic and cultural hegemony, and citing works of contemporary cultural critics such as Ivan Illich, African philosophers such as Mazrui, Nyerere, Senghor and Soyinka, as well as critics of Western political-economic dominance such as Altbach. There appear to be some regional differences in respect of the reception of Western LIS models. In the 1980s and 1990s there was increasing criticism in Latin America of LIS curricula imported from the USA (I. M. Johnson 2005b, 16–19). Responses to Western LIS concepts in China, Iran and Indonesia were referred to earlier; these coincided with significant cultural and political change. Elsewhere in Asia the criticism appears to have been muted.16 An American library educator, Andrew B. Wertheimer (2009) critically discussed U.S. influence on LIS education in Asia, pointing out the one-way flow of ideas and emphasizing the importance of socio-economic context of libraries. But in China since the Cultural Revolution American librarianship and information science concepts and techniques have been eagerly studied and introduced. The South Koreans, Singaporeans and Malaysians also

15 Benge subsequently published a number of books dealing with the social and cultural context of libraries, including his well-known Cultural crisis and libraries in the Third World (Benge 1979a). 16 Despite its title, The barefoot librarian, the first overview of librarianship in South-East Asia by librarians from that region (Wijasuriya, Lim, and Nadarajah 1975), is a sober, factual and self-critical assessment and had little or nothing to say about what might be a revolutionary concept. The idea they mooted was “to create a new breed of ‘barefoot’ librarians imbued with a strong sense of purpose who see service in out-lying islands and the rural areas as a challenge” (pp.6–7). More recently, various aspects of colonial library development in the Malay Peninsula have been subjected to detailed critical study by Brendan Luyt (e.g. 2008, 2009, 2012). Divergent views on the concept of barefoot librarians have been expressed in Africa (Zaaiman, Roux, and Rykheer 1988, 31–32).

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do not appear to have major reservations about adopting Western library models. I.M. Johnson (2016a, 400) commented that reservations regarding Westerninspired LIS curricula were absent from Iraqi and Arab LIS literature. It would seem that the volume of critical literature emanating from Africa stands out. Why Western models should have been received particularly critically in Africa is a question worthy of comparative research.

12.2.9 Rethinking LIS in the South Various reasons have been advanced to explain the slow pace, or complete lack, of LIS development in parts of the South. These can be summarized as follows: – The imposition of a Eurocentric or Western model by colonial powers (before or after independence) – Top-down imposition of such models by expatriates who failed to imagine a more appropriate way to provide LIS in the countries concerned – Misdirected assistance, especially but not only in respect of book donations – Psychological dependence, leading librarians in the South to believe that everything that came from Europe or North America was necessarily superior – Lack of recognition of the library profession, inducing librarians to cling to the outward signs of professionalism, the arcane mysteries of the librarian, such as the Dewey Decimal Classification and the AACR2 cataloguing code, regardless of whether these are really relevant to their circumstances – Various post-independence problems: political, economic and cultural Rethinking of the role of libraries in developing countries has led to at least two different approaches, one emphasizing the cultural context, the other focussing on the contribution of modern ICTs. A “back to the roots” approach emphasizing the cultural context recognizes that in the South the vast majority of people are poor and live in rural communities, and many are illiterate (Mchombu 1982, 1998; Goodman 2008). This does not mean that they are stupid.17 There is increasing awareness and appreciation of their survival skills and of their deep understanding of their environment.

17 It is hardly necessary to state that an illiterate person is not ipso facto unintelligent or uneducated. Westerners tend to equate education with schooling. However, in traditional communities, great care is given to the education of the children and young people. An illiterate person from such a background may be highly skilled and be very knowledgeable about her

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Thus, there is less disparagement of illiteracy and the concept of “orality” reflects a greater understanding of “the ways of managing knowledge and verbalization in primary oral cultures” (Ong 2002, 1). Against this background, a “back to the roots” approach can be manifested in various ways. One manifestation is a growing appreciation of indigenous knowledge (IK), also referred to as indigenous knowledge systems (IKS). IK is “the unique, traditional, local knowledge existing within and developed around the specific conditions of women and men indigenous to a particular geographic area” (Grenier 1998, 1). It is a form of immaterial culture, in which traditions, folklore, beliefs, values, knowhow, and science are intermingled. It has significant value for sustainable development. IK is transmitted orally and hence vulnerable. It is also dynamic, so that its preservation, transmission and nurture pose a challenge to the library profession (Lor 2004; Kargbo 2005, 2006; Sithole 2007; Roy 2015). Recording IK is important for legal purposes.18 For example, when a bioprospecting19 corporation patents a traditional medicine, it may be possible to challenge the patent in court using the recorded IK as proof of prior knowledge. The government of India set up its Traditional Knowledge Digital Library for this purpose (Balasubramanian 2012). Indigenous knowledge is inextricably interwoven with the culture of the community whose knowledge it is, and with their language. Since concepts are the building blocks of knowledge, all three (culture, language and knowledge) are interrelated and interdependent. None can survive without the other two. Indigenous (vernacular, local) languages are receiving increasing attention. Of the over 7,000 currently known living languages, 13% are classified as “dying,” and 22% as “endangered.”20 Language development and “empowerment” by creating a standard form of the language and encouraging authorship and publishing in it, is seen as important for the survival of endangered languages (Lor

complex cultural and natural environment. She simply never had the opportunity to learn to read and write (cf. Reagan 2005, chap. 1). 18 This is more easily said than done. IK is tacit knowledge and hence difficult to codify. It is embedded in community practices, relationships and rituals. It is dynamic and constantly evolving (World Bank, “What is indigenous knowledge (IK)?,” http://web.worldbank.org/ar chive/website01219/WEB/0__CONTE.HTM, accessed 2018-09-21. 19 For a brief discussion of how the benefits of bioprospecting should be shared, see Millum (2010), who cites the well-known Hoodia case described in a WIPO case study. See World Intellectual Property Organization, “Case study: Hoodia plant,” http://www.wipo.int/export/sites/ www/academy/en/about/global_network/educational_materials/cs1_hoodia.pdf, accessed 201807-20. 20 The Ethnologue, “Endangered languages,” https://www.ethnologue.com/endangered-lan guages, accessed 2018-07-20.

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2012a; Ngulube 2012). It is also very relevant to literacy and library development in the South. One of the main reasons why people in these countries do not retain literacy and use libraries is thought to be the absence of reading matter in their languages (cf. Tötemeyer 2013). Greater understanding of orality has also influenced the development of community information centres, with more attention being paid to providing services to illiterate community members. Given the conditions of poverty, rural location and illiteracy, libraries must adapt, reaching beyond the walls of the library building, and devising new, more relevant services. Various experiments and initiatives have been reported from Africa and some attempts have been made to conceptualize and evaluate them (Stranger-Johannessen 2014; Stranger-Johannessen, Asselin, and Doiron 2015). The village reading rooms of Botswana and the community libraries in Ghana are scaled-down libraries with basic stock and facilities, in some cases using solar panels to generate electricity (Alemna 2001). A more innovative example was RUDIS (Rural Development Information Service), an experimental project carried out in Nigeria in the 1980s (Aboyade 1984, 249–50). Oxfam Canada has sponsored the production of a handbook for developmentally-oriented community information centres run by community-based organizations, incorporating democratic community participation and the inclusion of indigenous knowledge, traditional objects and locally created information, in order to meet “grassroots information requirements” (Mchombu 2004).21 In a number of developing countries, low-technology approaches have been adopted for the delivery of library services, for example, the Biblioburro service of Colombian teacher Luis Soriano, who delivers books to small communities on the backs of two donkeys,22 the donkey-drawn mobile library service initiated by Ethiopian librarian Yohannes Gebregeorgis,23 and camel-drawn libraries in a remote region of Kenya (Ruheni and Tate 2004). These attract much “feel-good” media coverage and some charitable giving, but much as one must admire the initiative and dedication of those concerned, they can reach only a tiny percentage of the rural population. Another response to challenges to LIS in the South places more emphasis on information technology. Of course, in the South there are elite groups whose contributions are critical to national development, e.g. university staff and students, professional practitioners, and government officials. They need well-

21 The handbook was developed in Ethiopia and drew on the experience of a rural village network in Peru. 22 Wikipedia, “Biblioburro,” https://en.wikipedia.org/wiki/Biblioburro, accessed 2018-07-20. 23 BBC News, “Donkeys boost Ethiopian literacy,” http://news.bbc.co.uk/2/hi/africa/7777560. stm, accessed 2018-07-20.

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organized, modern information services, with which many of them, having studied abroad, are familiar. As internet connectivity has spread, it has become possible to offer steadily improving access to the information they need. Since the turn of the century, mobile telephony has spread very rapidly, overtaking fixed lines and expanding broadband access, while information services can increasingly be accessed using mobile phone apps. Although the South still lags behind, there is continued strong growth in mobile broadband subscriptions worldwide (International Telecommunications Union 2017, chap. 1).24 Many LIS graduates, having been exposed to ICTs in the course of overseas studies, want to work in the more “hi-tech” environment. This is a continuation of the problem, noted much earlier (e.g. Gathegi 1990), that LIS staff who have been trained in the USA and other developed countries, experience frustration arising from the mismatch of their training and the conditions back home. This may be alleviated to some extent by improved connectivity. In the early twentyfirst century, it was thought by many pundits that developing countries might “leapfrog” the industrial era and use ICTs to jump straight into the information economy. However, major obstacles remain, and this assumption, which is reminiscent of the more technicist understandings of the digital divide, has been questioned (e.g. Alaoui 2014; Schumpeter [pseud.] 2016). Much development has been technology-driven. Modern ICTs are much more “glamorous” than libraries, which are not widely perceived as useful places to obtain information, and consequently do not attract so much policy or funding support (E. Gould and Gomez 2010). Projects utilizing advanced ICTs are more apt to attract development aid and governmental interest. Modern ICTs have been put to work in various kinds of community information centres. Depending on their scope, these are also referred to inter alia as information resource centres, community multimedia centres, multi-purpose community centres (MPCCs) and telecentres.25 MPCCs can accommodate a range of official and private sector agencies such as a health clinic, an agricultural extension officer, a pension collection point, internet-enabled computers, a computer training unit, a modest library or resource centre, (Underwood and Nassimbeni 1998, 125–26), and in some cases a community radio station (Dralega 2009). A common feature of them is access to the internet. This is especially important in the case of telecentres, which emphasize community access to ICTs (Royer 2013). Telecentres were set up in various countries of sub-Saharan Africa

24 However, it is not easy to read substantial documents on mobile phones and the cost of data services accessed through mobiles remains high. 25 I. Rega (2010, 13–19) reviewed various proposals to distinguish, define and categorize the various types of telecentres. See also Molnar and Karvalics (2002) and Snyman (2007).

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as part of the Acacia Programme on Communities and the Information Society in Africa. This was an initiative of Canada’s International Development Research Centre (IDRC) “to empower sub-Saharan African communities with the ability to apply information and communication technologies [for] their own social and economic development.” It formed part of Canada’s contribution to the African Information Society Initiative (AISI) (Hudson 2001, 159–60). Telecentres were an important component of the ICT4D (ICT for Development) programme (Valk et al. 2014, 41–46). However, interest in ICT4D on the part of international development agencies faded around 2005 (Fuchs 2014). A question worth asking is to what extent the technology-driven movement (telecentres and the like) and the community/orality driven movement will converge.

12.2.10 Western LIS assistance: cynical or well-intended? Some commentators have taken a cynical view of the dissemination of AngloAmerican and Western models of LIS. In the spirit of the critique of colonial and postcolonial relations between North and South, current in the late twentieth century, some saw evidence that in the decolonization process the colonizers made use of LIS to preserve their economic, political, and cultural influence in their former colonies. Writing about the Kenya National Library Service, Rosenberg (1993, 8) argued that, for the departing British, setting up centralized national library services would have fitted into this strategy. She concluded that the Service was “a creation of the departing colonial state” which “did not have its roots in Kenyan society.” However, in a thoughtful account of the Tanzania Library Service, Olden (2005) disagreed with the insinuation that the establishment of such a service was a cynical neocolonial ploy on the part of the British government, aided and abetted by the British Council. He commented: The models introduced in the 1960s may have had limitations, but the documentation from the period indicates that they were introduced in good faith by librarians who were committed to their work. Identifying limitations is easier with hindsight than it must have been for busy practitioners who were building from the beginning in the first years of independence (Olden 2005, 441).26

26 Many of these expatriate librarians came to the South from management positions in British city and county library systems consisting of a headquarters and a number of branches – often comprising more units than there were libraries in the developing countries where they found themselves. It is not surprising that they attempted to adapt the centralized model with which they were familiar to their new environment.

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Decolonization and post-independence development took place against the background of the Cold War, which pitted the Western democracies (and others) against the Soviet Union and its socialist allies. UNESCO was caught up in this struggle.27 Initially UNESCO’s cultural policies were solely based on the Anglo-American tradition. Socialist countries played a minor role, at least until the Soviet Union joined UNESCO in 1954. This also applied to UNESCO’s library work. Laugesen (2009, 70) argued that UNESCO’s library work should be seen against the background of attempts by the USA to project “a U.S. vision of a preferred world order” which was tied to its political ideology and values. In this context, rhetoric about education, citizenship and democracy left unstated an underlying aim to counter Soviet propaganda. It should also be borne in mind that, as stated in Section 10.9, the dominant theory of development during the period under discussion, was that of modernization. Given that development was seen as something that nations underwent as passive recipients of ideas and technology from developed countries, it is not surprising that library development everywhere was expected ultimately to follow the same trajectory as in the North.

12.3 Exhibit D: Francophone Africa The development of libraries in Senegal specifically and in francophone West Africa more generally has been discussed by Maack (1981a, 1981b, 1982).28 Sène (1992) discussed the colonial period up to 1958. Balock (1997) described the situation in Cameroon, while Lajeunesse and Sène (2004) dealt specifically with library legislation in francophone Africa. M.O. Saunders and Saunders (1994) wrote an overview of library development in 23 former French and Belgian territories in Africa.

27 IFLA was also caught up in the Cold War conflict, which generated conflicts and controversies in the international library profession. Although strenuous efforts were made by IFLA’s leadership to maintain neutral positions, IFLA’s origins were mainly in the West (Davis & Feis 2001) and IFLA’s documents reflected a strong Anglo-American influence. 28 Although many languages are spoken there, and these labels raise some fundamental problems (Olden 2015, 146-–47), the former British and French colonies are referred to here as anglophone and francophone countries respectively.

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12.3.1 Colonial library development Much of the library development in francophone West Africa was centred on Dakar, the capital city of French West Africa. French colonization of Senegal started in 1659 with the establishment of a trading post in St Louis, but initially the French presence was exercised through chartered companies which failed to establish administrative institutions. Thus the history of Western books and libraries in the French West African colonies dates from the nineteenth century (Sène 1992, 306), which saw a new wave of French colonial expansion in West and Central Africa. It is known that by 1803 there was a municipal library in St Louis, which had probably been established a year or two earlier. It may have been stocked with confiscated books as was the case in France after the French Revolution, when confiscated books were used to build municipal libraries. The potential clientele for the French library in St Louis was very small. The library served a twofold need: professional (scientific research and administration of justice) and recreational (boosting the morale of homesick colonists). A second library was set up in Gorée in 1855 (Maack 1981b, 11–16). Collections of scientific books were formed during the nineteenth century, as well as collections of legal works and archives. Archivists played the leading role in these early colonial libraries (Maack 1981b, 17–20). Thus, the emphasis was on libraries in the service of the French colonial administration. The latter half of the nineteenth century saw increasing interest in the scientific study of the peoples and resources of the various colonial empires. Research institutes were set up not only in the capitals of the colonial powers but also in the colonies. During this period a few influential conservateurs, who had followed the French government’s elitist training programme and passed the examinations admitting them to civil service positions, played the leadership role in Senegal’s libraries, often combining library and archival roles. As mentioned earlier, the first permanent research institute in French tropical Africa, l’Institut français de l’Afrique noire29 (IFAN), was founded in 1936. By the 1950s, there were a number of academic and special libraries in Dakar. The University of Dakar was opened in 1959, and IFAN was incorporated in it as an institute. With assistance from UNESCO, the first library school in Francophone Africa, the Centre régional de formation des bibliothécaires (Regional Centre for the Training of Librarians) was established in Dakar in 1962. In 1967 it was renamed École de bibliothécaires, archivistes et documentalistes

29 Renamed in 1966 Institut Fondamental de l’Afrique Noire. (Wikipedia, http://en.wikipedia. org/wiki/Institut_Fondamental_d%27Afrique_Noire, accessed 2018-07-20.)

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(EBAD, School for Librarians, Archivists and Documentalists) and integrated into the University as a professional school (Maack 1981b, 193–95). It was intended to promote libraries and reading for the population, but because of the lack of jobs in public librarianship, it had to concentrate on preparing students for other fields such as research libraries, documentation centres and archives (Maack 1981b, 221).

12.3.2 Public libraries and the dissemination of French culture While the French colonial authorities were prepared to make more significant investments in libraries and documentation centres supporting scientific research, library services to the public lagged behind. In the early 1900s, the Governor General of French West Africa, Jules Brévié, urged his lieutenant governors in the territories comprising this federation to foster the development of libraries for work, culture and education. These libraries were mainly used by colonists, but they were occasionally opened to Western-educated Africans (Maack 1981a, 210– 14). Library development in the other colonies followed more slowly (Sène 1992, 320). In the 1930s, libraries came to be seen as a means of propagating French culture. Although the number of Africans receiving schooling was small, the need was felt to provide good quality reading matter to counteract the impressions of European culture that literate young people might form from light popular reading matter. This was seen in the context of France’s mission civilisatrice (civilizing mission) and a humanistic view of colonization, which emphasized solidarity between the French and African peoples and sought to promote a Franco-African culture. The initiative to spread popular libraries through French West Africa came to a halt because of the outbreak of the Second World War (Maack 1981a, 215–17). After the war the theme of cultural synthesis was taken up by a group of African intellectuals led by Léopold Senghor.30 The period between the war and 1960, when all the French West African territories achieved independence,31 was a formative period as the colonial power sought to put in place

30 Léopold Senghor (1906–2001) served as Senegal’s first President (1960–1980). He was a noted French poet, intellectual and statesman. He was one of the founders of the négritude movement. The Guardian, “Léopold Senghor.” https://www.theguardian.com/news/2001/dec/ 21/guardianobituaries.books1, accessed 2018-07-20. 31 Guinea became independent in 1958 after refusing to join the French Community. All the other sub-Saharan French colonies, including those in French Equatorial Africa, achieved full independence in 1960.

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institutions that would serve to maintain French influence after independence. French leaders and officials placed much emphasis on the role of French language and culture. However, ideas for building a coherent system of public libraries did not come to fruition because of lack of support from administrators. Maack attributes this to the fact that the senior officials had been influenced by their own experiences of French public libraries, which were poorly developed. At independence there was no system of public libraries in place in the newly independent nations, and no tradition of government support for public libraries (Maack 1981a, 199–220). Nevertheless, a movement for public libraries developed in the region. The leading spirit in this movement, E.W.K. Dadzie, had received a UNESCO fellowship which enabled him to travel to Europe during 1955–6. He was deeply impressed by the potential of free public libraries he saw in Scandinavia (Maack 1981b, 70, 1982, 119–220), and was instrumental in the founding of the Association pour le développement des bibliothèques publiques en Afrique (ADBPA). It subsequently extended its scope and changed its name to Association internationale pour le développement des bibliothèques en Afrique (AIDBA, International Association for the Development of Libraries in Africa) (Maack 1981b, 185). Persons without professional qualifications could play leading roles in this association. However, this was not to the liking of some members with professional qualifications. In 1973 they formed the Association nationale des bibliothécaires, archivistes et documentalistes sénégalais (ANABADS, National Association of Librarians, Archivists and Documentalists of Senegal), in which non-professionals were excluded from leadership positions, allowing the professionals to concentrate more on “technical interests” (Maack 1981b, 211). This reflects both the elitism and the gulf between the scholarly libraries and public libraries that have characterized French librarianship. Maack (1981b, 220) commented: Although the discussion of technical concerns among colleagues is important in upgrading the competence and knowledge of practitioners, it reflects a turning inward rather than an innovative approach to those social and political factors that have inhibited library development in the region.

This illustrates the continuity between colonial and post-colonial policies and practices that is emphasized by Maack (1981b, 78–79). French policy towards its former colonies in Africa was to tie them as closely as possible to France, politically, economically and culturally. This was made easier by the relatively amicable transition to independence. There was little political pressure to change, so that policies of the colonial government were continued in the newly independent countries. A telling example is found in the University of Dakar, which continued to follow French structures and policies, to the extent

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that the initial plan for its new library, constructed after independence, followed the standard plan for university libraries in France in accordance with a regulation going back to 1878 (Maack 1981b, 124). Promotion of French language and culture was central to French development aid, which was significant (Maack 1981b, 148). During 1959–1975 a number of French cultural centres were set up with circulating libraries. The aim was to increase access to French books and to encourage African authors to write in French. A Bureau du livre (Bureau for the Book), set up in 1963, distributed nearly 600,000 books to twenty-five of these cultural centres in Africa. Book clubs were organized, and prizes offered to young African writers with the aim of creating a culture “inspired by France but rooted in African experience” (Maack 1981a, 217–18). Throughout, during the colonial period and after, the emphasis was on French language and “civilization” – to the exclusion of any other, be it vernacular or from elsewhere. For the French, libraries were a means of extending French cultural influence (Ochai 1984, 313–14). In spite of efforts by Dadzie and his colleagues in the ADPBA to emulate the UNESCO-promoted model of a national public library service (mentioned in Section 12.2), it proved impossible to sell this idea to French officials or to Senegalese officials educated in France. A widespread system of free public libraries did not exist in France and officials had not been exposed to this concept (Maack 1982, 218–20). As shown in the discussion of le retard français in Exhibit A (Section 9.13), this is not merely an Anglo-American criticism. Given the state of public libraries in France, it is not surprising that francophone Africa fell far behind anglophone Africa in this respect (Maack 1982, 230). However, in the decades following independence some innovative developments occurred there in a somewhat different context, that of cultural promotion. Sturges and Neill (1998, 198) reported on an “ambitious network of centres,” known as centres de lecture et d’animation culturelle en milieu rurale (CLAC). There being no exact English word for the French animation, this term can best be translated as “rural reading and cultural promotion centres.” By 2009 some 212 of these had been set up in sixteen francophone African countries with French technical assistance and funding. Initially this came from the French Agence de cooperation culturelle et technique (ACCT, Agency for cultural and technical cooperation), and later from the Organisation internationale de la francophonie.32 It is interesting to note that books provided to the libraries of these centres are not limited to publications in

32 Officially translated as International Organization of la Francophonie. Organisation internationale de la Francophonie, “Welcome. . .,” https://www.francophonie.org/Welcome-to-theInternational.html, accessed 2018-02-27.

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French published in France. Locally published materials, including those in local languages, may be purchased as well (Organisation internationale de la Francophonie 2009).

12.3.3 Pervasive French influence French influence on library development in its former African colonies is immense and pervasive. It has persisted well after these colonies became independent, thanks to development aid and programmes aimed at promoting French language and culture. Resistance to this influence has been low. From the detailed study of Senegal by Maack (1981b) it is evident that after two decades of independence a number of characteristics of librarianship in that country – and by extension other francophone African countries – mirrored those of librarianship in France: – The low priority accorded to public libraries but, on the positive side, the emphasis on reading and culture – The primacy of scientific libraries, which in some respects were more highly developed than in anglophone Africa – The presence of documentation centres, rather than Anglo-American special libraries – A high degree of centralization, with instructions emanating from the capital – leading to a high degree of concentration in LIS, in the first place in Dakar, and secondly in coastal colonial capitals, with little LIS development in French Equatorial Africa – A cumbersome bureaucracy – A hierarchical and elitist staffing structure – The modelling of library training on the French pattern – Various aspects of library administration and services: closed stacks, shelving of books by size and accession number, and the payment of fees for library membership. However, over time awareness has grown of the need to depart from the French model, and to recover and preserve indigenous culture (Maack 1981b, 224).

12.3.4 Divergence of francophone and anglophone Africa It is clear that the LIS development trajectories of francophone and anglophone African countries diverged significantly. Ochai (1984, 310–11) stated that “the

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biggest determinant of library development in tropical Africa is the European country that colonized the area.” The differences between anglophone colonies with significant European settlement and those without such settlement are minor – a matter of the pace and sequence of development – in comparison with differences between anglophone and francophone Africa. In her comparative analysis of the British and French colonial legacy in West Africa, Maack (1982) emphasized that the wholesale transplanting of library philosophy, techniques and professional organization from the respective colonial powers, should be seen as one element in a broader colonial legacy that shaped the library environment in West Africa. This legacy included the administrative and political structure of each country, the social agencies created before independence, the economic infrastructure, and finally, the cultural priorities transmitted by the governing power (1982, 231).

These largely determined development aid, language and book policies. The latter particularly affected the development of indigenous languages and the languages chosen for publications. They also determined what emphasis was placed on the roles of libraries (e.g. education versus culture), and what priorities were accorded to different types of libraries (Maack 1982, 231–40).

12.4 The former Russian Empire and Soviet sphere of control The territories added to the Russian Empire and those that subsequently came under Soviet domination do not fit comfortably within a schema of pre-colonial, colonial, and post-colonial library development. Nevertheless, there are sufficient similarities to deal with them here. The expansion of Muscovy, in 1462 a duchy of 20,000 square kilometres, to create the Russian Empire, the largest country in the world, stretching from the Baltic to North America and southwards into the Caucasus and Central Asia, represents one of the most extensive processes of colonization in the history of the world. By the early Nineteenth Century, approximately one half of the Russian Empire’s population was composed of ethnic minorities (Dziewanowski 1997, 22–27). At the end of the Second World War the Soviet Union added almost 690,000 square kilometres of territory and extended Moscow’s control over Central and Eastern Europe, North Korea and Outer Mongolia, comprising some 120 million inhabitants (Dziewanowski 1997, 266).33

33 For a brief inside account written before the break-up of the Soviet Union see Kanevskij (1983).

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12.4.1 Sovietization The Baltic republics (Estonia, Latvia and Lithuania), and other western border territories that were incorporated into the Soviet Union, for example Ukraine (Shpilevaya 2010) and Moldova (Anghelescu 2004), as well as the countries in Central and Eastern Europe that remained autonomous but came under Soviet control and were referred to popularly as Soviet ‘satellites,’ were subjected to a policy of Sovietization.34 Dziewanowski (1997, 274–75) described the “gradual assimilation of local political, socioeconomic and cultural patterns” which took place at different speeds and under different degrees of duress in Central and Eastern Europe. The assimilation involved inter alia the break-up of large landed estates, collectivization of agriculture, confiscation of all large private enterprises, and the “reshaping” of the cultural patterns of each country “to emphasize atheistic education, socialist realism and folklore elements in art.” The economies of the countries were made subservient to that of the Soviet Union, a system of reciprocal military alliances allowed the stationing of Soviet garrisons on their territories, and they were cut off from the West by psychological as well as physical barriers (the ‘Iron Curtain’). This was generally accompanied by Russification, where the use of the Russian language was promoted at the expense of national languages. For example, in Lithuania, library collections were purged, and most works by Lithuanian authors were destroyed (Gudauskas 1994, 278). Countries in Central and Eastern Europe, such as Czechoslovakia (e.g. Hervey 1998), Hungary (e.g. Monok 2006), and Poland (e.g. Wozniak-Kasperek 2010) that came under Soviet control after the war already had long traditions of literacy and the book, they were intimately connected to European scholarship, and had developed libraries in that tradition. They had looked to the West before the Soviet Union forcibly changed their cultural orientation. Writing about Romania, Anghelescu (2001, 233) referred to this as a “derailment” of Romanian library development. The Soviet system of censorship known as Glavit was extended to countries occupied by the Soviet Union (Newth 2010). After the founding of the Comecon,35 the Soviet Union promoted centralized and standardized systems for the management of libraries and information resources in these countries. The pivot of the system was VINITI, the All-Union Institute of Scientific and

34 The acronym CEE is used here for Central and East European. 35 Comecon: Council for Mutual Economic Assistance, an organization led by the Soviet Union for economic cooperation among the countries under its tutelage and other countries with communist-regimes. See Wikipedia, “Comecon” https://en.wikipedia.org/wiki/Comecon, accessed 2018-07-20.

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Technical Information, in Moscow, while an organization called Informkultura, based at the Lenin State Library, developed public library models for the East Bloc and Third World Countries (Richards 1999, 2001). In the individual countries, three LIS sectors were controlled by the central governments: the system for scientific and technical information (at national, ministry and regional levels) controlled by the ministry responsible for science and development; national and general public libraries controlled by the ministry responsible for culture; and higher education libraries controlled by the ministry responsible for higher education. Since services and products of the national information systems were virtually free, there was no economic mechanism to provide feedback on their efficiency. The systems gradually became more expensive and less efficient (Butrimenko 1997, 73). Not only scientific and technical information was affected. Soviet policies, which “imposed a propaganda mission on libraries and kept this work under permanent and stringent supervision” (Kuzmin 1993, 570), were implemented in the satellite countries. In the Soviet-occupied zone of Germany, which became the German Democratic Republic (GDR), the Soviet policies were applied with German thoroughness. Here the lack of foreign currency and an isolationist attitude inhibited the replacement of war-time losses as well as the acquisition of current material from the West. Socialist policies favoured the development of a dense network of public and workplace libraries – a far denser network than in West Germany – but because of ideological considerations these offered readers a much more limited choice of reading matter. Buildings deteriorated because of lack of funds for maintenance and renovation. The use of information technology in libraries fell far behind in comparison with the West (U. Wimmer and Seadle 2014, 198–202). In Lithuania, censorship and restrictions on collection building, lack of currency for purchasing foreign publications, and isolation of the library profession from developments in other countries were negative factors. On the other hand, as libraries were reorganized following the Soviet pattern, Lithuania’s National Central Library greatly expanded the country’s networks of public, technical, vocational school and professional union libraries, organized on a national and regional basis, as well as a network of libraries for the blind, so that by 1990 there were eleven library networks comprising 1350 libraries (Gudauskas 1994, 278–81) – a large number considering that the population was 3,7 million in that year.36 In the case of Estonia, Lepik (2014, 184) pointed out that, while Soviet

36 Population pyramids of the world from 1950 to 2100: Lithuania 1990, http://populationpyr amid.net/lithuania/1990/, accessed 2018-07-20.

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rule “significantly distorted the role of libraries,” there were also positive elements, including the expansion of Soviet-style public libraries, development of current and retrospective bibliography, and progress in higher education and research in librarianship and bibliography. In Hungary a large-scale library system was envisaged with regional coordination and service centres for different types of libraries. Six separate networks were provided, for public libraries, trade union libraries, libraries of the armed forces, special libraries, higher education libraries, and school libraries. However, funding was inadequate, and librarians were not motivated to collaborate and provide user-friendly service. Public library use declined towards the end of the communist era (Németh 2014, 214– 214). In Romania the state’s tightening ideological control resulted in the termination of formal education for librarianship. Education for public librarians was reduced to periodic training sessions (Şerbănuṭă 2017, 628–34). Commenting before the fall of the Berlin Wall, Nabatova (1983, 79) stated that under Soviet rule LIS development was “characterized by the rapid development of public library networks and mass publication of books at moderate prices.” Books were indeed cheap, but rigid ideological control meant that readers had less choice. This seems to have been something of a Faustian bargain: more libraries and service points, but more limited collections.

12.4.2 Post-Soviet LIS development After the fall of the Berlin Wall in November 1989, major changes affected library development in the CEE countries that had been to a greater or lesser extent under the sway of the Soviet Union. For our purposes these include Yugoslavia, Albania and Romania, each of which had broken away from Soviet control well before 1989 to follow their own variants of communism. Of the former Soviet republics, the three Baltic states are also included here, since they had been autonomous before the Second World War.37 A number of articles and book chapters deal with librarianship in CEE countries as a group or in a subset of CEE countries. The most recent and useful of these is Anghelescu (2014). Other, earlier overviews that remain of interest are by Pateman (1995), Szánto and Futala (1996), Butrimenko (1997) and Sroka (1997), while articles dealing with specific

37 For Russia itself, see Neubert and Klim (1998), and for the former Soviet republics in the Caucasus and Central Asia, see Butrimenko (1997), Champeny (2010), I. M Johnson (2013c, 2013b, 2014), Lorkovic (2007). Manoogian (2010), Rahmatullaev and Khabibullaev (2012), J.V. Richardson (2013), Garibashvilli (2015) and Bekbalaeva (2017). For Mongolia, see C.A. Johnson and Yadamsuren (2010).

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themes in the CEE countries, such as library automation and information technology (Borgman 1996; Lass and Quandt 2000) and scholarly communication (Krysiak 1996) also cast light on library conditions after 1990. What follows is based on these and on a number of articles and book chapters dealing with LIS development in individual countries. A notable feature of the literature is suggested by the last names of some of the authors from outside the region: they include senior librarians and academics based in the West who are exiles, descendants of exiles, or descendants of pre-communist emigrants from CEE countries, and who return to their countries of origin to advise and assist. This is supported by anecdotal evidence. Research on this aspect of the CEE diaspora would be of interest. A number of general themes emerge from the literature: a) Challenges due to disruptive change b) Hunger for technology, expertise and material assistance c) Sources of expertise and resources d) Legislation and structure e) Reconnecting with cultural roots f) Reconnecting with the world g) Cultural, organizational, and psychological change h) Geopolitical factors a) Challenges due to disruptive change: Immediately after 1990, if not already somewhat earlier, the difficult economic transition to a “free market” economy had dire consequences for libraries in most CEE countries. Libraries were affected by the general economic problems and more specifically by the disruption of the book chain. Formerly, large numbers of books that were aligned with communist ideology were published and distributed regardless of demand or their economic viability. This changed when the state publishing and distribution system was no longer subsidized. In the Czech Republic, the previous state distribution system for books and periodicals disintegrated, and the book market collapsed (V. Richter 2014, 164). The liberalization of the media and the airwaves introduced new TV stations and video stores to compete with books and reading for the attention of the population (Bobinski and Kocojowa 1998, 141). In most CEE countries a reduction in funding was accompanied by a decline in the number of libraries, but not all kinds of libraries were affected to the same extent. For example, in Hungary the transition led to large-scale closures of libraries of trade unions, special libraries of state-owned enterprises which went bankrupt, and armed forces libraries, while other types of libraries were less affected (Németh 2014, 214). In the Czech Republic, there was a drastic reduction in the R&D sector, and the number of information centres and

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units declined from 1,800 in the late 1980s to around 210 by 1995. There were similar declines in other CEE countries. At the same time the gratis delivery of information services and publications from the centralized Soviet system of scientific and technical information dried up. Lacking roubles, former recipients in the CEE countries were unable to pay for them (Butrimenko 1997, 73–75). Liberalization led to large-scale reorganization of library collections. Foreign books as well as domestic publications previously considered dangerous and kept sequestered by the communist authorities, could now be made freely available, for example in Macedonia (Kostoska et al. 2014, 268). However, integrating the material into the collection required much work. It was also necessary to weed ideological and propagandistic material that attracted little demand. In Poland this could amount to 30% or 40% of public library collections (Bobinski and Kocojowa 1998, 142). In the Czech Republic, while censorship had been lifted, librarians had no money for purchases (V. Richter 2014, 169). b) Technology, expertise and material assistance: Western technology, expertise and material assistance were seen as providing solutions to the problems being experienced. In most cases automation initiatives predated the political changes but had been hampered by outdated technology. From 1990 onwards, there was much emphasis on automation and the use of ICTs more generally. This was reflected in the development of networks and consortia, the compilation of national databases and the retrospective conversion of national bibliographic data (e.g. Jelusic, Stricevic, and Badurina 2012; József et al. 2012; Lepik 2014). Access was sought to Western databases. Digitization soon became an important theme, with some emphasis on the showcasing of national culture and special collections, as in Macedonia (Kostoska et al. 2014, 276–77). In public libraries, the provision of computer technology and internet access for public use, along with IT training for staff and the public, were seen as a means of modernizing services and attracting users (Anghelescu 2014; Lepik 2014). c) Sources of expertise and resources: Three U.S.-based foundations were particularly active in providing assistance to libraries in the CEE countries. The Andrew W. Mellon Foundation emphasized support for higher education through the modernization of academic libraries. It enabled academic libraries in a number of countries, primarily Hungary, Poland, the Czech Republic, and Slovakia, to acquire integrated library systems to automate their procedures (Borgman and Caidi 2000). Not surprisingly, in Poland this led to the adoption of American bibliographic standards such as USMARC and LC Subject headings (Śliwińska 2014, 305), which were more compatible with U.S. software. While the Mellon Foundation supported the building of national library networks and the forming

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of academic and research library consortia, notably in the Baltic states (Vilks and Dreimane 2014, 242–44), the Bill and Melinda Gates Foundation Global Libraries Program, concentrated on public libraries “as engines for individual and community development” (Fried et al. 2014, 127). The first project of the Global Libraries Program was in Latvia and focussed on the installation of computers and software, improvement of Internet access, training of staff, and computer literacy of users in the country’s public libraries. Software was donated by the Microsoft Corporation, as distinct from the Gates Foundation (Vilks and Dreimane 2014, 133). The most overtly political mission was that of the Open Society Foundations, a network of foundations set up by the Hungarian-born American philanthropist George Soros. Following the fall of the Iron Curtain, Soros moved quickly “to seize the revolutionary moment,” setting up a network of foundations in the CEE countries and in former Soviet republics with the explicit aim of building “vibrant and tolerant democracies whose governments are accountable and open to the participation of all people.”38 The Open Society Institute in Budapest (OSIBudapest) coordinated initiatives outside the USA (Anheier and Toepler 2010, 1111–12). Library programmes included assistance in gaining access to foreign electronic journals through EIFL (Electronic Information for Libraries, initially known as eIFL.net). The free availability of information was seen as a means of fostering an open society.39 OSI programmes also promoted multiculturalism, freedom of speech, and critical thinking (Vilks and Dreimane 2014, 240–42). The collapse of communist regimes was seen as an opportunity for the West to “liberate” the CEE countries from Soviet dominance and to tie them more closely to Western Europe. The U.S. State Department expanded its American Corners program in the region (Anghelescu 2014, 120–21). The westward expansion of the European Union is dealt with in Exhibit E (Section 12.5) below. d) Legislation and structure: In several countries new and quite comprehensive library legislation was enacted. In some cases, e.g. Estonia and Lithuania, this gave a prominent role to the country’s national library (Lepik 2014, 186; Macevičiūtė 2014, 257–58), in others to a national ministry such as, in the case of the

38 Open Society Foundations, http://www.opensocietyfoundations.org/about, accessed 201807-20. 39 Ironically, in the late 2010s the OSF’s championing of “vibrant and tolerant democracies” was not to the liking of Hungary’s increasingly authoritarian right-wing government, the hostility of which in 2018 led it to shut its office in that country and move to Germany. (Reuters, “Soros foundation to shut its office in ‘repressive’ Hungary,” https://www.reuters.com/article/ us-hungary-soros-office/george-soros-foundations-office-to-pull-out-of-hungary-idUSKCN1I G0IT, accessed 2018-07-20.

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Czech Republic, the Ministry of Culture (V. Richter 2014, 165–66). Guidelines for such legislation were formulated by the European Bureau of Library, Information and Documentation Associations (EBLIDA) for the Council of Europe (Council for Cultural Co-operation. Culture Committee 2000). The guidelines dealt with the roles of libraries in relation to freedom of access to information and freedom of expression, as well as cultural issues (Vitiello 1996b, 2000a, 2000b). The emphasis on legislation may possibly be explained by the need to reorganize the library systems of the CEE countries, and a need for stability and direction in a time of drastic change. The lingering influence of a tradition of centralized, top-down control probably played a role as well. e) Reconnecting with cultural roots: In the literature there is a recurring emphasis on the history, culture and languages of the country concerned, and an eagerness to harness digitization as a means of rescuing the national heritage, e.g. in Macedonia (Kostoska et al. 2014). To some extent national memory and national languages suppressed during the communist period had been preserved by exile groups in the West. For example, there were more than 90 Latvian libraries in the West by 1980. After 1990, these groups declined and many of their collections were repatriated (I. A. Smith and Štrāle 2006). Many saw the communist period as an interruption of their countries’ historical links with Western Europe. The fall of the Iron Curtain enabled the CEE countries to reconnect with a common European heritage. The development of online public access catalogues and websites has enabled national libraries in CEE countries to make their holdings available worldwide. They are also participating in collaborative projects with libraries in Western Europe (Sroka 2002, 66–68). f) Reconnecting with the world: While some librarians in the Soviet Union and the CEE countries had for decades participated in organizations such as IFLA and the FID, since 1990 librarians in the CEE countries have shown renewed interest in participating in international organizations such as IFLA and the Conference of Directors of National Libraries (CDNL) and in European organizations such as the Conference of European National Libraries (CENL) and the European Association of Research Libraries (LIBER).40 The pursuit of international cultural exchanges and international library relations, for example with the British Library, OCLC, and the World Digital Library of the U.S. Library of Congress, seems particularly noticeable in the case of the smaller countries, such as Macedonia (Kostoska et al. 2014, 277–78).

40 LIBER stands for Ligue des bibliothèques européennes de recherche.

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g) Cultural, organizational, and psychological change: The post-communist challenges faced by the CEE countries were such that political liberation, democratization, technological innovation and freedom to communicate and travel internationally did not suffice to complete a transformation. Freed from ideological constraints, librarians were confronted by challenges arising from radical economic reorientation and the advent of new ICTs (Macevičiūtė 2014, 254). The communist system left a culture of centralized decision making which inhibited initiative. At a time when librarians urgently needed to reposition their institutions in a new economic and social environment, professional attitudes were slow to change (Németh 2014, 214–15). A change of library culture was needed: decentralized accountability at the institutional level and more democratic management for open, user-friendly, proactive, innovative, and creative librarianship (Lepik 2014, 185). As part of a process of renewal, politically discredited library associations were reorganized or replaced by new ones. Library education was also modernized, with strong influences coming from certain European Union (EU) programmes, especially the Erasmus programme (Krakowska 2009). h) Geopolitical factors: As has been suggested above, it would be naive to attribute the West’s assistance to the CEE countries entirely to altruism. Western firms were quick to see commercial opportunities. This is illustrated by the alacrity with which U.S. corporations offered their services shortly after the Romanian revolution (Amery 1998, 117–18), the donation of Microsoft software to Polish libraries, and the Visa Europe “Money IQ” programme promoting financial literacy in Romania (Fried et al. 2014, 136, 138). The work of the American foundations is generally aligned with U.S. foreign policy and with a push to promote neoliberal economic policies. For Europe and NATO, the break-up of the Soviet Union represented the lifting of a threat that had hung over Europe for more than four decades. There was an understandable desire to make sure that the “liberated” countries did not revert to communism or fall under the sway of Russia again. For better or for worse, the various library assistance and development programmes contributed to this purpose.

12.4.3 Some conclusions The fall of the Berlin Wall and the disintegration of the Soviet empire opened the gates to Western LIS influence in the CEE countries. Many LIS aid projects were linked to cultural diplomacy programmes motivated by geopolitical concerns: the desire to establish Western democratic and capitalist systems everywhere, to weaken the links between Russia and its former satellites, and to tie the latter to the West. Although this motivation has been criticized, it should be remembered

12.5 Exhibit E: The European Union and Central and Eastern Europe

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that the CEE countries were generally oriented towards the West before the Second World War. The changes which followed the fall of the Berlin Wall, produced considerable discomfort for individuals who had grown up under communism, but the general impression from the literature is that the new ideas were favourably received and implemented quite rapidly – although not at the same tempo in all of the countries, some of which continue to lag behind. The Western influence was primarily Anglo-American, and – judging by the literature, in which admittedly American contributions predominate – more American than British. Some of the American influence was direct, through the U.S. Department of State, philanthropic foundations and corporations working in tandem with U.S. foreign policy objectives. But Anglo-American influence was also mediated through European institutions, as Europe scrambled to bring on board ten CEE countries that were earmarked for accession to the EU. This influence emanated from multiple centres, for example, Nordic assistance to the Baltic states reflected historical ties preceding the Second World War. As the ten initial CEE countries entered the EU accession process, attention shifted to the south-east and east, to those ex-Yugoslav republics whose accession to the EU had been delayed by warfare, and to former Soviet republics in the Caucasus and Central Asia, which were less likely candidates for accession.

12.5 Exhibit E: The European Union and Central and Eastern Europe For at least three decades, the European Union (EU) has provided the setting for growing intra-European interaction and influence in LIS. This influence has expanded in three dimensions, in terms of: (1) the degree of integration of EU members; (2) the EU’s geographical expansion through increased membership; and (3) its influence on its neighbourhood, i.e. countries in adjacent regions which are not seen as likely to join it in the foreseeable future. This section focuses on dimension (2), the eastward enlargement of the EU into Central and Eastern Europe, including the Baltic states and the Balkans – referred to here collectively as Central and Eastern European (CEE) countries – but excluding former Soviet republics other than the Baltic states.

12.5.1 Political background The EU developed from the European Coal and Steel Community (formed in 1951) and the European Economic Community (EEC), which was formed under the

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Treaties of Rome of 1958, with six member countries, Belgium, France, (West) Germany Italy, Luxemburg and the Netherlands. The name European Union (EU) was adopted under the Treaty on European Union (“Maastricht Treaty”) in 1992, which entered into force in 1993 (Egenhofer et al. 2011, 3–20).41 This treaty expanded the areas of EU policy to a number of areas of relevance to LIS, including education (Article 149), vocational training (Article 150), culture (Article 151) and research and technological development (Articles 163–173) (European Commission 2002). In response to the subsequent enlargement of the EU, the Treaty of Lisbon of 2007 brought about sweeping reforms intended to improve decision making in a greatly enlarged organization (Pinder and Usherwood 2013, chap. 2). Under the Treaty of Lisbon the EU has six main organs (Egenhofer et al. 2011, 20–51; Pinder and Usherwood 2013, chap. 3).42 For our purposes the European Commission (EC) is the most significant of these. The EC is the executive arm of the EU. It proposes laws and oversees the implementation of EU policies and the expenditure of EU funds. Each member country contributes one commissioner, who handles a policy portfolio and oversees one or more executive departments, which are called directorates general.43 Policies, programmes, and funding for LIS projects emanate from the EC. Among the directorates-general are several that are relevant to LIS. One of these is the Directorate General (DG) for Communications Networks, Content and Technology (DG Connect), which is concerned with creating the EU’s “digital single market” and seeks to foster innovation, creativity, technology for competitiveness, etc.44 The DG for Education, Youth, Sport and Culture (DG EAC) is responsible inter alia for the Creative Europe programme and the Erasmus+ programme, about which more below.45 Since its beginnings as a community of six countries the EU has expanded considerably. By 1995, most of the countries of Western Europe had joined. The major exceptions were Norway and Switzerland. After the end of Soviet

41 The name European Union is used here to refer also to the pre-1993 European Economic Community (EEC) and to cover EU organs such as the European Commission (EC), which is directly responsible most of for the LIS-related programmes. 42 Information about these and other European Union institutions can be found on the EU’s official web site, Europa.eu. The section “EU institutions and other bodies” at http://europa. eu/about-eu/institutions-bodies/index_en.htm, provides links to the relevant pages. Accessed 2018-07-20. 43 For a current list of the DGs and other units, see the European Commission web page at http://ec.europa.eu/about/ds_en.htm, accessed 2018-02-26. 44 DG Connect mission statement, https://ec.europa.eu/info/what-we-do-communicationsnetworks-content-and-technology_en, accessed 2018-07-20. 45 Education & Culture, https://ec.europa.eu/info/departments/education-youth-sport-andculture_en, accessed 2018-07-20.

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control of Central and Eastern Europe in 1991, the EU was enlarged eastwards to include ten CEE countries, with at least seven more countries in various stages of the complex process of application, candidacy, and preparing to accede to the Lisbon Treaty (Fontaine 2010). On 1 July 2013 Croatia became the 28th member of the EU. A distinction is often made between the fifteen “Old EU” countries, which had acceded to the treaties by 1995, and the “New EU” countries, i.e. the CEE countries which acceded subsequently. At time of writing the United Kingdom, which had joined in 1973, was set to leave the EU in March 2019. From the initial and continuing emphasis on a common market in which people, goods and money can move freely across the national borders of its member states, the EU has extended its influence to most aspects of national life, including libraries and domains relevant to LIS, such as cultural heritage, education, information-related rights, information technology, intellectual property, languages, science and technology and social services.

12.5.2 EU LIS programmes Because they are a national or local responsibility, libraries are among the areas in which the European Commission does not intervene in order to regulate (Iljon 1998, 151). Nevertheless, LIS are affected both directly and indirectly by European integration and expansion, their impact being felt in three main areas: intellectual property law, information technology in libraries and related institutions, and LIS education. The regulation of intellectual property and related rights by the EU, including harmonization of copyright46 (cf. Rabina and Johnston 2009, 343–44; de la Durantaye 2010; Cook 2011) has had major implications for libraries (Norman 2001). A number of EU programmes and initiatives have been directly concerned with libraries, starting in 1984, when a draft resolution to create a bricks-andmortar “European Library” for the EU as a counterpart to the U.S. Library of Congress was discussed in the European Parliament. This proved unrealistic,

46 The well-known EU Copyright Directive, also known as the Information Society Directive, is officially known as “Directive 2001/29/EC of the European Parliament and of the Council of 22 May 2001 on the harmonisation of certain aspects of copyright and related rights in the information society.”

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but the idea gave rise to European interest in upgrading Europe’s libraries more generally (Vitiello 2014, 4) and led to discussions about greater cooperation among European libraries (Iljon 1988). Since then various “framework programmes“47 falling mainly within the remit of Directorate General XIII (DG XIII), now DG CONNECT, have included LIS-related projects, notably in the “Telematics for Libraries” programme of 1994–1998 (Vitiello 1996c, 2014; Iljon 1998; Ramsdale and Fuegi 1999; Aslan 2012). Significant research funding was provided for a range of projects relating to digital libraries and digital preservation, including open science, open access, text and data mining, and the ongoing copyright reform needed to facilitate these (Ayris 2017; Cousins 2017). The EU’s significant impact on LIS education has mainly been exercised through programmes concerned with higher education generally, such as TEMPUS, discussed below.

12.5.3 Political background to EU enlargement To join the EU a country’s government must be prepared to sign the treaties and “respect the principles of liberty, democracy, respect for human rights and fundamental freedoms, and the rule of law” (Fontaine 2010, 16). It must also meet the “Copenhagen criteria” which relate to stable democratic institutions, a market economy capable of functioning in the EU environment, and the administrative capacity to meet the obligations of membership. This includes adopting and applying the full body of EU laws (Fontaine 2014, 8–9), known as the acquis communautaire (Jamet 2011, 579). This is to ensure that the new members can fit into the EU, particularly into the economic system. After signing an association agreement, candidate countries are not left to their own devices. The EC helps them catch up economically with the existing members by “investing in physical and human capital, innovation, the knowledge society, adaptability, the environment and administrative efficiency” (Fontaine 2010, 32). Accordingly, since the 1990s there has been much emphasis on upgrading the political and economic institutions in the CEE countries. This process is also referred to as Europeanization. The EU’s influence is not universally seen as benign and positive: Schimmelfennig and Sedelmeier (2005, 1) have pointed out that the relationship between the EU and the CEE countries is asymmetrical and they have likened it to a quasi-colonial situation:

47 The framework programmes (FPs) are the EU’s instrument for funding multi-disciplinary, multinational, collaborative research across Europe.

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The desire of most CEE countries to join the EU, combined with the high volume and intrusiveness of the rules attached to membership, allow the EU an unprecedented influence on restructuring domestic institutions and the entire range of public policies in the CEE countries.

12.5.4 LIS-related co-operation with the CEE countries LIS in the CEE countries have not been left unaffected by this wide-ranging restructuring of domestic institutions and public policies. Before the accession of the CEE countries, DG XIII commissioned a study on ‘Library Economics in Central and Eastern European Countries’ covering ten countries, as an aid to policy making (Fuegi 1997). Valm (1999) outlined the assistance provided to the ten CEE countries that had signed association agreements with the EU in the 1990s. In the belief that library co-operation between the old and new EU members could contribute to building democratic and prosperous societies, the EU libraries programme was opened up to them, and their participation in the Telematics for Libraries programme was facilitated. Valm described Estonia’s participation in EU programmes in some detail, while the impact of EU programmes on LIS in Lithuania has been described by Petuchovaite, Vilar and Bawden (2003). LIS education has been an important area of cooperation between old and new EU members. One of the EU schemes which has had a significant impact on LIS education in the CEE countries was TEMPUS (Trans-European Mobility Programme for University Studies). TEMPUS initially aimed to promote the development and adaptation of higher education in the CEE countries, focussing on those preparing to join the EU. It was then extended in successive stages (designated by an array of acronyms)48 to encompass other potential EU members, e.g. in the Balkans, and later to other countries in the Mediterranean basin and the former Soviet republics (L. McGowan and Phinnemore 2015, 463–64). By 2011, there were 29 partner countries (Ruffio et al. 2011, 7–8). TEMPUS mainly operated through joint European projects (JEPs) each of which involved at least one higher education institution in a CEE country and at least two in the old EU (L. Wilson

48 TEMPUS II, III and IV, TEMPUS-TACIS, TEMPUS-CARDS, TEMPUS-MEDA. Of these TEMPUS-CARDS (Community Assistance for Reconstruction, and Stabilisation) is most relevant here. It operated in the Western Baltic and included those former Yugoslav republics that had suffered from instability and violent conflict. See Wikipedia, https://en.wikipedia.org/wiki/Eu ropean_Union_acronyms,_jargon_and_working_practices#CARDS, accessed 2018-07-21. Web sites and pages devoted to the various EU programmes tend to be relocated frequently and to disappear soon after the funding for them comes to an end. Researchers are well advised to download relevant materials as and when they find them.

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1993, 92–93). From 2014 TEMPUS and all of the EU’s other programmes for education, youth and sport were combined in the Erasmus+ programme.49 The TEMPUS programmes were not limited to LIS, but LIS education and library and information services were impacted through many cooperative projects in which LIS schools in the old EU partnered with LIS schools in the CEE countries. These projects involved student and staff exchanges, the development of new curricula, and improvement of equipment and infrastructure for improved teaching and learning (I. M. Johnson 2013a, 79–80). Two examples follow. In Hungary during 1990–1993 a TEMPUS project aimed to update curricula for LIS studies, and improve the relevant infrastructure, at the Eotvos Lorand University, Budapest. It involved a partnership with two library schools in the old EU, one in Hannover, Germany, and the other in Deventer, the Netherlands (Fulop 1995). Also in Hungary, with the assistance of universities in Denmark, Germany and the UK, Project ‘LISTEN’ (Library and Information Studies Education Network) supported the development of the two schools of librarianship, as well as user education activities at three other higher education institutions (I. M. Johnson 1997). LIS-related TEMPUS projects were reported from most other CEE countries, including Albania (Marinoni, Mazzon, and Moretto 2002), Macedonia (Kostoska et al. 2014), Poland (Makin 1999; Śliwińska 2014), and Serbia (Matutinovic and Kosanovic 2012). After 1991 the Nordic countries (three of which, Denmark, Finland and Sweden, are EU members) seized the opportunity to renew historical relations with the three Baltic republics, Estonia, Latvia and Lithuania. Virkus and Harbo (2002) described the similarities and differences between these countries and their higher education systems in some detail before describing various cooperative programmes in LIS education impacting on LIS education in the Baltic countries. These included initiatives within the ambit of the EU as well as specifically Nordic initiatives to extend the “Nordic higher education space” to the Baltic countries. One example is the Nordplus programme, which encompasses all the Nordic countries as well as the three Baltic countries. It aims inter alia “to strengthen and develop Nordic educational cooperation and contribute to the establishment of a Nordic-Baltic educational region.”50 Typically, reports on TEMPUS projects mention a range of other EU programmes and funding sources, such as Erasmus (cf. Krakowska 2009), Leonardo da Vinci (cf. Repanovici and Landøy 2014) and Socrates. The Bologna Process,

49 European Commission press release 2013-11-19: Green light for Tempus+, http://europa.eu/ rapid/press-release_IP-13-1110_en.htm, accessed 2018-07-21. The EC annually publishes a useful guide to the Erasmus+ programme (European Commission 2017). 50 See Nordplus, http://www.nordplusonline.org/, accessed 2018-07-21.

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which aims at the creation of a European Higher Education Area in which educational qualifications are mutually recognized and mobility of students and academics is facilitated (Chevillotte 2008), is also often mentioned in this context (Krakowska 2009, 3–5; Tammaro 2011, 19–21). It comprises all EU members but is not limited to the EU. LIS-related cooperation in European programmes gave rise to a number of European professional bodies. One frequently mentioned in this context is EUCLID (European Association for Library and Information Education and Research), which was founded in 1991 as a forum for Europe’s LIS schools to promote communication and facilitate participation in EU programmes (Harbo 1994; I. M. Johnson 2000, 2013a). A highly regarded offshoot of EUCLID is BOBCATSSS,51 an annual symposium held since 1993 under the auspices of EUCLID. Each BOBCATSSS conference is hosted by a EUCLID member school and is organized by students at a LIS school in a CEE country in partnership with students at a LIS school in the old EU (I. M. Johnson 2000, 10–11). Although some reservations have been expressed (e.g. I. M. Johnson 2013a, 80), the effect on LIS education is mostly seen as positive. Pors and Edwards (2001, n.p.) asserted that TEMPUS and similar programmes “provide immeasurable benefits to the Eastern partners,” pointing inter alia to the acquisition of computer equipment, funding for IT courses, enhanced influence and prestige of librarians in their institutions, and greater competence in strategic thinking. Opportunities for contacts with colleagues from institutions in the West were important (Śliwińska 2014, 310). Considering the benefits to partners in the West, Pors and Edwards (2001) and Pors (2002) pointed out that TEMPUS programmes entailed considerable effort but provided valuable learning experiences for the Danish educators as well as for the students from the CEE countries. Benefits for the participating schools in old EU countries include staff development, as well as financial and promotional benefits for the school (I. M. Johnson 1997; Hopkinson 2014). In the new EU countries, LIS schools have implemented modern teaching and learning methods (Virkus 2007, 14) as well as updated curricula more compatible with those in the old EU countries (Juznic and Badovinac 2005). There has been an increase in research collaboration among LIS workers in western and eastern EU countries, resulting in numerous conference papers and journal articles (Teodorescu and Andrei 2011).

51 The name BOBCATSSS is derived from the names of the LIS schools that formed the initial partnership: Budapest, Oslo, Barcelona, Copenhagen, Amsterdam, Tampere, Sheffield, Stuttgart, and Szombathely (I. M. Johnson 2000, 11)

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12.5.5 Beyond the European Union Space constraints allow only a brief discussion of the EU’s influence beyond the new EU members and those in the process of joining. However, the EU very soon directed some attention further eastwards. Already in 1991, the TACIS (Technical Assistance to the Commonwealth of Independent States) programme was launched to provide technical assistance to the former Soviet republics (other than the Baltic states) in Eastern Europe, the Caucasus, and Central Asia, along with Mongolia. The late 1990s and early 2000s saw a number of TEMPUS TACIS aid projects within the Russian Federation itself following the TEMPUS pattern of partnerships between institutions on each side of the former EastWest divide. These included projects to modernize academic library management and introduce automated library systems in Siberia (Francis 1998, 2002) and WWW-enabled “electronic libraries” in Russia, Uzbekistan and Mongolia (Myhill 1997), and to develop a strategic plan for the St Petersburg University Library (Savenije 1998). After 2000, the focus of European projects appears to have shifted from the Russian Federation to the Balkans and to the Caucasus and Central Asian republics. The latter shift coincided with a period of growing Russian assertiveness and increased competition with the West for influence and control of energy resources in Russia’s former sphere of influence in Central Asia. An example of a TEMPUS project in these former Soviet republics is the New Masters Programmes in Librarianship and Information Science (NMPLIS), which was intended to modernize professional LIS education in Uzbekistan and two Caucasian republics, Armenia and Georgia. As in other TEMPUS projects it involved partners within and outside the EU, being supported by higher education institutions in four EU member countries, one of which was a CEE country. The project revealed the difficult conditions obtaining in the recipient countries as well as problems arising from the lack of coordination among various organizations active in the recipient countries (Hopkinson and Zargaryan 2009; Corradini 2013; I. M. Johnson 2013b, 2014). Attention also shifted to the south-east, to those former Yugoslav republics whose accession to the EU had been delayed by the Yugoslav Wars of 1991–2001, and which were considered to be “potential candidate states” (Garrard and Leckey 2010, 24). Two of them, Slovenia and Croatia) have in the meantime been admitted to the EU. In addition, the EU and the Council of Europe have also shown an interest in cultural relations with Europe’s “Southern Neighbourhood,” especially the Middle East and North Africa, which were included in the scope of TEMPUS since its third phase (2000–2006) (Ruffio et al. 2011, 7–8). Promoting peace and stability in that region is in the interest of countries on the northern shores of the Mediterranean, as the refugee crisis of recent years illustrates.

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12.5.6 The Council of Europe Mention should be made here of the Council of Europe, which is not to be confused with the Council of the EU. It is an intergovernmental organization with 47 members, spanning the continent of Europe, from Iceland to the Urals and beyond to the Bering Strait.52 It has been active in promoting cultural cooperation and promoting respect for human rights, the latter through the European Court of Human Rights.53 The Court’s scope includes information-related rights such as freedom of expression, privacy, and the protection of children, with particular emphasis in recent years on the internet (Sturges 2000) and the balance between freedom of expression in cyberspace and other human rights, for example the combating of racism and xenophobia (Brennan 2009), with implications for the management of public access terminals in libraries (Sturges 2001). The Council of Europe has also concerned itself with various other matters of indirect relevance to LIS, including electronic publishing and democracy (Vitiello 1997), cultural legislation (Mucica 2003), and language policy (Candelier 2003). The Council of Europe’s LIS-related activities in the CEE countries were linked to cultural policies and programmes, culture being regarded as critical to the development of democracy. Vitiello (2014, 5–6) has described the Council’s “Electronic Publishing, Books and Archives” programme and its guidelines on library legislation and policy, referred to in Section 12.4 above. LIS-related programmes, numerous until the 1990s, appear to have petered out, but the Council remains active in cultural programmes relevant to libraries, including cultural exchanges and the development of cultural policies in the Black Sea region and the Caucasus, where the STAGE (Support for Transition in the Arts and Culture in Greater Europe) programme included a library component (Mucica 2003, 9; I. M. Johnson 2013b, 2–3).

12.5.7 Closing observations Expansion of Western LIS influence into Central and Eastern Europe and beyond can be seen as an example of the mode of policy transfer labelled by Ochs and Phillips (2004, 9) in their “continuum of educational transfer,” as “negotiated under constraint,” where transfer of policy is typically required in terms of 52 Council of Europe, “Who we are,” https://www.coe.int/en/web/about-us/who-we-are, accessed 2018-07-21. 53 European Court of Human Rights, http://www.echr.coe.int/Pages/home.aspx?p=home&c=, accessed 2018-07-21.

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bilateral or multilateral agreements.54 It is clearly driven at least in part by the West’s geopolitical concerns. As suggested by Schimmelfennig and Sedelmeier (2005), the EU has provided the governments in the region with powerful incentives to submit to assessment, accept advice, and follow instructions from the West. However, in addition to what we might call a “push factor,” a “pull factor” also operates. It is evident from the literature that at least a substantial group of LIS leaders and professionals – especially younger professionals – have been seizing with some alacrity the opportunities the geopolitical changes have offered to modernize LIS in their countries along Western lines. The ultimate question concerns the long-term effects of Western influence. The literature suggests that outcomes are related to the economic progress and political stability of the recipient countries. This is illustrated by the differences among the ex-Yugoslav republics. Continued and significant Western influence will also depend on relations between the West and the recipient countries. It is likely that modernized and cooperative programmes of LIS education will have more lasting effects than the transfer of technology and resources. International LIS education programmes promote understanding, networking and collaboration across borders. The European LIS literature includes many examples of international cooperation among libraries in European countries. This ranges over many themes, in such diverse areas as multilingual subject access (ClavelMerrin 2004), the benchmarking of ISO 9001:2000 based quality management systems (Balagué and Saarti 2009), and the state of European school libraries (Marquardt 2008). It appears that over time a “European library space” has developed, with a climate favourable to European LIS collaboration. This is also reflected in the emergence of a number of European LIS bodies mentioned above, such as the CENL, EBLIDA, EUCLID and LIBER. It remains to be seen whether something intangible might be lost as librarians turn toward Western technology and efficiency. Given the resurgence of right-wing nationalist parties in various CEE countries, and a growing backlash against EU policies and directives, the ultimate outcome of the EU-mediated innovation processes cannot be predicted with any sort of certainty.

12.6 Five dimensions of LIS development and aid This section gives an overview of LIS development and aid in terms of five dimensions that are common to all the country categories that were dealt with in

54 Cf. Figure 9.6 in Section 9.11.

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Sections 11.5 to 11.9, and Sections 12.2 to 12.5 above. They are summarized under the following headings: 1. 2. 3. 4. 5.

Personnel Clients Collections Technology Vision

Under each of these relevant development aid activities are also referred to. A brief discussion of systemic LIS aid follows this section.

12.6.1 Personnel Against the background of historical events and within societal structures, LIS development has been shaped by individuals. Where development is the result of external influences, three groups can be distinguished. (1) In many cases the first on the scene were foreigners who came from abroad to share their ideas and expertise. Some of them came from non-library backgrounds, such as missionaries. Others were sent to the country concerned as colonial officials or as consultants. (2) A second group was formed by nationals who travelled abroad and returned to their countries with insights and expertise, who were able to visualize the benefits that their institutions and peoples could gain from LIS. These include emigrants from Asian and African countries to the USA and other countries with more advanced LIS, who studied there, returned home and were subsequently significant carriers of foreign influence, particularly into those countries where they spoke the local language and few foreigners did. (3) Individuals from the first two groups were able to transmit their vision to other nationals, receptive individuals who joined in making the vision a reality. Already in the 1920s and 1930s, under the leadership of Frederick Keppel, the Carnegie Corporation of New York cultivated an informal network of “key men” who had been identified by Carnegie visitors in the recipient countries. The Corporation nurtured them and relied on them to implement the programmes it funded (Beeby 1988, 40–44; Glotzer 2009). In her dissertation, Rochester (1981) traced the careers of the Carnegie Corporation’s key men (and a few women) in New Zealand. The point that in LIS development individuals matter has been underlined by I.M. Johnson, who devoted a significant part of his study of the development of LIS education

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in Iraq to the role of significant individuals, and researched their backgrounds, personalities, motivations and achievements. Many of these individuals were Iraqis (I. M. Johnson 2016a, vol. 2, Appendix 5).55 Professional development in the broadest sense encompasses a vast range of individual and corporate initiatives undertaken from the earliest phases of library development; not only formal education for LIS, but also professional communication through attendance at meetings, professional associations, and professional literature. In the form of education and training of librarian and information workers, professional development has been among the earliest vectors of international library influence and drivers of LIS development. It is thought to be a highly significant factor, if not the single most important factor. This was recognized by the Soviet Union, which trained a huge number of LIS workers from the socialist and developing countries. P.S. Richards (1998) estimated that at the turn of the century there may have been as many as 20,000 Soviet-trained information professionals working in the developing world. The impact of education is significant not only in the five country categories discussed above, but also in developed countries. Professional development initiatives and aid can be classified along several axes: – Informal, non-formal and formal56 – Duration – Overseas or in-country – Scope: general or specialized – Target groups Early learning was informal and non-formal. In the Nineteenth Century, individuals from other countries who found themselves in the USA for various

55 Johnson described this part of his study under the heading of ‘prosopography’ (I. M. Johnson 2016a, vol. 2, 404–406). Prosopography is defined by the Concise Oxford of current English as “a description of a person’s appearance, personality, social and family connections, career, etc.” 56 Informal learning is learning resulting from daily life activities. It is mostly unintentional from the learner’s perspective. Non-formal learning takes place in structured situations, including conferences, which do not have formal curricula, syllabi, certification, etc. It is intentional from the learner’s point of view. It does not lead to certification. Formal learning is structured and takes place in education or training institutions. It is intentional from the learner’s point of view and leads to certification. (CEDEFOP: European centre for the Development of Vocational Training, “Validation of non-formal and informal learning,” http://www.cede fop.europa.eu/en/events-and-projects/projects/validation-non-formal-and-informal-learning/ european-inventory/european-inventory-glossary#N, accessed 2018-07-21)

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reasons (as political exiles, economic migrants, or students and visiting scholars in other disciplines) discovered American libraries, were impressed, and returned home to advocate for American-inspired library reform. For examples from nineteenth century Germany, see Chaplan (1971). Their experiences can be classified as informal education. Increasingly professional meetings and publications offered opportunities for non-formal education. Formal education in LIS followed. Between 1887 and 1929, more than 90 Norwegians are thought to have attended American library schools. They had an enormous impact on librarianship in Norway (Danton 1957, chap. 3). This does not mean that public librarianship in Norway (and the other Nordic countries which were also significantly influences by American LIS philosophy and practice) were thoroughly Americanized. Here, as elsewhere, new syntheses were created, and ultimately a “Nordic public library model” emerged which in turn influenced LIS in other European countries (Torstensson 1993). All three forms of education have continued to the present time. Study grants and scholarships enable librarians from the South to gain formal qualifications in the USA, UK and other countries. Although the Carnegie Corporation of New York is best known for the library buildings it financed, perhaps its greatest impact was felt through education. Starting in 1928, a number of promising young librarians from the British Empire were sent to the United States as Carnegie fellows to study library science, returning with U.S. degrees. Others received travel grants. Most came back to occupy positions of influence in the profession, introducing American library practices and technologies. Some of the Carnegie alumni became directors of university libraries and started library schools in their countries (Rochester 1996, 348–54). British LIS schools such as the College of Librarianship Wales in Aberystwyth and Loughborough University have had a similar impact in the Commonwealth. There continues to be a steady flow of overseas students through enssib (the École nationale supérieure des sciences de l’information et des bibliothèques) in Lyon, France. Many students from South America have passed through various Spanish Universities, notably Barcelona, Granada and Carlos III de Madrid. Similarly, a generation of African librarians who studied in Moscow and other East Bloc cities during their national liberation struggles is now reaching retirement age. Two questions have arisen about formal education programmes. (1) Is it better for students from the South to travel to attend educational institutions in the North, or is it preferable for educators from the North to travel to the South to establish or strengthen education offered there? Over time, more and more LIS education programmes have been established in the South. In addition to LIS schools established with assistance from UNESCO

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and other international bodies in the 1960s and 1970s to serve regions of the developing world, new centres of LIS education have emerged in developing countries, for example, in Botswana, South Africa and Singapore, which are of regional significance, and which are closer to regional concerns. The commencement of formal in-country LIS education is regarded as a significant milestone in LIS development. (2) How relevant are curricula at LIS schools in the North – or for that matter, those curricula when introduced elsewhere – to the needs of the South? This is an old question, raised especially in relation to different cultural and social contexts, and to gaps between the technological capacities of donor and recipient countries. But it may be argued that this question overstates the North’s influence and underestimates the capacity of the South to contribute its own inputs and develop curricula to meet its own needs. More recently, some assistance projects have been designed to ensure that new LIS programmes are designed by the staff teaching them to meet their perception of local needs and are not slavish replicas of the Western partners’ curricula (e.g. Cortez et al. 2007; I. M. Johnson 2014). Both of these questions were addressed in a literature review by C.A. Johnson (2007). In formal LIS education, internationalization57 has a long history, but political and technological developments have given rise to new opportunities. Within the European Union, the Bologna process has promoted the harmonization of curricula, compatible nomenclature, transfer of credits, quality assurance and mobility of scholars and students across countries (I. M. Johnson 2013a; Tammaro 2014). After the fall of the Berlin Wall and the breakup of the Soviet Union, preparations for the accession of CEE countries to membership of the EU, gave rise to various programme and schemes of cooperation between LIS schools in the West and the East, and the modernization of LIS curricula in Eastern Europe (Juznic and Badovinac 2005). These also benefited former Soviet republics in the Caucasus and Central Asia (Hopkinson and Zargaryan 2009) which were not in line for accession to the EU.

57 The various meanings of the term ‘internationalization’ have been discussed by Abdullahi, Kajberg and Virkus (2007, 8–11). They cited a process-oriented definition by Knight (2005, 5), who described internationalization as “the process of integrating an international, intercultural or global dimension into the purpose, functions or delivery of post-secondary education.” See also Section 2.3.

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Today non-formal education takes many forms: Conference attendance (e.g. the IFLA conference attendance grants awarded annually with funding from a variety of sponsors58) Seminars, summer schools, webinars – many of these have specialized topics in areas such as new ICT applications, intellectual property issues, and management development Travelling fellowships, such as those awarded by the Carnegie Corporation Leadership development programmes (e.g. the Jay Jordan/OCLC Early Career Development Fellowship59) (More about leadership development under Vision, below.) Student and staff exchanges, including exchanges that are arranged as part of “Sister Libraries” or library twinning schemes (e.g. Tarasova 2009; Mattison 2017).

The founding of a national library association, often facilitated by foreign assistance, for example by the Carnegie Corporation in the case of several British dominions (Rochester 1996, 354–55) constitutes a professional development milestone in that country. The same can be said of the establishment of regional and national LIS journals. In many of the less developed countries, national library associations have led a rather precarious existence. To remedy this, IFLA launched the Building Strong Library Associations (BSLA) programme in 2010 as a strategic and coordinated approach to capacity building for sustainable national library associations in developing countries (Bradley 2012). INASP’s programmes to promote sustainable LIS journal publication in developing countries are dealt with at the end of this section.

12.6.2 Clients Clients are referred to as ‘patrons’ (USA), ‘users,’ or ‘readers.’ The latter, an older British term, reminds us that, with some exceptions, literacy is a prerequisite for library use. Historically, library development is seldom initiated before an influential minority (aristocracy, religious caste, wealthy merchants, etc.) is able to read and develops a ‘reading culture.’ The term ‘reading culture’ or ‘culture of reading’ is widely used but seldom defined, being associated with 58 E.g. IFLA WLIC 2018, “Conference participation grants,” https://2018.ifla.org/congress-in formation/conference-participation-grants, accessed 2018-07-20. 59 IFLA, “The Jay Jordan/OCLC Early Career Development Program,” https://www.ifla.org/ ifla-oclc-fellows, accessed 2018-07-20.

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literacy and its retention after schooling, independent reading, and lifelong learning (Laugesen 2009; e.g. Tötemeyer 2013; UNESCO Institute for Lifelong Learning 2016). The term ‘reading cultures’ (plural) has been used to refer to reading by particular socio-cultural communities: Book and reading cultures. . . involve more than just the sites and spaces where reading happens. They are socio-cultural systems that embrace several elements such as how to decode texts, where reading occurs, choosing to read aloud, selecting what should be read and not read, when reading occurs, who the members of the reading community are, and what motives drive reading (Dick 2012a, 6).

For the print industries, a ‘reading culture’ connotes a market to be cultivated. In the present context of book and LIS development, the term refers to a situation in which a significant proportion of the population is able to read, reads above and beyond the requirements of formal education as an important and pleasurable activity, and is prepared to spend money on reading matter. The relationship between the development of a reading culture and LIS development is reciprocal: libraries promote literacy by providing affordable reading matter, and a literate population is more likely to use and support libraries. Public, community and school libraries have played a role in creating “literate environments.” They provide suitable reading and learning materials free of charge, which help prevent newly literate persons from relapsing into illiteracy. Libraries can host and organize adult literacy programmes, and provide tutoring in such programmes, which are mainly aimed at groups other than school-going children, e.g. young people who have dropped out of school, older adults, migrant workers and refugees.60 In some cases, libraries support the communitybased production of newspapers (Krolak 2005). However, librarians in developing countries – and the library schools which trained them – have been criticized for concentrating on a small elite of educated users and neglecting the illiterate majority (Tjoumas and Hauptman 1982). In addition, the potential role of libraries in literacy promotion is often overlooked by development agencies. For example, as a result of UNESCO’s “silo” structure, libraries have been dealt with by various units in the Communication and Information Sector, and they have mostly been disregarded by the Education Sector. In a study of school library development in Iraq, I.M. Johnson (2016b, 222–25) found that, while UNESCO’s Education Sector was keenly interested in literacy development, it failed to recognize the role libraries might play in it.

60 IFLA, “Guidelines for library-based literacy programs,” https://www.ifla.org/publications/ guidelines-for-library-based-literacy-programs?og=74, accessed 2018-12-08.

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Starting in the late 20th Century, the rapid diffusion of computers and the internet gave rise to various “new literacies.” They include computer literacy, information literacy, ICT literacy, digital literacy, and media literacy. The terminology varies regionally and nationally, and the relationships between the literacies are unclear (Belshaw 2011, chap. 2). Many librarians in the Englishspeaking world follow American practice, using ‘information literacy’ as the generic term. Information literacy has received much attention from UNESCO’s Communication and Information Sector as part of its efforts to promote the building of “inclusive knowledge societies.” Following the World Summit on the Information Society (in 2003 and 2005), information literacy became one of the five priority areas of the Sector’s Information for All Programme (IFAP) (UNESCO 2014, pts 2 & 3). In partnership with IFLA, IFAP has sponsored research and publications to promote information literacy worldwide (e.g. Catts and Lau 2008; Horton 2008). The efforts of UNESCO and IFLA to promote information literacy have been criticized as an “imperialistic project” to export a Western model (Pilerot and Lindberg 2011). Whatever the merits of such objections, an educated clientele is a prerequisite for broad-based LIS development. Furthermore, emphasis on information literacy should not distract attention from the fact that 14% of the world’s population – some 750 million adults, two thirds of whom are women – lack basic reading and writing skills. The lowest literacy rates occur in sub-Saharan Africa and Southern Asia. Adult literacy rates are below 50% in eighteen African countries, Afghanistan and Haiti (UNESCO Institute for Statistics 2017). Because there are various ways in which literacy is measured, the problem may be much bigger than the UNESCO statistics, derived mainly from census data submitted by member governments, indicate (Ortiz-Ospina and Beltekian 2018).61 This implies that much remains to be done to improve functional literacy and to provide services appropriate to the needs of functionally illiterate and neoliterate people, as for example in the Nigerian RUDIS project referred to in Section 12.2 above. Libraries need to grow their client base as much as they traditionally strive to grow collections. In recent years, library clients in and from the South have increasingly been exposed to Western LIS through what is referred to as ‘internationalization.’ In

61 For example, the adult literacy rate in North America is reported by UNESCO to be close to 100%, but it has been found that 50% of US adults cannot read a book written at eighth-grade level, i.e. reading matter that children with eight years of schooling should be able to read. See Washington Post, “Hiding in plain sight: the adult literacy crisis,” https://www.washing tonpost.com/news/answer-sheet/wp/2016/11/01/hiding-in-plain-sight-the-adult-literacy-crisis/ ?utm_term=.758b3da4a1be, accessed 2018-07-26.

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the USA especially, this means serving ‘international patrons,’ i.e. users from other countries (Bordonaro 2013; Click, Wiley, and Houlihan 2017), mainly those attending higher education institutions. Internationalization can also refer to the provision of LIS at satellite campuses established in other countries mainly by U.S. universities and universities of other Western countries (Wand 2011; Sharif and Demers 2013; Pun, Collard, and Parrott 2016). The flow is not only in one direction. It is worth noting that Aga Khan University, a private university in Karachi, Pakistan, has eleven campuses in eight countries, including the UK (Sharif and Demers 2013). Both of these forms of exposure may lead to raised expectations of LIS among highly educated individuals from the South. However, I.M. Johnson (pers. comm. 2018) has pointed out that, paradoxically, this exposure does not necessarily appear to lead to active support for the development of institutions’ libraries when these individuals return home to work and are promoted to positions of influence.

12.6.3 Collections The nature of the library materials that have been disseminated among countries has evolved over time. Until around the Second World War, printed books, journals, and other printed materials predominated. Microfilmed versions of these, and various audio-visual media followed. Each of these media posed distinctive challenges to librarians in developing and emerging countries, but challenges in respect of bibliographic control, communication with suppliers, delivery delays, and affordability were common to all. In the case of serial publications, lack of funds often resulted in gaps in holdings. This was in addition to the poor distribution (and indexing) of indigenous publications produced in less developed countries, as discussed in Section 8.10. One of the most important and visible forms of aid has taken the form of donations of books, journals and other materials to developing countries or countries hit by natural and other disasters. Bixler (1972) traced the history of such donations from the time of the great Chicago fire of 1871, which prompted book donations from Britain. However, it does not require a disaster to prompt book aid; hardly a month goes by without a heart-warming report in the library media of a well-intended project in a community or school in the USA or elsewhere to collect books “for Africa.” Typically, this is an outcome of a visit to a poor community by a librarian or teacher, or of a letter home from a young aid worker, who is appalled at the lack of a school or community library there. Back home, a book donation drive is launched. Various problems have to be overcome. The materials should be (but are not always)

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critically evaluated for selection to prevent the dispatch of books that are out of date, in poor condition, in the wrong languages, etc.; the donation has to be transported to the recipient community; and that community has to have some scheme in place to manage the donated material. Even if all these challenges are overcome, the long-term prospects for continued use of the asset thus transferred are bleak unless good prior preparation has been done and the various stakeholders in the community willingly take ownership of the project. Since books go out of date, there has to be some means of replacing worn and outdated items. Academic libraries in developing countries have also depended on donations to keep their collections current. In the 1990s, many African universities spent hardly any of their own funds on the purchase of books and serials for their libraries. The poor funding levels reflected the negative views of libraries among academics and university administrators. As a result, the university libraries became excessively dependent on donor funding – in some cases donors provided between 90% and 100% of acquisitions funding, replacing funding that should have been provided by the relevant university. If donor funding stopped, acquisitions ground to a halt (Rosenberg 1997, 23– 27, 43–45). This is an example of fungibility (cf. Section 10.17). Donations in kind also posed problems of inappropriate materials and lack of continuity, as reported by university and national librarians as far afield as Kazakhstan (Berdigaliyeva 2003), Senegal (Gueye 2003) and the South Pacific (C. Mills 1994). Well-intended book donation schemes – not to mention those which primarily benefit the donors in terms of publicity or tax breaks – have often done as much harm as good, overwhelming recipients with shipments containing only a small number of useful items. Sifting the material is labour-intensive but essential. If this not done and large quantities of inappropriate materials are added to collections, an illusion of adequacy is created which leads to scepticism on the part of disappointed clients who are unable to find relevant material. Book donations can also inhibit local book production, and lead to excessive dependence on donors. The literature of LIS development abounds with examples of problematic donations, which are not repeated here. Book donations are briefly dealt with in Section 8.9. For a discussion of the “difficult art of book aid” see Priestley (1993). Critical overviews are found in Curry, Thiessen and Kelly (2002), Hite (2006), Sturges (2014), Thierry (2015) and Zell (2015). The issues were analysed and guidelines for good practice were formulated in a manual produced by UNESCO (Rosi 2005). The considerable literature on book donations and collection development aid should not lead us to overlook the presence of indigenous documentary heritage

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in a variety of scripts and on various physical supports in many countries, not to mention indigenous knowledge. These resources evolved over generations in response to local needs and conditions and they deserve to be treated with at least as much care and respect as imported resources. Neither should we overlook domestic book production taking place in countries receiving book aid. Modern ICTs started reshaping access to scientific and professional literature in the last quarter of the twentieth century. Online information retrieval emerged in the early 1970s, before the advent of the internet. This technology was dominated by the Dialog system, developed at the Lockheed Palo Alto Research Laboratory, and ORBIT, developed by the Systems Development Corporation (SDC). These systems made it possible to search distant bibliographic databases, using leased lines or dial-up access (teletype) (Bjørner and Ardito 2003). In developing countries, this form of access was expensive and technologically challenging. Having identified relevant materials, they faced the further challenge of obtaining copies thereof. The required equipment and connectivity imposed an additional cost burden. Unreliable electricity supplies and inadequate telecommunications, lack of staff expertise and poor support by distant vendors also posed problems. Since the introduction of IT was largely funded by donors, the long-term sustainability of the installed systems was questionable (Rosenberg 1997, 28–30, 43). When funds are lacking to pay for infrastructure and access, the digital divide takes on a particularly ironic form. What is wanted is there and visible for all to see, but inaccessible because of financial and technical constraints: Information technology has both facilitated and inhibited access to information. On the one hand, it has greatly increased the ease of storing, sorting and retrieving data; on the other, it has increased the cost of doing so and made that cost more easily quantifiable. By putting a complex technology with an expensive infrastructure between information and its potential users, it has introduced a new obstacle in the chain of supply (J. Feather 2013, 111).

From the mid-1980s through the first decade of this century, CD-ROMs were seen in developing countries as an alternative means of online access to bibliographic databases, full-text journal databases and large reference works. The technology needed to access information on CD-ROMs was relatively simple and affordable, and it by-passed the use of the telecommunications links that are needed for online access. An example of a CD-ROM collection developed for developing countries is The Essential Electronic Agricultural Library (TEEAL). TEEAL encompassed a self-contained agricultural library including full-text articles from 140 journals, on a set of over 400 CD-ROMs (Vent 2005). The large numbers of CD-ROM discs involved in such schemes

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eventually made them unmanageable. By the mid-2000s many of them were terminated.62 At the same time, the internet was becoming more widely available, and libraries in developing countries in Africa and Asia began to switch to free and discounted online journal access schemes such as HINARI and AGORA (Rosenberg 2008, ix), which were discussed in Section 8.3. In countries with very limited LIS, the libraries of cultural diplomacy agencies such as the British Council and the former United States Information Service (USIS) have provided a substitute of sorts, much appreciated by scholars and students starved for literature, even though they are usually located only in the national capital. In this connection, mention should be made of American Corners, established in libraries all over the world by the U.S. Department of State to promote “mutual understanding.” By 2002, there were already 19 of these in Russia. They are presented as a “partnership” between the USA and the recipient country: the USA provides a core collection of materials “selected for its ability to help tell America’s story,” while the host library provides English-speaking staff and space, and covers all overhead expenses (E. A. Johnson 2002). American Corners are one of several types of “American Spaces,” of which in 2014 there were some 700 world-wide. In a statement presumably intended to garner legislative support, they are described as venues “through which U.S. embassies and consulates engage foreign audiences in support of U.S. national interests” (United States Department of State 2014, 3). They have been discussed both approvingly (e.g. Rockower 2013) and critically (e.g. Kagan 2007a; Arango 2011).

12.6.4 Technology Marta Dosa identified three interrelated processes of technology transfer63: – Hardware transfer: comprising devices, equipment, parts, materials, and entire information systems – Information transfer: comprising data, documentation, software, standards, specifications, licenses, service contracts, manuals, maintenance handbooks and user guides

62 The website of India’s National Science Library lists a number of CD-ROM databases, including many titles widely found in the developing world, and several created in India. National Science Library, “CD-ROM databases,” http://nsl.niscair.res.in/CDdatabases.jsp, accessed 2018-07-21. 63 Dosa’s categories were based on the three stages of a country’s ability to use technology for development that were distinguished by Stewart (1979, v).

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– Knowledge transfer: comprising an understanding of the origins and potential impact of the technology or process; the competence to plan, manage and evaluate applications; skills and knowhow; and the ability to adapt and diffuse innovation (Dosa 1997, 10). All three of these are considered here. Hardware transfer for LIS development initially included such basic library technology as the 3x5 inch card catalogue, the machines used to reproduce catalogue cards, visible file stationery and cabinets for checking in periodical issues. More recently transferred hardware includes bookmobiles, microfilm cameras and readers, projectors for audio-visual media, photocopiers, computers and computer workstations, modems and network components, and scanners, together with their consumable materials and spare parts. At the risk of stretching the concept of technology, library buildings and their equipment such as air-conditioning units are also included here. The physical accommodation of libraries in most countries follows a typical development path: in the first phase the library is located in a few rooms or a wing of an existing building. In the second phase it moves to a ‘second-hand’ building originally built for another purpose. In most cases the premises occupied during the early phases are poorly suited for use as a library. In the third phase a building is constructed for the library, designed in accordance with library thinking of the time, such as the Carnegie buildings of the early 20th Century. In the fourth phase, these buildings are renovated, remodelled and extended (cf. Schlipf 2014), or replaced by an entirely new, “modern” building. Library architecture presents interesting examples of “cross-cultural transmission” (D. C. Weber and Kaser 2001, 111–14). Although this is not a major category of aid today, donors have funded the erection of a number of library buildings in developing countries. Most notably, in British Commonwealth countries 168 library buildings were erected with funding from the Carnegie Corporation (Beckman, Langmead, and Black 1984, 18).64 More recently the British government funded the erection of the university library of Moi University in Kenya (‘Profile: Tirong Arap Tanui’ 2007). The library, opened in 1994, was named after the then British Prime Minister Margaret Thatcher. The fact that the authoritarian Kenyan President Daniel Arap Moi pursued pro-Western policies65 and that the university, named after himself, is located in the heartland of his

64 This was in addition to 1681 libraries in the USA and 660 in Great Britain and Ireland. 65 Encyclopaedia Britannica, “Daniel arap Moi,” https://www.britannica.com/biography/Dan iel-arap-Moi, accessed 2018-07-21.

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Kalenjin ethnic power base, may help to explain the choice of Moi University as the beneficiary of British generosity. The Gulbenkian Foundation supported the construction or remodelling of a number of libraries in Iraq, notably the National Library (I. M. Johnson 2016a, 253).66 Information transfer has been a major theme in LIS development. Much of such information transfer takes place in non-formal education settings such as workshops and seminars, as mentioned earlier. In terms of Dosa’s categories, information includes classification schemes, cataloguing rules, subject headings, machine-readable cataloguing formats, as well as various Anglo-American and ISO standards for librarianship, documentation, reprography and information storage and retrieval (Hopkinson 2004), together with instructions and manuals for these and for the hardware mentioned above. During the second half of the twentieth century, the development and implementation of national cataloguing standards and formats proceeded worldwide, with increasing emphasis on the international compatibility of systems. This was promoted inter alia by UNESCO in collaboration with IFLA through the programme of Universal Bibliographic Control (UBC). As part of this programme, the UNIMARC format for machine-readable cataloguing and the International Standard Bibliographic Description (ISBD) were disseminated internationally (Roberts and Bourne 1990; Holley 1996). It is interesting to note that there was ongoing competition between internationally developed standards such as UNIMARC and industry standards developed in the USA such as USMARC (the U.S. format for machine-readable cataloguing) in countries such as Poland (Śliwińska 2014, 301–5) and South Africa. Software has been a significant component of information transfer, including software for information storage and retrieval, library catalogues and integrated library management systems. Examples are the CDS/ISIS67 software developed by UNESCO and made available free of charge to libraries in developing countries (Hopkinson 2005). In the 1990s, the Andrew W. Mellon Foundation in the USA funded the purchase of commercially distributed integrated library management systems (ILMS)68 in a number of emerging and developing

66 Calouste Gulbenkian (1869–1955), founder of the Calouste Gulbenkian Foundation, had made a fortune from petroleum exploitation in Iraq. (Wikipedia, “Calouste Gulbenkian,” https://en.wikipedia.org/wiki/Calouste_Gulbenkian, accessed 2018-07-21. 67 CDS/ISIS stands for Computerized Documentation Service / Integrated Set of Information Systems. Wikipedia, “CDS ISIS,” https://en.wikipedia.org/wiki/CDS_ISIS, accessed 2018-07-21. 68 ILMS refers to software for the integrated automation of a set of library functions such as acquisitions, cataloguing, serials administration, circulation, and resource discovery, and the management of other resources, both internal and external to the library. Not to be confused with integrated learning management systems.

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countries. This was done as a means of promoting modern library automation and building national and regional resource-sharing networks and consortia (Lass and Quandt 2000; Caidi 2004b). A suite of open-source software for digitization, the Greenstone Digital Library Software, developed by the New Zealand Digital Library Project, is disseminated in collaboration with UNESCO and used by libraries worldwide (Witten 2002; Neelameghan and Raghavan 2014).69 Open-source software for open access repositories, such as DSpace and Eprints, offers affordable solutions for developing countries and has been made available free of charge to institutions there (e.g. Ghosh and Das 2007). Free and open-source software (FOSS) is widely seen as offering significant benefits to developing countries. It obviates the dangers inherent in becoming “locked in” to proprietary software, which is expensive to support and upgrade. UNESCO has set up an Open Solutions Programme to promote FOSS as well as open educational resources (OER), open data, and open access.70 This can be seen as part of an ongoing trend towards international resource sharing. Knowledge transfer includes knowledge of the theoretical and technical bases for the hardware and software referred to above, as well as knowledge relating to professional and managerial processes. Here only a few examples can be mentioned. The principles of programmes such as Universal Bibliographic Control (UBC) and Universal Availability of Publications (UAP) were widely disseminated during the 1970s and 1980s using non-formal educational events such as international, regional, and national conferences and seminars. Many of these were presented by the IFLA UBC and UAP programmes and supported by the General Information Programme (GIP)71 of UNESCO (Parent 2004). Attention subsequently shifted to newer topics of interest to UNESCO such as national information planning, including the NATIS and UNISIST programmes (Parker 1985, pt. IV; Foskett 1986; Penna 1992). UNESCO’s initiatives were not always successful. Commenting on the impact of NATIS and UNISIST in Africa, Sturges and Neill (1998, 122) wrote that “there are virtually no practical results to be shown from Africa’s involvement with these programmes.” Somewhat later, topics such as information ethics, information literacy, information preservation, and language diversity on the

69 Greenstone digital library software, “Factsheet,” http://www.greenstone.org/factsheet, accessed 2018-07-21. 70 UNESCO, “Open solutions,” https://en.unesco.org/themes/open-solutions, accessed 201807-21. 71 The GIP is better known by its French acronym, PGI, which stood for Programme général d’information,

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internet emerged as priority themes for UNESCO’s Information for All Programme (IFAP) (UNESCO Information for All Programme 2014). Some of these are dealt with below under the heading of Vision. The transfer of hardware, information and knowledge has involved non-formal, informal and formal education as discussed above. It goes without saying that LIS literature in various genres has also played an important role in the dissemination of information and knowledge. The journal literature included the influential UNESCO bulletin for libraries (1947–1978), subsequently replaced by a somewhat more scholarly quarterly journal, the Unesco journal of information science, librarianship and archives administration, which ceased publication in 1983. Standard texts such as those used in British and U.S. library education were also influential. For example, at the important UNESCO Seminar on public libraries held in Ibadan, Nigeria, in 1953, delegates were provided with a reading list, comprising mainly librarianship texts published in the USA and the UK.72 IFLA has issued a large number of standards and guidelines on matters of professional practice (Landry 2011). These are now being evaluated more critically (e.g. Underwood 2009; Zhang, Lin, and Zhang 2016), and IFLA has been reviewing and documenting the way its standards are compiled (IFLA 2014b). In many cases, experts sent by developed countries played a significant role in the planning and implementation of the new technology. In a book devoted to American overseas technical assistance from 1940 to 1970, Brewster (1976, 1–2) adapted a definition of “technical assistance” by C.A. Thomson and Laves (1963, 31) to read “. . .the transmission of learning, knowledge, and techniques or materials and human resources in order to help those who receive it to solve specific problems in a more suitable manner in keeping with their needs.” In addition to covering the educational activities already mentioned above, this covered visits by experts and technicians, and the supply of materials and equipment. Already in the 1920s, the Carnegie Corporation established a pattern by sending respected and knowledgeable librarians to British dominions and colonies prior to making any decisions on aid, to assess the state of librarianship, make recommendations, and advise the Corporation on where

72 The reading list of one hundred titles appended to the Seminar report included sixteen items published by UNESCO, all in English and mainly by authors with English names but bringing some international perspective. Of the remaining 84 items, only seven were in French; the others in English and overwhelmingly from the Anglo-American library literature. Eight of the books and pamphlets bore the imprint of the Library Association; sixteen that of the ALA. Several of these titles (albeit in later editions) were still prescribed or recommended when I studied librarianship in South Africa in the mid-1960s.

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grants should be made. These “Carnegie visitors” travelled by steamships and spent months away from home.73 In the first decades after the Second World War, ‘expert’ or ‘field missions’ to developing countries, undertaken by ‘specialists,’ ‘experts’ and ‘advisers,’ became a staple of development aid by UNESCO (Parker 1985, chaps 8–11), government aid agencies, and U.S. foundations (Brewster 1976). It was not unusual for the library consultants to serve lengthy terms of several years’ duration. A.G.W. Dunningham, a New Zealander, spent six years in Indonesia as a UNESCO consultant (W. L. Williamson 1999)74 whilst in many developing countries, various libraries and library schools were established under the guidance of expatriate directors. On the other hand there has been criticism of poorly selected “experts” who were sent on brief and episodic assignments to developing countries about which they knew too little, and who returned home without evaluation or follow-up (Asheim 1966, 87–88). Consultants are still to be found in developing and emerging countries. Consultants from the West played a major role in the reform of LIS in the CEE countries and the former Soviet republics, also being involved in major projects in Russia, such as the modernization of the Russian (formerly Lenin) State Library (Segbert 1999; Segbert and Vislyi 2001). Generally, however, the role of consultants and other experts appears to have shifted to focus on the least developed countries, and/or projects involving advanced technology and skills, such as INASP’s projects in Africa to promote bandwidth management and optimization (Belcher, Jackson, and Fearon 2008; INASP 2015). Often such technical assistance includes seminars and hands-on workshops with an emphasis on ‘cascading’ knowledge and skills, as in ‘train-the-trainers’ workshops. A typical example is the train-the-trainers course on accessing HINARI resources, developed with the assistance of the Medical Library Association’s Librarians without Borders programme (Saric 2016). Changes in the way technical assistance is delivered are probably the result of high costs and limited funds for LIS-related aid, the availability of modern ICTs for transmitting information and online learning, the presence of highly educated LIS staff in many if not most developing and emerging countries, and an increasing emphasis on more participatory development aid, in which recipients take greater responsibility.

73 Ralph Munn and E.R. Pitt visited about 100 Australian libraries, in all states, during May to July 1934 (Whitehead 1981, 4). The journey to and from Australia would, in addition, have taken several weeks each way. 74 W.L. Williamson’s account of Dunningham’s term in Indonesia provides an excellent illustration of the work of a library consultant. See also Parker (1986) on international consultancy work and Parker (1988) for insightful case studies.

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It is worth noting that by no means all expert assistance to the developing world has been delivered by consultants from developed countries. Unlike national aid agencies, which tend to employ their own nationals, intergovernmental organizations such as UNESCO have long employed consultants from non-Western countries, as is illustrated by UNESCO’s employment of Anand P. Srivastava, an Indian library educator, in developing LIS education in Iraq (I. M. Johnson 2016a, 261–66).

12.6.5 Vision When we consider the dimension of leadership, principles and values, it can be assumed that most of those involved in establishing and modernizing LIS in developing and emerging countries are guided by a vision of what LIS should look like – a vision gained from various sources. At a universal level, such a vision is expressed in the “Five Laws of Library Science” of S.R. Ranganathan (1931), referred to in Section 3.4. As mentioned in Section 2.3 and Section 3.4, Swank (1963) identified “six items for export”; these were six important characteristics of U.S. librarianship which he considered as values to be shared internationally: First, the conception of the library as an organization of books; second, the evolution of the library profession; third, the attitude of service; fourth, the function of the library as an educational institution; fifth, its role in the advancement of intellectual freedom; and sixth, the conception of organized information as a public resource and responsibility (Swank 1963, 711–12).

Two decades later, Asheim (1985) revisited Swank’s article and arrived at a somewhat more humble assessment in which he emphasized that whilst U.S. librarianship was exported, American librarians could also learn from librarianship in other countries. It is safe to say, however, that LIS values worldwide have been greatly influenced by the Anglo-American – especially American – philosophy of LIS. This has been unceasingly disseminated inter alia through the LIS literature referred to above. In its first decades, UNESCO was a significant vector of Anglo-American library philosophy. North American and British librarians, as well as some from certain of the four “old” Commonwealth countries, especially Australia and New Zealand (cf. Laugesen 2014), were prominent in UNESCO’s library programmes in the 1940s and 1950s. As consultants, advisers, expatriate library directors, and teachers in library schools they played a dominant role in UNESCO’s library-

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related activities.75 In a study of UNESCO’s ideological roots, Laugesen (2009, 71) concluded that UNESCO’s public library development work was “placed firmly within an Anglo-American ideological framework.” UNESCO continues to disseminate values such as democracy, universal literacy, international cooperation, information preservation, freedom of expression and equitable access to information, conservation of cultural heritage, respect for cultural and linguistic diversity, and information ethics, which are aligned with Anglo-American LIS philosophy, albeit not exclusively. The conferences, publications and public statements of international NGOs such as IFLA, the Medical Library Association, and the International Association of School Librarianship (IASL) have also served to convey these values. Examples are IFLA’s Internet Manifesto (IFLA 2014a) and its Lyon Declaration on Access to Information and Development (IFLA 2014c). Several of the IFLA documents have been formally endorsed by UNESCO. Schultz-Jones (2015) and Oberg (2015) provided insightful accounts of the revision of the IFLA/UNESCO School library guidelines by IFLA in collaboration with the IASL.76 IFLA’s Freedom of Access to Information and Freedom of Expression (FAIFE) Advisory Committee is particularly concerned with raising awareness of the relationship between LIS and intellectual freedom.77 It has held seminars and train-thetrainer workshops in developing regions on intellectual freedom, privacy, tolerance, combating corruption, and, more recently, on identifying fake news.78 Values are also deeply embedded in the more practical publications on best practice, such as the textbooks, guidelines and standards referred to above. As LIS development proceeds, those involved turn some of their attention outward, from an all-consuming concern with the institutions they are building,

75 In its early years, Anglo-American influence was dominant in UNESCO generally. UNESCO’s first Director-General (1946–1948) was Julian Huxley, a British scientist. During the period 1953 to 1958 Luther Evans, an American political scientist who had been the Librarian of Congress, was the Director-General (Valderrama 1995, 29; 80). Socialist countries played a minor role, at least until the Soviet Union joined UNESCO in 1954. Benge (1979b, 220) stated that initially UNESCO’s cultural policies were solely based on the Anglo-American tradition. This also applied to UNESCO’s library work. 76 A list of IFLA manifestos can be found at IFLA, “Content tagged Manifestos,” https://www. ifla.org/publication-types/manifestos, accessed 2018-07-21. Other statements and declarations can be found on the pages devoted to IFLA’s various professional units. 77 IFLA, “Freedom of Access to Information and Freedom of Expression (FAIFE) Advisory Committee,” https://www.ifla.org/faife, accessed 2018-07-21. 78 IFLA, “How to spot fake news,” https://www.ifla.org/publications/node/11174, accessed 2018-07-21.

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towards a strategic vision of LIS development at local, national and international levels. As mentioned in Section 1.8, meetings and proposals on international cooperation on such matters as publications exchanges date back to the second half of the 19th Century. UNESCO took up the theme of cooperation after the Second World War, supporting the international harmonization of cataloguing and the UBC and UAP programmes. UNESCO also promoted the development of national information policies through the NATIS and UNISIST concepts, also referred to in Section 1.8. More recently, this line of development was resuscitated by IFAP, which developed a template for countries wishing to develop a “national information society policy” (UNESCO Information for All Programme 2009). Leadership training has been an important form of development aid. From 1973 to 2001 an International Graduate Summer School in LIS was held at the College of Librarianship Wales, at Aberystwyth, in collaboration with the School of Library and Information Science at the University of Pittsburgh (Tedd 2005, 4). The British Council sponsored attendance by librarians from developing countries. This was very influential. Strong informal networks were formed among the alumni, many of whom subsequently rose to senior positions in the profession. Among many others, one may mention the programmes aimed at developing LIS leadership in developing countries offered by the Mortenson Centre for International Library Programs, in Urbana, Illinois. These included a training programme for “Global Leaders and Innovators,” funded by the Bill and Melinda Gates Foundation (Schnuer, Ford, and Barber 2015), and the South African Library Leadership Program (Satgoor and Schnuer 2006; G. C. Hart and Hart 2014). Library leadership training has also been offered in Africa by the (U.S.) Public Library Association (PLA) in partnership with African Library Associations and Institutions (AfLIA), EIFL and IFLA (Hirsh 2017). The participation of local instructors in such programmes is both enriching for the students and empowering for the local profession.

12.7 Systemic aid In Section 10.13, the term ‘systemic aid’ was proposed for interventions aimed at improving the overall functioning of a larger system. In Section 3.6, it was pointed out that the LIS system of a country forms part of, and interacts with, other national systems such as education and research, the book industries, and heritage. This was illustrated in Figure 3.10. For example, in a developing country, library development in a given community cannot be undertaken without reference to community structures and governance. Too often, a collection of books is donated, or a small library is set up without

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prior consultation with village elders, the headmaster of the local school, the parish priest, or other community leaders and stakeholders. Such projects are doomed to failure. At a more general level, LIS development is intimately intertwined with the book industries, including the publishing of books in local languages and the distribution system for books and reading matter. This is illustrated by the diagram in Figure 12.1, which depicts some reasons why, in a poor sub-Saharan country in which many languages are spoken, very few books may be published in African languages (cf. Altbach 1992, chap. 1; Chakava 2008). Speakers of indigenous Speakers of IL not Speakers of languages (IL) can’t afford to interested in reading Many IL can’t read buy books “small” IL Book donations swamp market Prefer to read English* Market too small, not financially viable

Books associated with school

Few books published In African languages

No bookshops, poor distribution Libraries not linked where speakers live to literacy programmes

Influence of education system

Dependence on school text market

* For English, read French or Portuguese as appropriate

Figure 12.1: Why few books are published in African languages.

Publishing in local languages is directly relevant to library development. For libraries to thrive, they must offer reading matter (or audio-visual media) in languages spoken by the communities they are intended to serve. The availability of such materials depends on the number of languages spoken, the number of speakers of each, the national policies on the promotion and development of indigenous languages, literacy levels, literacy programmes, the use of mother tongues in primary education, etc. There is a reciprocal relationship between libraries and local publishing. Libraries constitute a market for books, but without a good supply of locally published books in local languages that are relevant to the needs and interests of the community, libraries cannot attract many readers. When such factors are not taken into account it is not surprising that school, community and public libraries in many poor countries fail to thrive.

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Systemic interventions, in which, for example, initiatives are taken to promote the writing and publishing of stories and other materials suitable for neoliterates in the local languages, address one of the root causes of faltering library development. Unfortunately, while a great deal of attention is being paid around the world to information literacy, there is less evidence of the involvement of libraries in basic literacy work, which is crucial to developing libraries’ user base. In developing countries with multiple languages, libraries can play a useful role in each link in the ‘book chain,’ which encompasses writing, publishing, distribution, and reading (Lor 2012a). Even in relatively modest projects, identifying and addressing some local constraints can enhance the prospects of success. For example, in poor countries there will be few if any trained teacher librarians and many teachers will have little idea of what to do with donated books, because they themselves grew up without access to books and libraries. To address this challenge, a co-operative programme of the European Network for School Libraries and Information Literacy (ENSIL) and the Information and Library Services of the Koninklijk Instituut voor de Tropen (Royal Tropical Institute, KIT) of the Netherlands has promoted open access software and provided the recipient school libraries with basic online training opportunities for their staff in areas such as management, services, grant proposal writing, library procedures, and communication (Boelens and Dam 2012). Systemic interventions in providing access to scientific literature and in developing scholarly publishing in the South were mentioned in Sections 8.9 and 8.10. Noting the under-utilization of journals made available in terms of mediated and negotiated access schemes (cf. Section 8.3), the International Network for the Availability of Scientific Publications (INASP) introduced a number of interventions: enhancing the skills of IT staff and improving bandwidth management in recipient universities (Belcher, Jackson, and Fearon 2008) and developing the training of library staff and users (Powell, Farrow, and Burnett 2014). In 2013 INASP launched a new flagship programme, Strengthening Research and Knowledge Systems, focussing on support for higher education in selected developing countries. It appears to be tackling the root of the LIS staff problem by undertaking reviews of LIS education in Africa, and by promoting curriculum revision and improved LIS teaching in a number of African countries and Vietnam (P. Burnett 2013). To address problems in scholarly publishing in the South, INASP developed platforms for electronic publishing in various regions of the world. The first, known as African Journals Online (AJOL), launched in 1998, built up a stable of over 200 African journals. It was later spun off to a South African-based company (Smart 2005). In 2008 INASP launched a project to establish similar “journal

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online” services in Asia. INASP’s Programme for the Enhancement of Research Information (PERI),79 which ran from 2002 to 2012, aimed to improve research and the utilization of knowledge for development through capacity building, and by strengthening networks and relevant national and regional bodies. It was jointly funded by the aid agencies of Britain, Norway and Sweden, and comprised a wide range of interventions, including workshops on production and design, editing skills, copyright, enhancing visibility, evaluation and strategic planning, and online publishing strategy and methodology (Gwynn 2008). As part of a strategy to improve the standard and international acceptance of journals from the South, INASP and AJOL in 2017 launched the Journal Publishing Practices and Standards (JPPS) framework, which provides detailed and internationally accepted assessment criteria for the quality of publishing practices and policies of Southern journals (INASP 2017). Other similar initiatives have been described by Werf-Davelaar (2006) and Banner (2016), among others. In the spheres of both popular and scholarly communication, systemic aid, which brings together partners from different disciplines and professions, holds potential for greater long-term sustainability and more lasting outcomes than interventions focussed solely on limited aspects of library development. In addition, the partnerships that are developed among the various professions can enrich LIS.

12.8 Conclusion In chapters 9, 10 and 11, attempts have been made to outline conceptual frameworks for the study of international transfer (Section 9.12, Figure 9.9), development aid (Section 10.10, Figure 10.2), and LIS development (Section 11.3, Figure 11.1). In Chapter 11 and in this chapter a general overview was given of the development trajectories of five broad categories of countries, and illustrative examples were provided in five exhibits. The three proposed frameworks are interrelated. International development aid, a key input into LIS development, can be seen as a special case of international influence and transfer. Thus, Figure 10.2 (Framework for development aid) is concerned with a subset of the questions depicted in Figure 9.9 (Questions about international transfer). Hence the similarity of these two figures. At a more general level, the flow of aid and influence (including international diffusion of innovation and transfer of ideas) is represented by the

79 Initially named PERI, later PERii in its second phase.

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arrows depicting influence and aid in Figure 11.1 (Factors affecting LIS development), which is not limited to external factors (aid and other influence from beyond a given country’s borders), but also with a range of internal factors as listed on that diagram. Figure 12.2 attempts to summarize the relationship between development, transfer and aid as depicted in the three above-mentioned figures. Global factors DEVELOPMENT (Figure 11.1)

TRANSFER AID (Figure 10.3) (Figure 9.9)

Who What Intermediaries How Agency, Channel, Process, etc.

Internal LIS

factors Outcomes

Figure 12.2: Relationship of development, transfer and aid.

The development of LIS in a country depends on the combination and interaction of the internal and external factors. This cannot be adequately depicted in the diagram but is suggested by the leftward-pointing arrow. The roles of both internal and external organizations and individuals, although not depicted, should not be overlooked. Ultimately, however, aid is but one factor contributing to LIS development. The internal stability, traditions, resources and readiness of the country concerned lay down parameters, setting constraints and opening up opportunities, within which all concerned must exercise their patience, perseverance, skills and creativity, not to imitate external models, but to synthesize new models appropriate to local needs and conditions In the four chapters constituting Part IV of this book, theoretical insights from various disciplines have been introduced which can be helpful in explaining the diversity of the developmental trajectories that have been sketched. To what extent have these insights guided the interventions of the LIS profession as we sought to innovate and promote LIS development worldwide? This question is addressed in the conclusion which follows.

13 Conclusion Omni fine initium novum (from every ending a new beginning) (attributed to Seneca the Younger).

Outline 13.1 13.2 13.3 13.4 13.5

What have we learned? 720 Reflections on the generalized development trajectories 721 Reflections on the use of theory 729 Has international and comparative librarianship failed? 731 Is there a future for international and comparative librarianship?

733

13.1 What have we learned? Throughout the world, the Western business traveller will find infrastructure and facilities that are similar to and at least roughly comparable with those back home – airports, taxis, highways, uniformed security personnel, and hotels with recognizable functional areas such as a foyer, reception desk, lounge, dining room, guest rooms – all of these apparently converging to a dominant Western model. When one leaves the hotel and the central business district to enter residential areas, poorer city quarters, or rural settlements, there is less convergence. Instead, one may observe that the ways in which people dress, shop, eat, interact in the streets and homes, and conduct marriage and funeral ceremonies, are rather different. There is less evidence of global convergence here. Library and information services, like education and other social services, are probably to be found somewhere between the two poles of convergence and divergence. Underlying a superficial similarity there may be a great deal of variation. Regional variation in LIS has been illustrated by the generalized regional trajectories sketched in chapters 11 and 12. These two chapters (along with Exhibit A in Chapter 9) have illustrated the interplay of the major themes from Part III and Part IV of this book: international political economy, the political economy of information, world information flows, innovation and policy transfer, development and aid. To conclude this book, it is appropriate to look back and relate the generalized trajectories outlined in the previous two chapters to the introductory and conceptual material in Part I and the methodological insights offered in Part II. Three questions arise here: (1) What can we learn from https://doi.org/10.1515/9783110267990-013

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the trajectories? (2) To what extent have theoretical and methodological insights informed development efforts? (3) Does this have any value for the future? To answer these questions, I propose to start at Part IV and work back to the beginning.

13.2 Reflections on the generalized development trajectories In Part IV, Influence, the focus is on change in the form of innovation, policy transfer, and development in response to external influences such as colonialism and development aid, leading up to the development trajectories in Chapter 11 and Chapter 12. In that sense LIS development is the culmination of what has gone before. Arguably, it forms the centre of gravity of what we might call applied international and comparative librarianship. However, as the example of the retard français in Exhibit A (Section 9.13) shows, LIS development is not only about developing countries. From Chapter 11 and Chapter 12 we can distil insights that apply to the historical trajectories of LIS everywhere. As suggested in Section 11.2, development in its wider sense refers to change, growth, and especially increasing complexity. The discussion of complexity in Section 3.6 is relevant here. The general pattern of world-wide library development sketched in Section 11.4 is one of growth, expansion, and increasing complexity resulting from diversification and differentiation of libraries and related agencies. This does not rule out the possibility that in some cases change may take the form of regression, as when a country’s LIS system is reduced by economic decline or damaged by revolution, war or natural disaster. It must also be remembered that the verb ‘develop’ can be transitive or intransitive. Applied to LIS development, when the verb is conceived as transitive, development is exogenous, being driven by outside forces; when it is conceived as intransitive, development is endogenous, coming mainly from within a given society. To the extent that the concept of development is associated with developing countries and development aid, we tend to think of it primarily as exogenous, something being done to or for a country or society. This reflects a diffusionist perspective on culture (cf. Section 9.3) where most innovation diffuses outwards from a few privileged, advanced societies. The emphasis on developing countries in this book may have somewhat overshadowed the incidence of endogenous development, but if we consider the developmental trajectories discussed in chapters 11 and 12, it is clear that a good deal of LIS development is endogenous. Indeed, it is the forces within societies which ultimately determine the shape of their LIS systems.

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Perhaps a caveat is in order here. The literature of LIS overflows with things new: new technology, new techniques, and new approaches, and with exhortations to change. New is better; old is bad. We need to respond quickly to technological change – not to forget societal change. The current professional literature, if not the scholarly literature, of LIS emphasizes that the library has to adapt or become obsolete. Adapt or die, we are urged. Whilst responsiveness and nimbleness are undoubtedly critical to the survival and wellbeing of LIS agencies, we need to be aware that this rhetoric of urgency and inevitability (which supports an army of management consultants, marketers, and salespeople) carries with it an underlying Westernizing, technological determinism. Development is a loaded word, but so is evolution (cf. Section 3.7). Trajectory may be the safest term, but even that carries a connotation of determinism. Caveat utilitor: let the user of these terms beware.

13.2.1 Explaining the diversity of LIS trajectories In no two countries is the LIS system identical. One way of explaining the diversity is by conceptualizing the unfolding LIS trajectories as taking place in a context of multiple, interacting causative factors. This section is based on the development trajectories as described earlier and serves as a reality check on the factors identified in Section 11.3.

13.2.2 Internal factors From the perspective of the country that is developing or being influenced, we can identify a number of primarily internal factors that interact to determine the LIS trajectory of a country. The internal factors listed here – not necessarily in order of significance – can be inferred from the descriptions of the generalized trajectories. It is possible to discern some congruence between these factors and Hofstede’s typology of national cultures (discussed in Section 3.8). Of the six dimensions of national cultures distinguished by Hofstede and his colleagues, several appear to be relevant here and they are mentioned below. Ethnic and linguistic composition of the population (1): homogeneity versus heterogeneity. Unless a country is very wealthy, it may be more difficult to extend LIS generally to a very diverse population than to a homogeneous population. Economy (2): Economic strength versus weakness. A weak and unstable economy is an obvious inhibitor of LIS development. Generally, wealthy

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countries have better endowed LIS. However, the relationship between economic strength and LIS is not necessarily linear. In very wealthy countries a point may be reached beyond which, for various reasons, investment in LIS reaches a plateau, is redirected, and starts to decline, as has been seen in several Western countries. International status (3): autonomy versus dependence. The development of LIS under colonialism and after the attainment of independence illustrates clearly that under colonialism the innovation and policy transfer in LIS was determined largely by the colonial power. The continuing political-economic weakness of the South enables former colonial powers to continue exercising significant influence over former colonies as well as over other developing countries. Such dominance is not limited to relations between colonial powers and their colonies. It has been observed in many other situations, for example, in Soviet dominance over Central and Eastern Europe and U.S. influence in Germany, Japan and South Korea after the Second World War. Here military power underpinned the exercise of influence. In other cases, dominance is ensured by softer power. An example is the dominant influence exercised by ‘old’ members of the European Union over ‘new’ members, which joined after the break-up of the Soviet empire. In all these cases, during particular periods ‘push’ factors tend to outweigh endogenous ‘pull’ factors in determining a dependent country’s LIS development trajectory. Worldwide, global cultural trends also exercise great influence. Globalization renders autonomy a relative concept and although it retains a powerful emotional appeal, under globalization undiluted national sovereignty becomes an illusion. Political stability (4): stable versus unstable political situations. Stability is generally a precondition for LIS development, although in some cases a radical change of political regime can open up opportunities for renewal. Various other factors determine whether, and how successfully, the opportunities are seized. Political culture (5): autocratic versus democratic. Support for LIS (especially development of public libraries) has traditionally been linked to a democratic political culture, especially in American thinking. However, autocratic regimes, whose disposal of resources cannot be challenged by internal political opposition, have been able to roll out dense nationwide LIS networks when this served ideological and political purposes. It would be interesting to compare LIS development in the two Asian giants, the People’s Republic of China, rigidly controlled by the Communist Party, with India, the world’s largest (if imperfect) democracy. It would also be interesting to look at the LIS trajectories of certain CEE countries and former

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Soviet republics, where, after an initial enthusiam for democracy, new autocratic, populist governments increasingly seek to restrict intellectual freedom. This may offer opportunities for ‘natural experiments’ (cf. Section 5.5). The factor of political culture may show congruence with Hofstede’s ‘power distance’ dimension, but the relationship is not necessarily linear. Political ideology (6): capitalist versus socialist. Socialist governments are, at least in theory, more inclined to recognize and fund social services, including libraries, as a public good. However, if they are not successful in managing the economy, LIS development will be inhibited by lack of resources. Capitalist governments may be more inclined to give free rein to market forces in areas such as intellectual property, and this may inhibit LIS. However, if they succeed in generating wealth, affluence will allow substantial resources to flow to LIS along with education, health and social services. There is possible congruence here with Hofstede’s ‘collectivism versus individualism’ and ‘femininity versus masculinity’ dimensions. Legacy of literacy and libraries (7): a lengthy tradition of literacy and libraries versus a largely oral tradition. In countries with a long tradition of librarianship new ideas which call for departure from time-hallowed practices may threaten traditional elites and meet with resistance. New practices may more easily be adopted in countries without such a legacy, but in the latter the oral tradition, limited number of readers and a lack of resources for development are likely to inhibit LIS development. There is possible congruence here with Hofstede’s ‘uncertainty avoidance’ dimension. Receptiveness to external influences (8): openness versus refusal of external influence. Some countries are traditionally more open to new ideas than others. Resistance to new ideas may be the result of geography, history and political factors. Here too there is possible congruence with Hofstede’s ‘uncertainty avoidance’ dimension. Time orientation (9): short-term versus long-term thinking. In comparative education it has been noted that policy borrowing is quite often prompted by a government’s wish to find a quick solution to an embarrassing problem – and that the hastily borrowed policy is not always successful. Similarly, a country’s longer-term development plans may be put on hold or adapted to take advantage of short-term opportunities offered by donors. This may be to the detriment of coherent long-term development. There is congruence here with Hofstede’s dimension of ‘long-term versus short-term orientation.’ Agency (10): the role of organizations and structures in effecting change versus the role of individual agents. The ‘great man theory’ of history, popularized in the 1840s by Thomas Carlyle, has been widely criticized since Herbert

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Spencer in the 1860s. LIS historians today are often reluctant to attribute major developments in LIS to outstanding individuals and may prefer to cite social and cultural conditions. Nevertheless, a study of the LIS development trajectories of many countries shows that far-sighted, well-informed individuals with outstanding communication and leadership skills played major roles in LIS development. It has been noted that aid is frequently driven by the needs of donors and that donor motives are not always altruistic. In spite of this, personnel on the ground have often shown great dedication and made valuable contributions, a case of doing the right thing for the wrong political reasons. Multiplicity of influences (11): limited versus multiple influences. Many countries have traditional links with others which exert influence on their LIS development. The influencing countries may be major or regional powers, adjacent states, or economic powerhouses. The influence of the metropole may be very pronounced in colonial situations and decline after decolonization. Over time, tides of influence have washed over countries situated in zones of geopolitical competition, such as the countries of Central and Eastern Europe, the Middle East and the Korean Peninsula. Exposure to multiple influences would seem to be beneficial, giving rise to cross-fertilization and new departures. However, exposure to multiple influences can in certain situations lead to confusion, competition and conflict. Globalization is increasingly exposing LIS to multiple influences. Mediation (12): direct versus mediated influences. In many cases influences from an originating country are mediated – and in the process, modified – by others. An example is the influence of the Nordic public library model (the result of U.S. influence) in Southern Europe. One of the effects of globalization is that influence no longer emanates from single, identifiable sources, but is diffused through multiple channels, by multiple intermediaries. Context (13): Internationally accepted principles versus local realities. Quite apart from resistance due to cultural and political attitudes, the context of the influenced or recipient country may present significant obstacles to the importation and adoption of ‘international’ (often Western or American) LIS practice. This may explain why, when compared across a range of countries, university libraries show a greater degree of uniformity than public libraries do. The clientele of a country’s university libraries is an elite subset of the population whose needs do not vary as much from country to country. Much the same applies to specialized libraries in fields such as health and business, which tend to serve clients who focus on goals which are shared globally, and who have had much exposure to global practice in their fields. On the other hand, the potential clientele of the

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country’s public libraries is the entire population, so that these libraries, being deeply embedded in the society, are shaped more profoundly by the social and cultural context. This helps to explain why it is so difficult for public libraries to explain the rationales for their existence (cf. Widdersheim 2015). Homogenizing versus heterogenizing forces (14): in every country there are forces of homogenization, which tend toward global uniformity with concomitant loss of uniqueness and difference, and forces of heterogenization, which emphasize differences and celebrate uniqueness, as in multiculturalism. In LIS it is evident that international standardization in such areas as classification systems and cataloguing codes, is a driver of homogenization. This is countered by heterogenizing forces, manifested for example in attachment to national traditions in LIS and in an emphasis on the preservation of the unique documentary heritage of a country and its ethnolinguistic groups. For any given country a profile can be drawn in which the relative strengths of the above factors are depicted. In Figure 13.1 this is illustrated by means of a radar chart comprising eight factors for an imaginary country. The factors are represented on radii or spokes starting from the same point. The relative strength of each factor is depicted by plotting it on the respective radius, from zero at the centre to maximum at the ends. It is hardly necessary to state that the relative strength of the factors at work in a country may change over time.

Homogeneous Democratic

Wealthy

Long-term thinking

Autonomous

Receptive

Stable Legacy of literacy

Figure 13.1: Radar chart showing relative strengths of development factors for an imaginary country.

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Which factors and which combinations of factors are favourable to LIS development? Here the work of Lau and Ignatow, discussed in Section 11.3, is relevant, but they have only touched on a few of the factors. There remains much scope for both quantitative and qualitative comparative studies exploring the relative significance and impact of the internal factors listed here. In large-N quantitative studies, we could seek to measure the causative factors and apply multivariate statistical analysis to assess their relevance. In small-N qualitative studies, the factors could serve as criteria for the selection of countries for in-depth examination.

13.2.3 External factors Some significant external factors are listed here. As indicated below, some of the external factors are mirror images of the corresponding internal factors. International status (15): dominant or equal. This is the counterpart of internal factor (3). An influencing country may be in a relation of dominance over the country that is influenced. This is especially the case in donor-recipient relationships, which are often euphemistically called partnerships. Influence waxes and wanes with the power and prestige of the influencer. As shown by the relationship between LIS in Europe and the USA, the tide of influence may be reversed as political and economic power shifts. Shifts may at times be sudden, as in the case of the collapse of the Soviet empire. Political ideology (16): This is the counterpart of internal factor (6). The ideology of an influencing or donor country has a big influence on the volume and nature of that country’s aid. Socialist governments have tended to be more generous in funding foreign aid when this is measured as a percentage of GNP. However, the amount of aid depends on the size of the donor’s economy. Aid by the USA amounts to a small percentage of GNP, but because of the size of that country’s economy, it dwarfs aid from all other donors. Conservative and capitalist governments tend to be more insistent on favourable results and less tolerant of wastage. This is illustrated by the adoption of stricter selection criteria and quantitative performance measurement systems by certain Nordic governments when centre-right parties gained greater influence in the governing coalitions. Tradition of librarianship and information services (17): This is the counterpart of internal factor (7). Influencing countries are inclined to persuade the countries they influence to adopt their LIS philosophy and practices. This is also evident when they make donations to developing countries. If study grants are offered, it goes without saying that the grant will almost always be for study in the donor country (which some sceptics have described as a

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disguised subsidy to the donor country’s educational institutions), and that any aid in kind will be sourced primarily in the donor country. This is true of all forms of aid. Time orientation (18): This is the counterpart of internal factor (9). As mentioned in Chapter 10, Section 10.17, donors increasingly prefer short-term aid projects which can be completed within their budgetary cycles. Unfortunately, these can result in uncoordinated and unsustainable development efforts in recipient countries. Altruism versus self-interest (19): International relations are invariably determined by domestic political considerations. This also applies to cultural diplomacy and development aid. The development trajectories described in chapters 11 and 12 show that geopolitical concerns such as Cold War competition have often determined the selection of recipient countries and the amount and kind of aid given to them. This extends in many cases to civil society organizations. In the USA, some charitable foundations at times served to all intents and purposes as agents of the State Department. Among non-governmental organizations more altruistic choices may be made, but even here the welfare and survival of the NGO itself often carries some weight in decisions on aid projects: hence they tend to work in countries and sectors which have a good track record as aid recipients. Direct versus mediated influence (20): This is the counterpart of internal factor (12). Here we note the role of international organizations such as UNESCO and IFLA as mediators in the diffusion of innovations and in policy transfer. UNESCO played a significant role in LIS development until the 1980s but today it cannot access the resources from UNDP that used to make it a significant donor. Instead, it relies even more than in the past on channelling to recipients resources made available by member states. IFLA, funded by other bodies such as national aid agencies and latterly by charitable foundations such as the Bill and Melinda Gates Foundation, continues to play a role as a mediator of innovation in LIS, mainly as a carrier of Western LIS philosophy and practice. For each donor or influencer, a profile similar to that in Figure 13.1 could be drawn up. It would be interesting to see to which extent the radar charts of recipients of LIS aid and influence complement those of their main donors and sources of influence. Observation of LIS trajectories in various countries and regions suggests that we should place more emphasis on LIS development as an endogenous process driven by the interplay of internal factors – Ragin’s “multiple conjectural causation,” discussed in Section 5.8. LIS development is a process in

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which external factors interact with internal factors to stimulate, facilitate and at times push development. Global trends play an important role and exercise a homogenizing influence, but the LIS trajectory of each country is unique because each country has a unique profile of internal factors. I do not expect to see the global uniformity of LIS that was anticipated by earlier comparativists. While a great deal of similarity is evident in respect of worldwide innovations in materials, databases, equipment, techniques, and matters of a concrete and practical nature, global uniformity is much less likely in policy transfer relating to governance, educational and cultural philosophies, values and social aims. This is related to the degree of context dependence of the innovation or policy, as depicted in Figure 9.10. Section 9.12.

13.3 Reflections on the use of theory The trajectories described in Part IV of this book bear – or should bear – some relationship to the theoretical material presented in parts I, II and III. We have seen that concepts and theories relating to political economy, innovation, policy transfer and development are reflected to some extent in the LIS trajectories described there. But to what extent do scholars in our field utilize these concepts and theories, and are they being put to work when LIS practitioners engage in the processes of innovation, policy transfer and development aid? Influence is the stuff of library history; library historians almost universally record some of the domestic factors and foreign influences that have shaped LIS in their countries. They have produced insightful studies, but, seen from the perspective of international and comparative librarianship, their accounts are often not sufficiently systematic, and they do not always make a sufficiently thorough review of the issues that are of interest to comparativists. There is a great deal of experiential, historical and descriptive literature on LIS development, whilst the archives of governments and aid organizations hold a wealth of experience and insights which are not drawn upon often enough. However, since the pioneering attempts by scholars such as Carl White and Robert V. Williams in the 1970s and 1980s, not much has been done to create a synthesis of this material and to develop theory, let alone a theory, relating to LIS development. In the developing world a great deal has been written about the relevance of LIS to national development, but most of this literature is promotional rather than evidence-based. And although many observations have been reported and some generalizations have been formulated, we do not find serious theoretical treatment of LIS development or LIS development aid in introductory LIS texts. Neither do these topics feature much in LIS curricula.

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Professionals involved in LIS development have not made much use of theory from other disciplines which may be relevant to their work. Here political economy, discussed in chapters 7 and 8, and theories of cultural change, diffusion of innovation, policy transfer, and development, and aid, discussed in chapters 9 and 10, come to mind. Concepts from the political economy of information are very much part of discourse in LIS on intellectual property, but not so much in other areas of LIS. In development theory political economy features very prominently. It would be interesting, for example, to study systematically and comparatively the impact of neoliberal ideology on LIS development. The negative effect of structural adjustment programmes on LIS have frequently been referred to, also in this book, but the evidence is largely anecdotal or circumstantial. There is an enormous literature on development and specifically on development aid, but in most accounts of LIS development aid projects one looks in vain for any evidence of a theoretical foundation. Librarians and information workers, it seems, are doers and do not want to be confused by accounts of what others have tried, let alone by theory. And like practitioners in other fields, they do not like to write about their failures, which may explain why the literature on projects that are planned or have just been launched is far more extensive than that describing project outcomes. Failure to learn from mistakes condemns other projects to failure as well. The Rogers theory of diffusion of innovations and some of its offshoots (see Section 9.8) are an exception to this generalization. Theories in this family have been applied to innovation in LIS and related fields, but mainly in relation to quite specific innovations. It is disappointing to note that the wealth of theory on policy transfer that has been accumulated in comparative education, politics, social policy and other fields, has hardly been exploited by scholars in LIS. These sources of theory have also failed to attract the attention of practitioners. However, librarians and information workers are more regularly exposed to management literature. As a result, we note the occasional application of concepts from marketing, strategic planning, organizational development and change management to aspects of LIS development. These mainly focus on effecting change in organizations. On the positive side, the paucity of theoretical work offers opportunities for scholars. Similarly, we see that authors reporting on comparative studies in LIS appear to make little use of the literature on comparative method. This applies not only to the limited and somewhat dated methodological literature on comparative librarianship (mainly from the 1970s and 1980s) but also to the more voluminous and recent literature of comparative method in other disciplines. Most research in comparative librarianship appears to be grounded in naive empiricism, as described in Section 3.2. When we study and compare LIS in other countries, setting out without theoretical reflection puts us at risk of being led

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astray by unconscious cultural bias and the assumption that the way things are where we come from is the norm everywhere. LIS practitioners, it seems, avoid complexity. Indeed, in any profession there is some tension between reflection and action. Too much reflection and discussion can inhibit action. Close study of a situation takes time and effort and the results may be discouraging. Research results often do not provide immediate solutions to practical problems; in fact, today many practitioners find it difficult to see the relevance of much of the research conducted in LIS schools.1 But one should not blunder into innovation or development projects without prior reflection. Hence, methodological issues such as those discussed in Part II are relevant not only to comparative researchers. Any intervention in a system will have repercussions elsewhere in that system. This is true of interventions such as adopting innovations, borrowing policies from others, and providing and accepting aid – all of which also involve comparison, whether explicit or implicit. No interventions are neutral. They are always based on the assumptions, understandings, motives and resources of the actors. Hence the self-examination implied by Chapter 4 is not only relevant to researchers but also to practitioners. The literature shows little evidence that this is happening. Regardless of whether they are engaged in comparative research as such, I would argue that both scholars and professionals in LIS can benefit by a better understanding of the principles of comparison in LIS research generally and in many aspect of LIS praxis. It is hoped that the concepts and considerations set out in chapters 5 and 6 will be helpful in this respect. Greater clarity would arm thesis supervisors, who need to stop well-meaning graduate students e-mailing ill-considered questionnaires to international colleagues. It would inform LIS professionals engaging in international job exchanges, state-sponsored consultancies, development projects, sister libraries and partnership schemes and the like. In particular, it would contribute a better understanding of what underpins successful development in developed as well as developing countries.

13.4 Has international and comparative librarianship failed? One of the reviewers commenting on a draft of Part IV of this book, expressed some doubt that “International and Comparative Librarianship is worth a substantial project such as this,” and posed the question, “Isn’t International

1 This is due at least in part to the constraints on university-based LIS research, as touched on in the sociological dimension of research (Section 4.6).

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Librarianship, as a set of multiple activities over quite a long time, to a considerable extent a failed project?” Another reviewer, commenting some time ago on an article I had written about comparative librarianship, also expressed surprise of my choice of topic and suggested that it might be passé. These comments deserve serious consideration. They pose questions at several levels. A first question concerns international librarianship as a field of professional activity. From the 1950s to the 1980s much of this activity was focussed on LIS development in developing countries and on various aid projects, many undertaken in developing countries by enthusiastic LIS workers from developed countries. There was also interest in comparing LIS in different countries and in internal library cooperation and standardization. These activities were reflected, for example, in the publications of the Library Association’s International and Comparative Librarianship Group (ICLG). Not all the international activity was equally successful. In particular, there was some disappointment and scepticism in respect of LIS development aid, which showed mixed results. If international and comparative librarianship is seen as mainly concerned with LIS development in developing countries, it may be argued that it has failed. However, this is a very narrow understanding of international and comparative librarianship. Since the 1990 a great deal of LIS development work has been carried out not only in the traditional developing countries, but also in other regions such as the CEE countries and the former Soviet republics. In at least some of these countries this has contributed to substantial improvement of LIS. In any case, the results of development interventions may not become evident until some time has passed. Here one thinks particularly of the longterm benefits of LIS education and training. The non-material benefits to agencies and individuals involved in development work, such as the experience and insights they and their students have gained, should also not be overlooked. Some of the activities discussed in the heyday of international librarianship have been phased out and since then there have been changes of emphasis, but international activities have not faded away. On the contrary, their range has expanded well beyond LIS development to such issues as intellectual freedom, equitable intellectual property arrangements, access to knowledge, open access, open data, and digital preservation. Notable international advocacy efforts have aimed to ensure that the role of LIS is recognized in the SDGs, and that libraries and LIS education worldwide remain relevant and fit for purpose in the rapidly changing environment. Typical examples of these activities have been mentioned in the development trajectories. It is worth noting that much of this activity is at a global scale. International librarianship as a “brand” is not very visible, but as a field of activity encompassing many projects, it is still very much alive and continues to be relevant to the LIS profession.

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A second question concerns the recognition of international and comparative librarianship as a field of study and research. As discussed in Chapter 2, Section 2.3, the ICLG in 2002 changed its name to International Library and Information Group and renamed its newsletter Focus on international library and information work. This reflected a more general decline of interest in international and comparative librarianship as a field (or conjoined fields) of study in the Anglo-American profession, a decline reflected also in the dwindling number of LIS schools offering this as an elective course. Comparative librarianship in particular receives little attention today. As a scholarly field its output has been meagre. Scholarly study of international librarianship has yielded a modest but fragmented literature. Neither area has developed a coherent body of findings and theory. Comparative and international librarianship has failed to develop into a scholarly discipline. A third question, which concerns the practical value of study and research in international comparative librarianship was discussed in the previous section. It is clear that what has been reported and described – a not inconsiderable amount of work, as discussed and systematized in this book – has not garnered as much interest among practitioners working in the field as one would want. In this regard I would argue for the relevance and value of insights from international and comparative librarianship. LIS systems as we see them today are the result of multiple conjunctural causative factors. Untangling these helps us to make sense of where we are and where we are headed. To adopt the language of the systems approach, it is helpful to see LIS as embedded in multiple interacting and conflicting systems. Such understanding facilitates coping and, ultimately, survival. In this context the discipline of the comparative method is of value not only in theory and research, but also in providing a sound conceptual basis for professional activities, whether international or domestic. It is unfortunate that the potential value of international and comparative librarianship has not been recognized.

13.5 Is there a future for international and comparative librarianship? Should international and comparative librarianship be written off as a quaint chapter in the history of librarianship? In that case, this book would at best serve as its summation, a memorial to past endeavours, and a contribution to the history of librarianship. Has international and comparative librarianship failed? Yes, in the sense that the profession has mostly preferred to muddle through without it. But that

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does not mean that it is not needed or potentially useful. For that reason I have in this book attempted to give a fairly systematic overview of what has been done and what has been learnt; to raise awareness of the wealth of insights and theory that can be exploited (from experience in LIS and from other disciplines), to explore methodological issues, and to propose some guidelines for improving the quality of both scholarly and practical international and global activities in LIS. In Chapter 1 the evolution of international librarianship was sketched, and the advent of globalization was noted, In Section 2.10 I outlined the challenges and opportunities presented by globalization. As suggested there, I would hope to see a broadening of international and comparative work in LIS into a field characterized by increased interdisciplinarity, a greater awareness of the multipolar global context and the blurring of lines between the developed and developing world, critical exploration of the impact of globalization on LIS, and more interest in transnational as distinct from cross-national phenomena in comparative studies. I would also expect more attention to be paid to LIS from a systems perspective, and an extension of the field to a wider range of information agencies and other agencies tasked with the transmission of the cultural record. I would argue that, abandoning any pretension for international and comparative librarianship to achieve the status as a scientific discipline, there is still much that is worth retaining and developing, under whatever designation can reflect the broader field sketched here. If this book is indeed a summation, I would like to think it a summation, not of the end of the field, but of the end of a phase that will be followed by a phase of renewed and more informed interest in an expanding and evolving field. And if some LIS practitioners and scholars find inspiration, points of departure, and guidance in it, this book will have been worth writing.

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Index A2K. See access to knowledge A2M. See access to medicines Aboriginal people (Australia) – research ethics 222 absorptive capacity – development aid recipients 592 abstracting. See indexing and abstracting Acacia Programme on Communities and the Information Society in Africa 671 academic libraries. See also research libraries – Africa 404, 440 – donor dependence 665, 705 – area studies collections 34, 55 – Canada 641–643 – Central and Eastern Europe 683 – digitization 428 – exchange agreements 17 – India 654 – journal subscriptions 401, 442, 607 – Latin America 626 – New Zealand 646 – satellite campuses 704 – USA 31, 633 access to knowledge 417–438 – North-South barriers 440–444 – political economy 387 access to medicines 417, 421 Access to Research for Development and Innovation (ARDI) 419 accountability – corporations 372 – foundations 368 – LIS development aid 29, 579, 589 – non-governmental organizations 363 accreditation – LIS education 113 acculturation 469 Ackoff, Russell L. 114 acquisitions. See collections and collection building actor-network theory 487 actors – change processes. See agents https://doi.org/10.1515/9783110267990-015

adaptation – professional practice 60–61 Adelphi Charter 417 advocacy 371 – access to knowledge 413, 421–429 – civil society 387 – coalitions 492 – policy transfer 510 – comparative librarianship 196 – corporate 378, 432 – international 59, 389, 422 – LIS 59, 422 – multinational corporations 374 – networks 362 – publishers 401 Africa. See also sub-Saharan Africa; names of subregions (e.g. East Africa; West Africa) and names of individual countries – academic libraries 440 – colonization 535, 537, 540, 541 – copyright 405 – open access 434 – post-colonial LIS development 635, 660–661 – slave trade 534 – statistical data 336 African Caribbean and Pacific (ACP) Group 280 African Copyright and Access to Knowledge (ACA2K) 194, 203 African Information Society Initiative 671 African Journals Online (AJOL) 717 African Studies Association – research ethics 223 Africana Librarians Council, 55, See also Africa Studies Association Agence centrale des échanges internationaux 18 agencies – social 119 – sociology 120 agents – development aid 584 – international transfer 519

866

Index

– policy transfer 509 – education 511 aggregate fallacies 255, 282 AGORA 419 agreement and difference (J.S. Mill) 273 aid. See development aid – official development 572 – tied 579, 592 Akademische Tauschverein 18 Alexandria, Library of 10 Algeria – LIS development 637–638 All-Union Institute of Scientific and Technical Information. See VINITI altmetrics 328 altruism 42 Amazon 402, 445 – full-text access 44 – information dissemination 43 ameliorative studies 196–197 American Book Committee on Children’s Libraries 525 American Committee for a Devastated France 526 American Corners – Central and Eastern Europe 684 – cultural diplomacy 707 American influence – Australia 634 – Canada 634, 641–643, 651 – Central and Eastern Europe 683–684, 687 – China 621–625 – Europe 18, 498 – France 525–527 – Germany 699 – Iran 620 – Japan 619 – Korea 619 – Latin America 628–631 – LIS development 619–621 – LIS education 526, 661 – New Zealand 482, 634, 649–651 – Norway 699 – Philippines 658 – public libraries 525–527 – UNESCO as vector 713

American Library Association 19 – Carnegie grants 639, 643 – collaboration with US State Department 24, 630 – Committee on International Relations 20 – international activity after First World War 526 – LIS development aid 526, 577, 623–624, 629–630, 640, 642–643 American Library in Paris 23, 526 Americanization 37 – Canada 643 – Iran 621 Americentrism – periodization 5, 7 Andrew W. Mellon Foundation. See Mellon Foundation Anglo-American librarianship 5 – British dominions 635 – Central and Eastern Europe 687 – critique 665–667, 671 – influence 713 – models 530 – national library systems 661 – promoted by UNESCO 672 – public libraries. See public libraries: models) anglophone countries 107 – LIS – compared with francophone countries 677 “Anglo-Saxon model”. See Anglo-American librarianship, Anti-Counterfeiting Trade Agreement 408, 425 antiglobalist movement 37 Anyon, Jean 101 apartheid 634, 637 applied research – metatheory 195 applied social science 494–500 appropriate technology 669 Arab-Islamic civilization – literacy tradition 616, 637 archetypes of failure 489 archives 109, 321 – migrated 447 area studies 33–34, 55

Index

Argentina – LIS development 628 Aristotelian science 101 Armenia – LIS education 694 artefacts 158 Article 19 (organization) 337 artificial languages 17 ArXiv 431 Asheim, Lester 54, 72 Asia. See also South-East Asia – colonial libraries 657–658 Asia Foundation 663 Asiatic Society 538, 657 Association of American Publishers – opposition to open access 433 associations. See also non-governmental organizations, LIS associations and names of specific associations, 30, See also international non-governmental organizations asymmetry – comparative studies 171 – North-North information flows 458 – power relations 439, 495 – research 189, 223, 224 – surveys 309 attributes – definition of concepts 296 Augst, Thomas 111, 157 Australia – Aboriginal studies 222 authenticity – interpretivist epistemology 213 authors – copyright stakeholders 397 – developing countries 451 – personal archives 447 – rights 395n54 – self-archiving (open access) 431 automation – indexing & abstracting 32 – LIS 31, 683, 710 autopoiesis 133, 135 Baltic states. See also Estonia, Latvia and Lithuania

867

– EU programmes 691 – LIS development 684 – Nordic aid 687, 692 – Soviet occupation 679 Bandung Conference 1955 454 bandwidth 443, 444, 453 Barefoot librarian 666n16 Barr, John – Munn-Barr Report 647–648 basic needs – development strategy 562 Batavian Society of Arts and Sciences 657 Bates, Marcia 110 Beall, Jeffrey 435 being, theory of (ontology) 200 Belgium – library reconstruction after WW1 23 Bell, Daniel 41 Belle Époque 6 benchmarking 89, 198 – LIBECON 601 beneficiaries – international transfer 523 Benge, Ronald Charles 156, 666 Benjamin Franklin Library. See Biblioteca Benjamin Franklin Bereday, George Z.F. – comparative education 172, 348 – comparative method 246–251 – influence on comparative librarianship 75, 77, 216 Berlin Declaration 429 Bernal, J.D. 26 Berne Convention (1886) 406, 426 Bertalanffy, Ludwig von 105n8, 129 Bertrand, Anne-Marie 283, 526–530 best practice – motive in comparative librarianship 60–61 Bethesda Statement 429 bias – courtesy 318 – cultural 188, 189 – diffusion of innovations 477 – e-mail distribution 313 – informants 350 – interviewing 317, 319 – questionnaire respondents 313

868

Index

– secondary sources 346 bibliographic control 6, 20, 40, See also standardization, bibliographic; UBC; universal bibliographic control – developing countries 456 – historical context 6 – League of Nations involvement 24 – UNESCO programmes 27 bibliographic databases – bibliometrics 327 – CD-ROM access 706 – Central and Eastern Europe 683 – library and information science 342 – online information retrieval 706 – South-North information flow 451, 453 bibliographic records – sharing 31 bibliographic standardization. See also cataloguing: rules; International Standard Bibliographic Description (ISBD); MARC – Central and Eastern Europe 683 – China 624 – IFLA 29 – industry standards 44, 709 – innovation 476 – international 31, 44 – South Africa 476 – UNESCO programmes 27, 29 bibliographic utilities 43 bibliographies. See bibliographic control bibliometrics – comparative librarianship 73, 236 – international librarianship 67, 73 – research evaluation 200 – research method 326–328 Biblioteca Benjamin Franklin, Mexico City 24, 630 Bibliothèque nationale, Paris 12, 524 Bibliothèque publique d’information (BPI) 529 bibliothèques municipales 529 bibliothèques populaires 529 Bibliothèques sans Frontières 584 bicultural researchers – cross-cultural research 224, 319 big data 328 “big deals” (journal acquisitions) 401

big government (ideal type) – LIS conditions 377 bilingual researchers – cross-cultural research 319 Bill and Melinda Gates Foundation. See Gates Foundation binational centres (US State Department) 24, 629 BioMed Central 432 biomedical ethical model 218 bioprospecting 668 Bliss, Nonie J. 67, 327 Blue Shield 366, 584 BOBCATSSS 693 Bologna process 692, 700 book aid – after Second World War 33 – LIS development 583, 704–705 – political economy 380 – unintended effects 138, 369, 421, 445, 705 – USA to India 663 book chain 142f book donations. See book aid book industries. See also bookselling, publishing – Central and Eastern Europe 682 – developing countries 444 – international comparative data 338 – LIS development 716 – sub-Saharan Africa 654 – transitional economies 380 – under big government 378 – under small government 379 bookselling 402, 445 borrowing ideas. See cultural borrowing; innovation(s); policy transfer Boulding, Kenneth 129 Bradford’s Law 136 brain drain and brain gain 45, 449 Braudel, Fernand 8 Brazil 627–628 Bretton Woods institutions 385–386 Brewster, Beverly J. 590 BRICS 455 – as donors of development aid 573 Briquet de Lemos, Antonio A. 54, 666

Index

British Commonwealth. See also British dominions; British Empire – LIS development 24, 633–651, 661 British Council 347 – Cold War 33 – colonial reading rooms 659 – cultural diplomacy 54 – leadership development 715 – libraries 707 – LIS development 29, 33, 576 British dominions 542 – LIS development 633–637 British Dominions and Colonies Fund. See Carnegie Corporation: in British dominions and colonies British Empire 10, 13, See also British Commonwealth; British dominions British influence – Canada 641 – LIS education 633, 661, 699 – New Zealand 645–646 British Library 30 – Document Supply Centre 441, 458 British Museum – Department of Printed Books 13 Broadcasting Treaty 425 Budapest Initiative 429 Bunge, Mario 133 bureaucrats – policy transfer 510 business sector 369 – policy transfer 498–500 Canada. See also Quebec – French influence in 640 – influence of US foundations 634, 641–643 – International Development Research Centre 621, 671 – LIS development 634, 640–644 canned questionnaires (international surveys) 309 capability approach – development theory 566 Carnegie, Andrew 638 Carnegie Corporation of New York 638 – British Dominions and Colonies Fund 642 – consultants 711

869

– in British dominions and colonies 50, 633, 639, 642 – in Canada 641–643 – in India 663 – in New Zealand 482, 646–651 – in West Africa 660 – key individuals nurtured 697 – library buildings 708 – library surveys 636 – LIS development 24, 368, 576, 586 – LIS education 660, 699 – Munthe report 50 – national library systems 661 – reports commissioned by 70 Carnegie Endowment for International Peace 525 – Paris Library School 526 Carnegie visitors. See Carnegie Corporation of New York: consultants cascading knowledge. See train-the-trainers procedure case stretching 284 case studies 259, 262, 267–277 case-oriented studies 260 cases 257–258 – number of (strategy) 258 – terminology 252–253, 256–258 Castells, Manuel 568–569 cataloguing – international cooperation 31, 34 – rules 20, 632 – theory 19 Catholic Church – Latin America 625 – resistance to public libraries 641 Caucasus. See Armenia; Georgia causal relations. See causation causality. See causation causation 75, 273 – comparative research 242 – conjunctural 268 – educational change 502–503 – force field analysis 502 – hypothetical example 105 – many-country comparisons 263 – multiple 268, 502–503 – ontology 201, 202, 208

870

Index

cause and effect. See causation CD-ROM databases – developing countries 706 CDS/ISIS 709 censorship – institutional 324 – internet 276 – Soviet 679 censuses 312, 345 Centennial Exposition, Philadelphia (1876) 18, 19, 632 Central and Eastern Europe – comparative librarianship 197 – Council of Europe programmes 695 – European Union programmes 691, 695, 700 – LIS cooperation 484 – LIS development 679–687 – LIS education 700 – Telematics for Libraries programme 691 – US foundations in 368, 369 – Western consultants 712 Centre Pompidou, Paris 529 ceteris paribus principle 273 change – cultural. See cultural change 469 – disruptive 445, 455 – Central and Eastern Europe 682 – colonization 540, 547 change agents 651 – diffusion of innovations 482 change management 145, 481, 609 – public libraries 482 channels – communication 125, 127 – development aid 584 – diffusion of innovations 474, 520 – influence 612 – international transfer 520 – scholarly information 180, 182 checklists – comparative librarianship 209 – evaluation of methodology 285–287 – evaluation of methods 351–353 – metatheoretical assumptions 228 children’s libraries 23 – France 525, 526

Chile – LIS development 628 Chilisa, Bagele 222 China – as aid donor 575 – LIS development 621–625 – literacy tradition 616 – opium wars 535 – royal archives/libraries 10 – Russian libraries in 619 – Western incursions 617 – Western librarianship 666 CIA World Factbook 330 citation databases 32, 450 – South-North information flow 451 citation studies 313, 327–328 civil society 361–369 – Access to Knowledge movement 417 – globalization 46 – international political economy 364–365 – relations with business 374 – relations with intergovernmental organizations 387 – relations with UN agencies 365 – under small government 378 – WSIS participation 389 “civilizing mission” 537 class concepts 292 classification – countries 276–280 – ontology 207 clients 117, 119 – copyright stakeholders 397 – LIS development 701–704 – unaffiliated 443, 459 climate – factor in library development 106, 666 clinical witnesses 317 cluster analysis 267 Cold War 438 – area studies 34 – comparative librarianship 197 – country groupings 550 – cultural diplomacy 33 – effect on LIS education 35 – effect on scholarly communication 26 – IFLA diplomacy 28

Index

– LIS development aid 579, 620, 672 – role of US foundations 368 collaboration, international. See also research; collaboration – European LIS 696 – knowledge production 327 – LIS development aid 586 – obstacles 404 – South-South 456 – universal bibliographic control 12 collaborative research. See research: collaboration collections and collection building 109 – aid. See book aid – colonial 10 – cooperative programmes 34 – core concept in librarianship 110 – foreign material 55 – heritage 158 – LIS development 704–707 – post-Soviet reorganization 683 – private collections 447 – South-North information flows 446 – universal 11–12 – usage 112 college libraries. See academic libraries College of Librarianship Wales – leadership development 715 Collings, Dorothy G. 60 colonialism 10, 533–541, See also colonies; neocolonialism; postcolonial – impact on indigenous peoples 222 – influence 104, 107, 456 – internal 544 – policies 107 colonies 533–541, See also neocolonialism; postcolonial, Includes former colonies – British 107 – empires 14 – European colonization 655–657 – European settlement 104, 534–536, 625–627, 632–652 – French 107, 673–678 – Latin America 534, 625–627, 631 – limited European settlement 654–678

871

– LIS development 107, 278–279, 588, 625–678 – modernization theory 561 – racism 636 – typology 104, 536 colonization. See colonies Comecon 679 Commission on Intellectual Cooperation (League of Nations). See International Committee on Intellectual Cooperation Committee on Publication Ethics – open access journals 433 commodification 41–43 – information 394, 413 commons (public domain) 412–414, See also knowledge commons Commonwealth (former British). See British Commonwealth Commonwealth of Independent States. See former Soviet republics communication channels. See channels communication science 124 communist bloc. See Soviet Union, sphere of control community information centres 669, 670 community internationalism 17, 22–25, 48 community libraries 669 community-based organizations 361, 363 companies. See corporations comparability – secondary sources 345–346 comparative education 228 – ethnocentrism 186 – influence 74 – methodology 232, 243, 246–249 – nomothetic approach 216 – policy transfer 501, 502 – research 184 comparative librarianship 59–67, 73–81, 86–92, 98–99 – current status 732–733 – first mentions 50 – future 733–734 – literature 51–52, 63–66, 99f – methodology 73–75, 251 – ontology (classifications) 209 – purpose 464

872

Index

– systems approach 136 – theory 106 comparative method 239–285 – terminology 252–258 – value in LIS 731 comparative politics 228, 241, 243 comparative-cases strategy 267 comparativists 243 comparators 244, 257–258 comparison, 245–251, 283, See also asymmetry; diachronic comparisons; few-country comparisons; many-country comparisons; synchronic comparisons – countries 258–280 – incidental 76 – LIS development 624, 651 – public libraries 528–530 – rankings tables 198 complexity theory 135 computerization. See automation concept stretching 265, 268 concepts 103, 291–311 See also class concepts; constructs, research: concepts, variables. – equivalence 304–312 conceptual frameworks – hierarchy of knowledge conceptualization – comparative method 249 conduit metaphor 124 Conference of NGOs in Consultative Relationship with the United Nations (CoNGO) 365 conferences. See also names of specific conferences, congresses, meetings, and bodies, e.g. BOBCATSSS, IFLA, UNESCO, and under International… – bibliography of 21 – LIS 18–20, 68, 630, 631, 662 – non-formal education 710 – Pan-American 631 – papers 68, 341 congresses. See conferences conjunctural causation. See causation, conjunctural consortia (libraries) 108, 420 – innovation example 477

constructivism 116 – epistemology 213 – ontology 203 constructs 292, 297, 298 – measurement 310 consultants 711 – reports 70 – technology transfer 711–713 – UNESCO missions 662 consultative status – non-governmental organizations 365 consumer behaviour 480 contagion – diffusion theory 478 content analysis 235, 325–326 – sampling 314 context – comparative method 250, 251 – concepts 303 – innovation (context dependence) 518 – international transfer 496, 503–509, 516 contingency tables 264t continuum of educational transfer 507f control – of variables 273 – scientific goal 193 Convention Concerning the Protection of the World Cultural and Natural Heritage (1972) 157 Convention Establishing the World Intellectual Property Organization (1967) 395 Convention for the Protection of Cultural Property in the Event of Armed Conflict. (1954) 157, 366 Convention for the Protection of Industrial Property (1883) 406 Convention for the Protection of Literary and Artistic Works (the Berne Convention). See Berne Convention (1886) 406, 426 Convention for the Safeguarding of the Intangible Cultural Heritage (2003) 157 Convention on the Rights of Persons with Disabilities (2006) 424 convergence 47 – LIS 121 – policy transfer 496, 512

Index

conversation theory 116 cooperation. See also resource sharing – cataloguing 31 – Central and Eastern Europe 79, 484 – comparative research 195 – Europe 690, 693, 696 – international. See names of relevant bodies, e.g. International Committee on Intellectual Cooperation; specific library associations; and names of programmes, e.g. UAP and UBC – international development. See development aid – library associations 20 – LIS 18, 57–59, 69, 715 – LIS education 58, 691 – South-South 454 – UNESCO programmes 27 Cooperative Africana Materials/Microform Project (CAMP) 55, 447 Co-ordinating Council of Audiovisual Archives Associations 366 Copyleft 435n25 copyright 395–409 – digitization 427 – non-proprietary alternatives 435 – North-North information flows 458–459 – North-South information flows 441–443 – obstacle to preservation 426 – research outputs 225 – terminology 395n54 core–periphery relations – development theories 563, 564–565 – diffusionism 471 – scientific and scholarly communication 451 corporate culture. See organizational culture corporations 370 – concentration of power 371 – influence on non-governmental organizations 375 – multinational 36, 37, 39, 41, 373–374 – social responsibility 372, 374 Council of Europe 685, 695 counterfactuals – selection of countries 271

873

countries. See also categories of countries, e.g. developing countries; landlocked countries; small island developing states – background information 330, See also libguides – classification (World Bank) 279, 557 – comparability 244, 265 – comparative data sources 332, 341 – comparisons 259 See also few-country comparisons; many-country comparisons; single-country comparisons – official information 331 – ontological assumptions 245, 263 – selection (research) 266, 271, 276 courtesy – interviewing 317–318 Creative Commons 435 creators – copyright stakeholders 397 critical realism 173, 202 critical subjectivity 214 critical theory 194 – epistemology 213 – ontology 202 cross-border relations 97 cross-case studies, 262, 263, 283, See also many-country comparisons cross-cultural research 108 – criterion for comparative librarianship 88 – ethics 154, 221, 223 cross-national – attraction (policy transfer) 504 – concept 94 – research 108, 185, See also multinational research cross-sectional studies 263, 283 See also many-country comparisons – LIS 605 cross-societal research – criterion for comparative librarianship 88 cultural borrowing 464 cultural change 469–472 cultural competence 188 cultural developmentalism. See developmentalism, cultural

874

Index

cultural diplomacy 33, 684 See also American Corners – in Central and Eastern Europe 686 – in developing countries 707 – in Latin America 629 – LIS development aid 33, 576, 579 – Second World War 24 cultural diversity 37, 41, 156, 158, 390. See also languages: diversity cultural ethnocentrism 187 cultural expressions, traditional 158 – South-North information flows 448 cultural hegemony. See hegemony, cultural cultural heritage. See heritage cultural identity 159 cultural imperialism. See imperialism, cultural cultural internationalism. See internationalism, cultural cultural pluralism 156 cultural record – disciplines of the 110 – long-term access 426–429 cultural relativism. See relativism, cultural Cultural Revolution (China) 622 cultural sensitivity 317 culturalism – interpretivist epistemology 214 culture 150–159, See also national cultures; organizational culture; and cultural processes, e.g. heterogenization; homogenization; hybridization; – concept 150, 298 – LIS development 667 – market capitalism 439 – sociology of science 184–186 curation 119 – data 115 – digital 119n22 custodial tradition 629 Czech Republic – post-Soviet LIS 682 DA2I. See Development and Access to Information Dadzie, E.W.K. 675 Dag Hammarskjöld Library 330, 385

Danton, J. Periam – comparative librarianship 74, 75, 78, 87, 88 data. See also research data; statistical data – and theory 105 – categories 255 – curation 115 – DIKW model 114 – ontological status 206 data matrix 252–253 debt relief – development aid 582 decolonization 542–544, 672 – Latin America 535 – psychological 546–547 – Western LIS model 671 definitions – operational 300 – semantic 296 – types 293 dematerialization 39 democracy – contribution of libraries 607 – typology 277 Democracy index 265n19 demonstration projects – public libraries, Canada 643 dependency theories 563 deprivation, relative & structural 556 design-reality gaps 489 determinism 171 – linguistic 192 developed countries – terminology 549 demonstration projects (libraries) 643 developing countries, 549–554, 654 See also African, Caribean and Pacific (ACP) Group; Group of 77; least developed countries; Non-Aligned Movement – access to knowledge 419–421 – dependence 411, 455–456 – economic strength 455 – information dissemination 455 – intellectual property 403, 406 – internet access 443

Index

– LIS development 29–30, 33, 660–672, See also names of developing countries, groupings and regions – open access 42 – statistical data 331, 346 – survey research 309, 315 – transitional economies (ideal type) 379 – transport and communications 456 – typology (hypothetical) 278, 279t development 425, 556–596 – aid. See development aid (below) – contribution of LIS 603 – cooperation – terminology 571 – country trajectories 361, 553–554, 561, 570, 613–616, 721–729 – indicators 335 – measurement 557–560, 558–559t – need for information 403 – ontological assumptions 204 – political economy 361 – socio-economic 267, 605 – statistical data 332 development aid 570–596, See also humanitarian relief; LIS development: aid; military aid – agencies 325, 571, 575–588, 592 – conceptual framework 574f – coordination 592 – dependence 593, 665, 705 – international transfer 521 – Nordic 571, 580 – official 573, 586 – reporting 325 – systemic 425, 715–718 Development and Access to Information (DA2I) 425 developmentalism – cultural 155 deviant cases. (selection of countries), 272 Dewey Decimal Classification 19, 44, 632 – diffusion 464, 467, 483, 525 DG CONNECT 199, 688–690 diachronic comparison 282, 283 – versus synchronic 284f diagnostic-therapeutical studies – comparative research 196

875

diasporas 97 – Central and Eastern Europe 682 diffusion 468–473, See also stimulus diffusion – innovations. See innovation(s), diffusion – of policy. See policy transfer diffusionism 471–473 digital divide 42, 388–390, 706 – North-South information flows 443 – South-North information flows 454 digital resources – copyright 406 – licensing 40 – preservation 40 – repositories 117 digitization 41, 426–429 – Central and Eastern Europe 683, 685 – ethical issues 447 – regional programmes 55, 447 – South-North information flows 447 DIKW model 114f diplomacy, cultural. See cultural diplomacy Directorate General for Communications Networks, Content and Technology. 199, 688–690 Directory of Open Access Journals 433 Directory of Open Access Repositories (OpenDOAR) 433 disruption. See change, disruptive; traumatic disruption dissemination and utilization of knowledge 480 diversity. See cultural diversity; languages: diversity Djelic, Marie-Laure 498 document delivery. See document supply document supply 30 – international 442, 458 – copyright barriers 442, 458 documentary heritage 158 – destruction 625, 626 – indigenous 705 – South-North information flows 447 documentary sources 321–348, See also archives; official documents; primary sources; secondary sources; websites documentation (discipline) 5, 6, 19, 21, 27

876

Index

– history 48 documents – element of library concept 109 dominions, British. See British dominions donations – books and library materials. See book aid donor dependence 593, 665, 705 donors. See also philanthropy – development aid 573–580, 584, 590–592 – international organizations 224 – multilateral 584 – policies 584, 590–592 dysfunctionality – journal publishing 401 – library systems 136–137 East Africa – LIS development 636 East Germany. See German Democratic Republic East India companies 655, 657 Easterly, William Russell 568 Eastern Europe. See Central and Eastern Europe EBLIDA 43 – copyright advocacy 402, 424 – LIS legislation 685 – statistical data 339 Ebola epidemic – research data 448 e-books – impact on bookselling 40, 445 École de bibliothécaires, archivistes et documentalistes, Dakar 673 ecological fallacy 255 economic conditions affecting LIS 608, 665 economic partnership agreements. See trade agreements ECOSOC 383 – relations with civil society 365 ecosystems – metaphor in LIS 141 education. See also LIS education; professional development; train-thetrainers procedure – change model 502

– comparative studies. See compararive education – international 56 – policy transfer 501 – resources (higher education) 404 e-governance 489 eGranary Digital Library 420 EIFL – Central and Eastern Europe 684 – copyright advocacy 424 – journal access schemes 420 Elbakyan, Alexandra 437 Electronic Information for Libraries. See EIFL Elsevier 371, 375, 401 See also RELX Group e-mail – interviewing 317 – questionnaire distribution 313, 314 emancipatory paradigm 176 emergence (systemism) 135 emergency aid 579, 581, 588, 593, 663 – LIS 584 emerging countries/economies 551, 552 emic approach 233 empirical research – comparative librarianship 195 enclosure of the commons 412–414 Encyclopedia of library and information science (1st ed.) 71 Encyclopedia of library and information science(s) – country data 341 English – lingua franca 303, 306, 348, 453 – national varieties 191, 307–308 – North-North information flows 458 – South-North information flows 451 Enlightenment 6 entrepreneurs – policy transfer 509 environmental factors (LIS systems) 144 epidemic theory (diffusion of innovations) 479 epistemic alliances – policy transfer 510 epistemic communities 362 epistemological relativism 154

Index

epistemology 103, 210–217, See also knowledge – checklist 226 – comparative research 260 – ethnocentrism 182, 187 – of information 111 – postcolonial 546 equivalence 197–307f – spurious lexical 304, 307f Essential Electronic Agricultural Library, the 420, 706 Estonia – LIS legislation 684 – Soviet-era LIS 680 ethics. See also: research ethics – checklist 227 – cross-cultural 154 – feminist 220 – metatheory 217 – North-South information flow 409 – open access 437 – public good 411 – relational 221 – research 217 – utilitarian 218, 223 Ethiopia – literacy tradition 616 ethnocentrism 182 – in comparative studies 187 – sociology of science 187–188 etic approach 233 etiquette – research abroad 351 EUCLID 693 Eurocentrism 6, 7, 155 – colonialism 538 – in periodization 5 Europe – colonization by 533–541 – empires dissolved 542 – librarianship concept 111 – LIS reconstruction and development 23, 684–694 European and International Booksellers Federation 367 European Association for Library and Information Education and Research 693

877

European Bureau of Library, Information and Documentation Associations 693 European Centre for the Coordination of Research and Documentation in the Social Sciences 189 European Commission. 688 See also European Union – Copyright Directive 689 – open access policies 434 – Orphan Works Directive 390n44, 428–429 European Court of Human Rights 695 European Social Survey 185, 189, 309, 311 European Union 434, 687–696 See also European Commission – comparative research 195 – LIS development programmes 576, 684, 694 – LIS-related programmes 689–690 – statistical data 336 – supranational organization 382 Europeanization 690 evaluation. See checklists; research: evaluation evidence, physical (research data) 291 evolution – culture change 472 – metaphor in LIS 144 exception fallacy 255 exceptions and limitations (copyright) 399, 405 – Google Books – harmonization 402 – orphan works 429 – treaty proposal 424 exchange of publications 17, 18, 24, 629 – UNESCO programmes 27 excludability – goods (economics) 392, 393 exiles – libraries 685 – literature 97 exoticism 52–53 – colonialism 538 expatriates – aid agency staff 592 – LIS development 618 – LIS education 712

878

Index

experimental design 240n7 experimental method 171, 172, 240–241 – epistemology 212 experts. See consultants explanation – scientific goal 193 extension (of concepts) 294 external criticism – primary sources 324 – secondary sources 344–345 external validity 212, 269 externalities 359 – knowledge 410 – policy transfer 495 faculty status – academic librarians 200 FAIFE 72, 207 – statistical data 339 – values promoted 714 fair use. See exceptions and limitations fake news 46 fallacies (level of analysis) 255, 282 falsification (hypothesis testing) 173 Fédération internationale de documentation. See FID fee-based access 42, 45, 436, 441, 442 few-country comparisons 258 – comparative politics 242 – comparative research design 267–270 – LIS 270, 276 – qualitative research 260 – selection of countries 272–277 FID (Fédération internationale de documentation) 22–23, 26, 27, 28 fieldwork – research abroad 351 file sharing 437 filters – information transmission 127 Finland – benchmarking studies 198 First World. See developed countries First World War – aftermath 16, 21, 23–24, 525 First-Copy-Cost-Effect 392 fixed cost degression 392

focus group interviews 317 Focus on international and comparative librarianship 65 Focus on international library and information work 66 Food and Agriculture Organisation – AGORA 419 force field analysis – educational change 502, 503f Ford Foundation – LIS development 368, 621, 664 foreign aid. See development aid “foreign librarianship” 84, 98 foreign sojourns (for research) 348–351 Foreign study – LIS development 699 former colonies. See colonies former Soviet republics 551, 712, See also Baltic states – information access 45 – LIS development aid 694 – Western consultants 712 former Yugoslav republics. See also Macedonia – European Union programmes 694 for-profit enterprises. See business sector Foskett, D.J. 75, 88, 89 foundations 367–369, See also philanthropy – development aid 575 – LIS development 29, 575–576, 641, 663, 683, 686 – USA 368, 683–684, 686, 694 frame analysis 484 framework programmes (European Commission) 199, 690 France – American influence 498, 525–530 – colonies 636, 673 – culture promotion 660, 674 – influence. See French influence – library concept 123 – LIS development 23, 524–530 francophone countries 107 – Africa 672–678 – Canadian francophone regions 640 – LIS 677

Index

francophonie 588n64, 676 FRBR – ontology 209 free and open source software 430 – LIS development 710 free trade agreements. See trade agreements freedom of access to information, 72, See also FAIFE Freedom of Access to Information and Freedom of Expression (IFLA). See FAIFE freedom of expression 72, See also FAIFE – political economy 387 – WSIS debates 389 French influence – Canada 640 – former colonies 675 – Francophone Africa 677–678 French language. See also francophone countries; francophonie – promotion 675–677 functions. See also LIS: functions – systems 136 fundamentalism 569 fungibility 593, 705 fuzziness (qualitative concept) 296, 298 Galton’s problem 263, 284 gap between rich and poor. See inequality, economic Gassol de Horowitz, Rosario 666 gatekeepers 308 Gates Foundation – LIS development 368, 577, 684 GATT. See General Agreement on Tariffs and Trade gender issues – affecting research abroad 351 General Agreement on Tariffs and Trade 384, 407 General Public Licence 435 general systems theory 89, 129 Geneva Conventions 16 Geneva Plan of Action 422 geopolitical factors – development aid 587, 620, 684, 686 – EU aid to Central and Eastern Europe 696

Georgia (Caucasus) – LIS education 694 German Democratic Republic – Soviet-era LIS 680 Germany – American influence 498, 699 – LIS 77–78, 80, 123 Ghana – development 553 – LIS 636, 660 Gini coefficient 558–559 GLAM 47, 82 global environment – factors affecting LIS 148f Global Information Society Watch 337 global librarianship 83 Global Library Statistics (OCLC) 340 global public goods 410–411 global studies 96 globalization 35–47 – advocacy 59 – book industries 402 – comparative disciplines 93–96 – culture 546 – enclosure of the commons 413 – environmental factors 147 – history 23 – impact 569 – information flows 438–440 – intellectual property 400–402 – LIS 84, 96–98, 606, 651 – media industries 400 – policy transfer 496, 512–513 – political economy 361, 400–402 – postcolonial conditions 547–548 – resistance 569 – theories 97, 439 – trends 148 Goethe Institut 54 goods (economics) 391–393. See also categories of goods, e.g. information: goods; network goods; private goods; public good(s) Google – full-text access 44 – Google Books 427–428 – Google Scholar 453

879

880

Index

– information dissemination 43 Gorman, Michael 110, 121 governance. See e-governance government sector. 375–381 government(s). See also e-governance – aid agencies 376, 579, 582 – control of LIS 376–381, 680 – development aid donors 573, 576, 579, 585, 593 – development aid recipients 585, 588, 590, 592 – policy development 492 – policy transfer 505 – publishing 444 – research policy 184 – role in culture & media 439 – role in LIS. See names of countries and regions – technology transfer 489 Great Recession (2007–2009) 39 Greenstone Digital Library Software 710 Grey, Sir George 10 Gross National Product 555, 606 – and Gross Domestic Product 555n25 – information development 606 Group of 77 551 guerrilla open access 437 Gulbenkian Foundation 709 – LIS development 664 Hague Convention (1954) 157, 366 Hague Conventions (1899 & 1907) 16 harmonization of laws – intellectual property 402, 406, 409, 689 Harris, Michael H. 609 Hathi Trust 428 Havelock, Ronald G. 480–481 Health Internet Access to Research Initiative (HINARI) 419 hegemony – bibliographic control 44 – cultural 37, 108, 546 – globalization 439 hemeroteca (concept) 123 heritage 117, 157, See also documentary heritage – categories 157f

– Central and Eastern Europe 685 – international NGOs 366 – Latin America 625 heterogenization, cultural 38 Heure joyeuse (children’s libraries) 23, 525 higher education 643, 691, See also academic libraries – Central and Eastern Europe 683 – copyright 404 – European Higher Education Area 693 – francophone Africa 659 – globalization 45 – India 663 – internationalization 35, 703 – Korea 618, 619 – language requirement 458 – Nordic – Baltic cooperation 692 – Soviet Union 680 HINARI 419 historical method 322 historical perspective – comparative librarianship 729 – comparative research 282 historical realism – ontology 202 historicism – interpretivist epistemology 214 Hofstede, Geert 152, 484, See also typologies holism 133 homogenization, cultural 37, 38 horizons (periodization) – definition 8 – summary 47–48 – timeline 47f human development – development theory 563, 566 – LIS development 599 Human Development Index 334, 559 Human development report 566 human needs approach. See human development human rights – access to knowledge 418 – Council of Europe 695 – development aid 580 – international conventions 424

Index

– international NGOs 337 – North-South information flows 409 – WSIS debates 389 humanitarian relief 16, 363, 382, 581–582 – after First Word War 23 – international organizations 17 Hungary – LIS education 692 – post-Soviet LIS 682 – Soviet-era LIS 681 Huntington, Samuel P. 153 hybridization, cultural 38 hypotheses – comparative method 246, 248, 250, 260 – generation 214, 236, 237, 263 – interpretive epistemology 214 – positivist epistemology 211 – testing 173, 264–265, 267, 268 Iceberg Model 166, 167f ICRC (Red Cross) 17 ICT. See also digital divide; information society; International Telecommunications Union; World Summit on the Information Society – Central and Eastern Europe 683, 686 – commodification 41 – community information 670 – dematerialization 39 – developing countries 390, 670 – development of 112 – diffusion of innovations 485 – early use 31 – globalization 39, 149, 569 – industry statistics 334 – leapfrogging 205 – LIS development 669, 706 ICT4D 390 – Acacia Programme 671 ideal types 297 – political systems 377–381 idealism – international relations 23 ideological concerns – development aid 587 – LIS development 664 idiographic approach 242

881

– case-oriented studies 261 – epistemology 215 IFLA 22, 25, 43 – Building Strong Library Associations 701 – Committee on Copyright and other Legal Matters 422 – Committee on Free Access to Information and Freedom of Expression. See FAIFE – conferences 341, 662 – copyright advocacy 402, 422 – core programmes 28, 43, See also specific programmes, e.g. FAIFE, UAP, UBC, UNIMARC – FAIFE. See FAIFE – institutional repository 342 – Library map of the world 340 – Metropolitan Libraries Section 200 – open access 42, 434 – orphan works position 428 – Publications series 68 – relations with other international NGOs 366 – relations with UNESCO 28–29 – Section of Statistics and Evaluation 338 – standards and guidelines 711 – Trend report 46 – values disseminated 714 – World report 207 IFLA-L list – questionnaire distribution 313 Ignatow, Gabriel 78, 108, 606 IIB. See Institut international de bibliographie illiteracy. See orality imperialism 11 – cultural 10, 33, 37, 676 – development theories 563 – national and research libraries 34 – New Zealand LIS 650 – postcolonial conditions 547–548 INASP – bandwidth management 444 – journal access schemes 420 – LIS development aid 576 – open access journals 453 – scientific and scholarly communication 717 – systemic aid 717

882

Index

income inequality. See inequality, economic income level, basic minimum 555 indebtedness – developing countries 386, 562, 593 independence (attainment of sovereignty) 542–544, 551, 627–628 indexing and abstracting 11, 31, 450, See also bibliographic databases, citation databases – databases 32 – South-North information flows 450 – South-South information flows 456 India – colonial attitudes 538–539 – colonial libraries 657 – fee-based access 441 – indigenous knowledge 448 – LIS development aid 662 – pre-colonial libraries 654 – Wheat Loan Educational Exchange Program 663 indicators 267, 298, 333, See also statistical data – developmental 335 – educational, scientific and cultural 335 – equivalence of 310 – labour market 334 – LIS development 107 indigenization – LIS development 601 – policy transfer 506 indigenous knowledge 222 – impact of colonization 656 – LIS development 668 – piracy 409 – South-North information flows 448 indigenous languages 540, 668–669 – publishing 716–717, 716f – recording 10, 656 indigenous peoples – definition 219 – documentary heritage 705 – epistemology 215, 217 – LIS development 634 – research 176, 186 – research ethics 221–223 – science 453

– worldviews 215 individualism 133 individualistic fallacy 255 Indonesia – colonial libraries 657, 660 – LIS development 664 induction – experimental method 240 industrialized countries (terminology) 550 industry associations 371 industry standards 44. See also standardization inequality – diffusion of innovations outcomes 477 – economic 42, 554 – Gini coefficient 558 – information access 45 Inequality-adjusted Human Development Index 560 influence 18, 466–468, See also American influence; British influence; French influence; Islamic influence; Soviet influence; Western influence, and general influencing factors, e.g. colonialism – cultural processes 38 – European Union 687–696 – external, on LIS development 615 – LIS development 609–610, 719 – national 54 informants – identification 350 informatics 110 information – as commodity 394 – as entity 6 – as public good 410 – as resource 393 – business 112 – commons (public domain) 412 – definition 125 – development of 300, 605 – DIKW model 114 – disciplines concerned with 110 – economy based on 39 – element of library concept 111 – explosion 112 – flows. See below: information flows

Index

– goods (economics) 391, 410 – history of 5 – human rights 695 – industries 371, 372 – infrastructure 43, 132, 139 – literacy 254, 703 – management 31, 110 – ontological status 206 – ownership 391 – policies. See national information policies – political economy 391, 438 – resource centres 669–670 – retrieval systems 112, 306, 706 – revolution 6 – science. See below: information science – society. See below: information society – systems 110, 124, 487 – technology. See ICT – transfer 709 – transmission 124 information and communication technology. See ICT Information and Communications Technology for Development. See ICT4D information centres 669–670 information flows 438–459 – conduit metaphor 128 – ethics 224, 409 – impact on intellectual property 403 – mediated 127 information literacy 115 information policies – national 380 information science 113, 479, See also library and information science – and library science 83, 112 – comparative studies 108 – discipline 110, 111 – education. See LIS education – history 8, 111 – terminology 123, 302 information society 6, 22, 150, See also World Summit on the Information Society – Africa 671, See also Acacia Programme – and knowledge society 115 – civil society advocacy 337 – globalization 96

883

– history 6 – United Nations theme 389 informational capitalism 568 informed consent 221 infostructure. See information: infrastructure infrastructure 139, 141 innovation(s). See also diffusion – comparative librarianship 60, 61 – diffusion 472–494, See also technology: adoption – LIS 19, 513–524, 515f – transfer processes 513–524, 515f innovators – categories 475 – policy transfer 496 Institut français de l’Afrique noire 657 Institut international de bibliographie 21, 24 Institute for Scientific Information (ISI) 32 Institutional Analysis and Development (IAD) 585 institutional repositories 432, 453 institutional review boards 218 – criticism 220 institutionalisation – sociology of science 181 institutions – comparisons 77 – political economy 360 – sociology 120 – terminology 385 – theory 483 intangible heritage 158 integrated library management systems 683, 709–710 intellectual property 42, 395–414, See also copyright – acceptance/rejection of 418 – access to knowledge movement 417–418 – circumvention 436–438 – globalization 43 – harmonization 402, 406, 409 intellectual styles 189 intension (of concepts) 296 Inter-American Library school 630 interdisciplinary studies 96

884

Index

intergovernmental organizations 26, 38, 46, 381–387 See also United Nations family, and names of specific bodies, e.g. Food and Agricultural Organisation; International Labour Organization; UNESCO; WIPO; World Trade Organization – data sources 334, 342 – influence on LIS 149 – political economy 387 inter-library lending, international 24 intermediaries – development aid 584, 586 – international transfer 517, 519 – policy transfer 509 internal criticism – primary sources 324–325 – secondary sources 345–348 internal validity 212, 269 internalization – policy transfer 506 international (concept) – ambiguity 34, 47, 84 – origin 13 international aid. See development aid International and Comparative Librarianship Group (ICLG) 64 International Booksellers Federation. See European and International Booksellers Federation International Catalogue of Scientific Literature 21 International Coalition of Library Consortia 421 International Commission for the Study of Communication Problems 439 International Committee of the Blue Shield 366, 584 International Committee of the Red Cross 17 International Committee on Intellectual Cooperation (League of Nations), Paris 22, 24–25, 56 International Conference of Bibliography (1895) 21 International Congress of Librarians, First, (1877) 19 international cooperation. See cooperation: international

International Council of Museums 366 International Council on Archives 366 International Council on Monuments and Sites 366 International Development Research Centre (Canada) 621, 671 international education. See education, international international expositions and fairs. See universal expositions International Federation for Documentation 22–23, 26, 27, 28 International Federation for Information and Documentation. See FID International Federation of Library Associations. See IFLA International Federation of Library Associations and Institutions. See IFLA International Federation of Reproduction Rights Organizations 367, 399 International Group (Library Association) 66 International Institute for Intellectual Cooperation (League of Nations), Paris 22, 24– 25, 56 International Institute of Bibliography 21, 24 International Labour Organisation 334, 381n30 international librarianship 50–73, 81–86 – and comparative librarianship 91–93 – current status 732–733 – field of scholarship 98–99 – future 733–734 – history 25, 48 – literature 52–52, 99f – ontology (classifications) 209 – periodization 7 – study and teaching 92 – systems approach 136 – theory 106 International Library and Bibliographic Committee 7 International Library and Information Group (Library Association) 66 International Library Information Center, Pittsburgh 64, 180 International Monetary Fund 386

Index

– development aid 563 International Network for the Availability of Scientific Publications. See INASP international non-governmental organizations. See non-governmental organizations: international International Organization for Standardization. See ISO International Publishers Association 367 – orphan works position 428 – relations with IFLA 422 international relations 13, 16, 23, 34 – affecting development aid 621 – LIS 139, 140f international research. See research abroad international standard bibliographic descriptions (ISBDs) 32 international standardization. See standardization, international international studies 96 International Telecommunications Union 384 – sponsor of WSIS 389 – statistical data 334 international understanding 54, 55–56 internationalism 14–28, 48 – cultural 23, 526 – intergovernmental organizations 381, 383 – international librarianship 56–57 – LIS cooperation 57 – LIS education 51, 54 – post-WW2 32 – USA 526 internationalists. See internationalism internationalization – higher education 57, 703 – LIS education 45, 51, 58, 700 – motives 35 – USA 34, 57 internet 40–41, 44, 112, 171–172, 303, 404, 460, 703 – access 684 – community information 670 – developing countries 443 – digital divide 388–390 – global connections 457 – mobile access 444

885

– open access 429 – North-South information flows 441–445, 707 – questionnaire distribution 314 – South-North information flows 453–454, 456 – statistical data 336–338 – survey methods 313–315, 317 Internet Governance Forum 422 interpretation – comparative method 247 interpreters 224 – as gatekeepers 308–309 interpretive understanding – epistemology 214 interpretivism 174–175, 178t – case-oriented studies 261 – epistemology 213–214 – few-country comparisons 268 – ontology 202 – qualitative research 231 – research ethics 219 – teleology 193 interviewers. See interviewing interviewing 315–319 invisible colleges 182 “invisible hand” (Adam Smith) 359 Iran – American influence 621 – LIS education 196, 620 Iraq – Islamic civilization 616 – LIS development 586, 609–610, 663, 698 – war losses 664 ISBDs 32 i-schools 112 Islamic civilization – literacy tradition 616 – sub-Saharan Africa 654 Islamic Revolution (Iran) – LIS education 620 ISO – Committee TC46/SC8 338 – standards 199, 499 – library statistics 199 isomorphism – policy transfer 499, 509 Italy

886

Index

– American influence in 498 – public libraries 530 ITU. See International Telecommunications Union Japan – American influence 619 – annexation of Korea 618 – LIS development 617, 619 – world-system theory 564–565 Jesuits – Latin America 626, 628 – Quebec 632 Johnson, Ian M. – influences framework 609–610 journals 400–401, 449–454 – access schemes for developing countries 419 – “big deals” 442 – developing countries 450, 718 – hijacked 435n24 – international librarianship 66, 72 – LIS 701 – open access 432–433, 453 – origins 430 – prices 401, 403 – proliferation 20 – publishing 400–401, 718 – scientific, technical and medical (STM) 400, 401 – South-North information flows 449, 453 – Western dominance 457 JSTOR – African Access Initiative 420 juxtaposition – comparative method 248, 250 Kenya – LIS development 636–637 – Moi University Library 708 – National Library Service 671 Keppel, Frederick P. 639–640, 697 knowledge. See also epistemology; indigenous knowledge – commodification 41 – commons. See below knowledge commons 210

– criteria for 210 – DIKW model 114 – economic characteristics 394 – economy 115 – entrepreneurs (policy transfer) 510 – global flows 403 – hierarchy 103f – library concept 113 – ontological status 206 – political economy 391 – sharing (research ethics) 224 – society 115, 115n18 – transfer 710 – utilization 480 knowledge commons 120 – library facility 118 – public domain 412 Koranic schools 637 Korea 553, 617–618 – LIS development 618, 620 Krummel, D.W. 7 Krzys, Richard 62, 77, 83 Kuehl, Warren F. 14 L’Heure joyeuse (children's libraries) 23, 525 La Fontaine, Henri 21, 22 ladder of abstraction 294 Lancour, Harold 660 languages. See also linguistic competence; linguistic relativity theory; and names of languages – artificial 15, 17 – barrier 17, 20, 191–192, 277 – competence. See linguistic competence – data sources 348 – diversity 37, 390, 711, 714 – effects of colonization 540 – extinction 37 – indigenous See indigenous languages – influence on research 301, 306 – inhibiting global information flows 452, 456, 457 – national 11, 12 – number of 302 – sociology of science 191 – vernacular. See indigenous languages

Index

large-N studies. See many-country comparisons Lasswell formula 125f – adapted for diffusion of innovations 514f – expanded 127f Latin America – educational policy transfer 511 – library concept 123 – LIS development 107, 625–631 – open access 434 Latin American Microform Project 447 Latin public library model 530 Latvia 685, 684 laws – diffusion 500 – scientific. See scientific laws leadership development – LIS development aid 715 League of Nations 16, 22, 23–24 – Sub-Committee on Bibliography 24 “league tables” – comparative librarianship 198 “leapfrogging” (development) 205, 670 learned societies – scientific and scholarly communication 21, 430, 538, 657 learning modes 698n56 least developed countries 654, 587 legal deposit – early legislation 12, 13, 524 legislation. See also LIS: legislation; and specific statutes, e.g. Public Libraries Act (UK) – copyright 396–397, 399n59, 402, 405–407 – international 59 less developed countries. See developing countries levels of abstraction 260 levels of analysis 253–257 – research design 280–282 Lewis, Bernard 539n8 lexical equivalence 191, 304, 307 LIBECON – Millennium report 266 – statistical data 339 – surveys 199, 266, 282, 601

887

liberal internationalism. 17, 19, 22, 25, 56, liberation struggles 543 libguides (data sources) 330 librarians – job titles 112 – meetings. See under conferences librarianship. See also LIS – terminology 113 libraries For library concepts, see library. For other library topics, see LIS Libraries without Borders 584 library. Used for library concept and definitions only. For other library topics see LIS – as agency 120 – concept 109, 118f, 121–122 – definition 109, 110, 119 – etymology 122 library and information science – ALA definition 113 – foreign terminology 123 – literature 326 – social science theory 108 – terminology 113 library and information services. See LIS Library Association (Britain) 19 Library Copyright Alliance 403, 424, 425 Library of Congress. See US Library of Congress Lijphart, Arend 268 – typology of democratic systems 277 Likert scales 311 limitations and exceptions (copyright) 399, 405 linguistic competence 303, 306, 308–309, 348, , 348–350 linguistic diversity. See languages: diversity linguistic relativity theory 191 linkage model (Havelock) 481, 482 LIS. See also types of libraries, e.g. academic libraries; children’s libraries; public libraries; research libraries – architecture – technology transfer 711 – as systems 132f, 135, 138 – associations. See below: LIS associations – buildings (donated) 708

888

Index

– closures 41 – concept and definitions. See under library – conferences. See conferences: LIS – conceptual frameworks 124 – congresses. See conferences: LIS – cooperation. See under cooperation – cultural role 156 – development. See below: LIS development – diffusion of innovations 482–485, 513–524 – equipment (donated) 708 – functions 79, 119 – future 112 – globalization 35 – government involvement 376 – history 4–13, 18–35 – impact on communities 595 – in transitional economies 380 – international comparative data 338 – journals 701 – legislation (Europe) 684, 695 – management 112, 131, 132, 144, 270, 482, 686 – materials. See collections and collection building – mission 116 – national systems. See national library systems – networks. See networks & networking: LIS – non-governmental organizations 366 – policy transfer framework 513–524 – pre-colonial 654 – processes 79 – software 709 – statistical data 338–340 – technology transfer 708 – terminology 112 – twinning 577 – under big government 378 – under small government 379 LIS associations. See also names of individual associations – book donations by 33 – Canada 642 – Central and Eastern Europe 686 – developing countries 698 – Francophone West Africa 673

– international 30 – international cooperation 18 – Latin America 629 – LIS education 701 – New Zealand 648 – regional 30 – Senegal 675 LIS development 597, See also names of donor and recipient countries and regions – aid 29–30, 33, 570–596, 574f, 616–719 See also book aid; European Union; LIS education: aid; and names of specific aid programmes, countries and regions – evaluation 594–596 – factors 604–613, 611f, 721–729 – indicators 107, 300 – literature 711 – ontological assumptions 204–205 – outcomes 591–596, 667–671 – postcolonial 33, 660–672 – summary 719f – theory (illustrative example) 105 – vision 713–715 LIS education 33, 697 – aid 583, 663 – competing British & US models 634 – cooperation 692 – curricula 692, 700 – European Union programmes 691–694 – foreign study 699 – graduates' expectations 670 – internationalization 35 – partnerships 577, 691–694 – schools 81, 112 LIS education by country or region – British West Africa 660 – Central and Eastern Europe 691 – developing countries 700 – former Soviet republics 694 – France 526 – French West Africa 673 – Iran 621 – Iraq 664 – Korea 620 – Latin America 629 – New Zealand 648

Index

LISTEN project 692 literacy 703, See also information literacy; orality; reading, and under names of countries and regions, e.g. sub-Saharan Africa – critical 548 – education 548, 659 – library programmes 702, 717 – LIS development 616, 669 – rates 703 – tradition 615 Lithuania – LIS legislation 684 – Russification 679 – Soviet-era LIS 680 Litton, Gaston. 62, 77, 83 lobbying. See advocacy local languages. See indigenous languages Lockheed DIALOG 32 Logical Framework (Logframe) Analysis – development aid 585 long tail (digital resources) 41 long-distance nationalism 97 low technology 669 Lubuto Library Partners 591 Lyon Declaration on Access to Information and Development 425 Maack, Mary Niles 675 MacBride, Sean – Report to UNESCO 27, 439 Macedonia – digitization 683, 685 macrosocial units, large 244, 258 Madagascar – pre-colonial archives 656 Malaysia – LIS development 658 Mali – documentary heritage 447 management. See also change management; information: management; LIS: management; public management – cultural factors 152

889

– systems approach 131 – policy transfer 498 managerialism 378 many-country comparisons 258, 263 – comparative politics 242 – selection of countries 272 MARC 31, 44, See also UNIMARC; USMARC – China 624 market capitalist economy – effect on LIS system 378 market failure 392n49 Marrakesh Treaty (2013) 424 Marshall Plan 571 Marxism. See also neo-Marxism – development theories 361, 563 – internationalism 15 – research paradigms 176 massive open online courses 431 Matthew effect – LIS development aid recipients 589 McDonaldization 38, 439 meaning – interpretivist ontology 202 measurement – equivalence 310–311 – error 301 – unobtrusive 291 mechanics’ institutes – Australia 633 – Canada 641 – New Zealand 645 – South Africa 633 mechanization. See also automation – library procedures 31 media – international comparative data 338 media industries – concentration 400 – in transitional economies 380 – political economy 439 – under small government 379 médiathèques 123, 529 MEDLARS 32 MedOANet 434 Mellon Foundation – Central and Eastern Europe 683 – LIS automation 709

890

Index

– LIS development 368 membership groups – sociology of science 182 memory. See also national memory – LIS role 117 – value judgements 159 metadocumentation 110 metalibrarianship 77 metatheory 164–228 method(s) (research) 289–353 – agreement and difference . See Mill, John Stuart – concept 164 – scope 168 methodological nationalism 94, 245 – policy transfer 511, 515 methodological pluralism 237 methodology (research) 231–287 – concept 164–168 – decisions 232f – scope 167 Mexico. See also Biblioteca Benjamin Franklin – conquest 625 – cooperation (American Library Association) 629–630 – LIS development 626 – US State Department programmes 24, 630 microfilming projects 55 – South Asia 663 – South-North information flows 447 micro-strategies – policy transfer 499 Middle Ages 9, 11 Middle East. See also names of countries, e.g. Iran; Iraq; Turkey – European Union programmes 694 – literacy tradition 616 Middle East Microform Project 447, 662 migration 45, 97 – and development aid 589 – skilled workforce 449 – transnational processes 95 military aid 587 Mill, John Stuart

– methods of agreement and difference 240, 242, 273 See alsomost similar systems design; most different systems design Millennium Development Goals 566–568 See also Sustainable Development Goals – digital divide 389 – progress reports 333 minorities 144, See also indigenous peoples – affluent 556 – cultural competence 188 – emancipatory paradigm 176 – languages 147, 302 – rights 153 – settlers. See colonies: European settlement – Soviet Union 678 mission civilisatrice 537, 674 missionaries – China 622 – cultural impact 656 – early printing 10 – educational institutions 659 – Korea 618 – Latin America 625–626 “missionary zeal” – international librarianship 53 mixed methods research 236–238 mobile internet 444, 670 mobile library services – animal-drawn 669 models. See also models proposed in specific contexts, e.g. public libraries; Western LIS models; and named models, e.g. DIKW model; Iceberg model; ShannonWeaver model – conceptual structures 104, 528 – policy transfer 497 – school libraries 108 – technology adoption 487, 489 modernization theory 561–563, 604 – LIS development 599, 672 Monroe Doctrine 535 moral rights 395n54 Mortenson Centre for International Library Programs 715 most different systems design 274–275f

Index

most similar systems design 273–274f Mouton, Johann 103 multicultural – research teams 190 – societies 635 – surveys 311, 316 multidisciplinary studies 96 multilevel comparisons – levels of analysis 282 multilingual – communities – surveys 309, 311, 316 – thesauri 306 multinational – concept 94 – corporations. See corporations: multinational – research 188–191 multiple causation 268, 502–503 multiplier effect – diffusion of innovations 482 multi-purpose community centres 669, 670 Munn, Ralph – Munn-Barr Report 647–648 Munthe, Wilhelm 50 Myanmar – early libraries 655 naive empiricism 101, 102 naive realism 172, 201 Namibia 540 – library segregation 636 Napster 437 nation (concept) 302 – ambiguity 90 – in comparisons 245 nation states 18, 90 – bibliographic control 20, 22 – comparative disciplines 93–96, 245 – developing countries 549 – emergence 12, 14 – globalization 36, 38–39, 569 – languages 303 – ontological status 204 – policy transfer 511, 516 – social research 136 – system 13, 15, 22, 26, 38

891

– transnational processes 97 national agencies 330 national cultures – analysis 152, 297 – libraries 156, 159 – technology adoption 488 – typologies 108, 152 National Diet Library (Japan) 620 national information policies 378, 715 – LIS development 710 – transitional economies 380 – UNESCO programmes 27, See also NATIS; UNISIST National Information Systems. 22, 710, 715 national libraries – catalogues 13, 20 – Central and Eastern Europe 685 – comparative studies 79 – cultural identity 159 – digitization 297 – emergence and development 12 – imperial horizon 10 – innovation 484 – international role 30 – Latin America 627, 629 – New Zealand 649 – status 204 National Library of India 657 National Library of Medicine (USA) 32 “national library services” 661 national library systems 136–138f – francophone Africa 676 – New Zealand 648–649 national memory – Central and Eastern Europe 685 – ideological questions 159 – LIS role 609 National Program for Acquisitions and Cataloging 34 – South-North information flows 446 national research styles – sociology of science 185 nationalism 12, 18, 97 – methodological. See methodological nationalism NATIS 27, 710, 715

892

Index

natural experiments 241 neocolonialism 548–549 See also postcolonial neoliberalism. See also Washington Consensus – development aid 593 – economic development 562 – economic policies 39, 371 – effect on LIS system 378 – non-governmental organizations 364 – political economy 360 neo-Marxism – development theories 361, 563 – globalization 547 Netherlands – colonial LIS 660 – library concept 123 – population estimates 344 network – effects (economics) 392, 413 – goods (economics) 392 networks & networking. See also information: infrastructure; internet – analysis 439, 510 – communications 141 – globalization 40 – international transfer 520 – LIS 31, 680, 683 – policy transfer 496, 499, 510 – social 326, 328, 436, 510 – transnational 97, 499, 510, 696 neutrality – positivism 193 – science 171 New World Information and Communication Order 27, 439 New Zealand – early libraries 10 – LIS development 645–651, 697 – US influence in 467, 482 newspapers – content analysis 314, 326 – copyright issues 427 – digitization 447 – microfilming 663 Ngugi wa Thiong’o 546 Nigeria

– community information 669, 703 – LIS development 636, 659 – LIS education 660 Nkrumah, Kwame 548 nomothetic approach 242 – comparative education 216 – epistemology 215 – international librarianship 216 – variable-oriented studies 260 Non-Aligned Movement 454, 550 non-governmental organizations 17, 23, 363–367 – data sources 342–343 – development aid 575 – international 30, See also names of specific organizations – LIS 17, 23 – relations with business sector 375 – relations with UNESCO 26 non-profit sector 369, See civil society non-self-governing territories 543 non-state actors (political economy) 362 non-Western metatheory – epistemology 214 Nordic countries – development aid 576, 580, 589, 692 – multinational research 190 – public library model 699 Nordplus programme 692 normative research – comparative librarianship 195 North (country grouping) 549, 551–552, See also developed countries North Africa. See also Algeria – European Union programmes 694 North America – LIS development 632–633 North-North relations. See information flows, North-North North-South relations. See also information flows, North-South – political economy 361 NPAC 34, 446 OARE 419 objectivism (epistemology) 211

Index

objectivity (epistemology) 211, 212 observation (research data) 290, 319–320 Ochs, Kimberley. See Phillips, David OCLC 31, See also WorldCat – education and training 30 – Global Library Statistics 340 – global role 43 OECD – country classification 279 – development aid donors 576, 586 – Development Assistance Committee 573 – official development aid 573 official documents (data sources) 322–323 Online Access to Research in Environment 419 Online Computer Library Center. See OCLC ontology 200–210 – checklist 226 – comparative research 260 – relationship with epistemology 211 – structure-agency problem 281 open access 429–435 – discovery systems 436 – extra-legal initiatives 437–438 – moral arguments 437 – movement 42 Open Access Scholarly Publishers Association 433 open data 431 open educational resources 431 open science 430 Open Society Foundations – Central and Eastern Europe 684 – LIS development 368 Open Society Institute 684 open source software 430, 710 OpenAIRE 434 operationalization 299–301 oral traditions (heritage) 158 orality 668, 669 Organisation internationale de la francophonie 588n64, 676 Organization for Economic Cooperation and Development. See OECD Organization of American States – LIS development 631 organizational culture 108, 151

893

– LIS 156, 686 organizations. See also civil society; types of organizations, e.g. community-based organizations; intergovernmental organizations; non-governmental organizations; transnational organizations; and names of specific organizations – as systems 130 – documents 322–323 – environmental factors 144 – influence of national cultures 245 – information sources 347 – international policy transfer 515–517, 520 – ontology 208 – philanthropy 575 – public sector 375 – sociology of science 180 – types 149, 361 Orientalism 53, 539 orphan works 340n44, 426–429 Otlet, Paul 21, 22, 111 Ottoman Empire 542. See also Turkey outcomes – development aid 591–596 – educational policy transfer 507 – innovation decisions 476 – international transfer 523 out-of-commerce works. See orphan works Paisley, William J. 177 paradigms 165, 168–177, 178–179f – comparative 242 – development aid 593 – hierarchy of knowledge 103 – research 166t, 169, 177, See also specific paradigms, e.g. constructivism; critical theory; emancipatory paradigm; interpretivism; participatory; positivism; postcolonial; postpositivism; transformative paradigm – sociology of science 181 – scientific 182 Paris Convention (1883) 406 Paris Convention (1972) 157 Paris Convention (2003) 157 Paris Library School 23, 526 Parker, J. Stephen

894

Index

– definition of international librarianship 82, 85 participatory paradigms 176, 214 partnerships. See also LIS education: partnerships; sister library partnerships – access to knowledge 419 – LIS development aid 577, 591 – LIS education 693 – TEMPUS programme 694 patriotism 197 patrons. See clients payment for information, pay-per-view, and paywalls. See fee-based access peace – internationalism 15, 17, 55 – movements 23 – UNESCO mission 25, 27 peer review – developing countries 450 – international journals 451 – open access 433 peer-to-peer file sharing 437 PERI/PERii 420, 718 periodization – international librarianship 47 – library history 4–8 – LIS development 622 periphery. See core–periphery relations PEST analysis 144–145 PhD students (sociology of science) 181 philanthropy 53, 573 See also donors – Andrew Carnegie 638 – development aid 575 – USA 368, 526, 579, 643 Philippines – LIS development 658 Phillips, David 468, 504 – adaptation of Bereday's comparative method 249–251 – Phillips and Ochs policy transfer model 503–509 photocopying, unauthorized 404 Pica 43 Pickard, Alison J. 166, 177 pilot testing – international questionnaire surveys 315 – terminology 308n17

– translated questionnaires 308 “piracy” – copyright 404 – indigenous knowledge 409 pirate parties 438 Pitt and Ferguson library survey 1929 636 PL 480 34, 663 Plumbe, Wilfred J. 665 Poland – librarianship concept 111 – LIS development 683 policy 490–493, 524 – borrowing. See policy transfer – definition 491 – diffusion. See policy transfer – learning . See policy transfer – LIS development 649–650 – Phillips and Ochs model 503–509 – policy entrepreneurs 509 – processes 520 – resistance 650 – spectrum of innovations 490–491, 493f policy transfer 490–524 – borrowing 468 – education 93, 98 – framework 513, 514 – LIS development 646, 650 – resistance 650 –transnational 499, 510 political conditions. See politics political economy 358–361, 364, 365 – access to information 45 – colonialism 539–541 – development theories 560–570 – global information flows 438–440 – globalization 38–39 – international 360–361, 364–365 – LIS development 615–616 – of information 391–414 – open access 437 – sociology of science 183 political science – policy transfer 495–496 political systems – influence on LIS 376–381 – sociology of science 183 politicians

Index

– policy transfer 510 politics – development aid 584–586 – LIS development 608, 648 – policy transfer modalities 496, 520 polity internationalism 14–17, 48 population – estimates 345 – registration 312, 345 Portugal – LIS development aid 631 positivism 170–173, 178t – epistemology 211–212, – ethics 218, 220 – ontology 201 – quantitative research 231 – scientific universalism 17 – teleology 193 – variable-oriented studies 260 postal surveys 314 postcolonial. See also neocolonialism – conditions 544, 553 – paradigm 176 – theory 545 post-development – development theories 570 postfoundational – approaches 176 – concept 545 post-industrial society 6, 41 postmodernism 176, 545 postpositivism 173, 178t – epistemology 211 – ontology 202 – quantitative research 231 – teleology 193 poverty 42, 554–556 See also inequality: economic – LIS development 667, 669 – Millennium Development Goals 567 – structural adjustment programmes 562 poverty line 555 pre-Columbian heritage 626 predatory journals 434–435 prediction (scientific goal) 193

895

preservation. See also digitization; microfilming; and specific media, e.g. newspapers – indigenous knowledge 668 – out-of-print publications 426 – UNESCO programmes 27 primary sources 321, 322–325 private goods (economics) 392–393 private libraries – Latin America 626 – New Zealand 646–648 – Quebec 632 – South Africa 633 private sector. See business sector privatization – in transitional economies 380 – neoliberal economics 39 professional development 698 professional practice (improvement motive) 60–61 Programme for the Enhancement of Research Information 420, 718 Project Cycle Management 585 propaganda – Central and Eastern Europe 683 – library mission 680 – motive (comparative librarianship) 197 prosopography 698n55 public domain 397, 400 See also commons (public domain) – digitization programmes 428 – terminology 412 – WIPO Development Agenda 423 public good (ethics) 411 public goods (economics) 393, 410–411 Public Law 480, 34, 663 public lending right 445 public libraries 9 – access (hypothetical example) 298 – Canada 641 – Carnegie buildings 641 – concept (hypothetical example) 294–296 – contribution to democracy 607 – France 524–530 – French West Africa 674–677 – impact of globalization 606

896

Index

– innovation 482 – international comparisons 78–78 – Latin America 631 – models. See below: public library models – New Zealand 645–646, 648, 649 – research 236 – services to refugees (hypothetical example) 297 – Turkey 608 – UNESCO programmes 27 – USA 632 – use 236 Public Libraries Act (UK) 9 public library models – American 283, 525–530 – Anglo-American 528–530 – French 524–530 – Latin 530 – Nordic 484, 699 – Soviet 680 Public Library of Science (PLoS) 432 public management – policy transfer 497–498 public sector 375–381 publications exchanges. See exchange of publications “publish or perish” – academic librarians 200 publishing 41, 402 See also fee-based access; International Publishers Association; open access; textbooks – African languages 716–717, 716f – Central and Eastern Europe 682 – concentration 400 – copyright holders 397 – developing countries 444, 446 – globalization 400 – international organizations 342 – journals 401, 420 – new business models 442 – predatory 435 PubMed Central 432 qualitative comparative analysis 269 qualitative research 231–236 – characteristics 234t – comparative LIS 211

– definition of research concepts 296–301 – ethics 219 – LIS 235 – ontology 206 quantitative research 231–236 – characteristics 234t – comparative education 216 – comparative LIS 211 – definition of research concepts 298–301 – epistemology 214 – LIS 235 – ontology 206 Quebec – Catholic influence 640 – early libraries 632 questioning procedures – cultural & linguistic factors 306–311 questionnaires 306–311, 313–316 – trans-Atlantic usage 188 Ragin, Charles C. 244–245, 260, 268 rankings of countries – comparative librarianship 198 Rayward, W. Boyd 20, 68 reactivity 290, 291 readers. See clients reading 702. See also literacy – culture of 701, 702 – ideologies of 609 – New Zealand 646 – promotion 367, 676 realism. See also critical realism; historical realism; naive realism – international relations 23 reality. See also social reality – interpretivism 174 – objective 174 – ontology 200 records – bibliographic (sharing) 31 – LIS responsibility 109 – research data 291 recursivity 135 Red Cross 17 reductionism 171

Index

Reed-Elsevier 371 reference works – general data sources 329–332 refugees 46, 580, 581 – in public libraries (hypothetical example) 297 regions. See also subnational regions – terminology 30n20 relativism – concepts contextually determined 304 – cultural 154, 187 – epistemological 154 – linguistic 192 – ontology 202–203 reliability – comparative research 311 – measures 265 – primary sources 324 – secondary sources 345–346 – trans-Atlantic surveys 309 religion – factor in library development 106, 625, 632, 641 – intolerance 625 relocation diffusion 470 RELX Group 371 remedial action – comparative librarianship motive 196 Renaissance 9 repatriation of heritage 685 Répertoire bibliographique universel 21, 111 repositories 432 See also open access: repositories – digital resources 117 – institutional 432, 453 – open access 431–432, 710 representativeness – e-mail questionnaires 313 reproduction rights organizations 367, 399 research – abroad 349 – assumptions (metatheory) 225 – collaboration 177, 189, 190, 191, 223, 225 – communities 182 – concepts 291–306. See also class concepts; constructs, variables

897

– data. See below: research data – designs 261–270 – empirical. See empirical research – ethics 185–187, 225–228, 351–353 – evaluation 225, 285, 351 – funding (unintended effects) 452 – libraries. See below: research libraries – national styles 185 – paradigms. See paradigms, research – teams. See research: collaboration – traditions 103, 184, 190–191 – utilization of 480–481 research data. See also documentary sources – categories 290 – coding 320 – disposal 223 – ethics 224–225 – processing 321 – sources 290 – South-North information flows 448 research libraries 112 See also academic libraries – China 623 – colonial 657 – Senegal 673 – South-North information flows 446 – USA 632, 663 Research4Life (R4L) programme 419 researchers – local staff 308, 316, 351 – relationship with researched 171, 211, 213 – sociology of science 177 ResearchGate 436 resource discovery 43–45 resource sharing 58–59, 31 See also cooperation and names of specific bodies and programmes, e.g. UAP and UBC – developing countries 441 – international 30, 710 – OCLC 43 – USA 31 resources – economics 393 – political economy 391 response rate – surveys 312

898

Index

retard français 527–530, 676 Rhodesia. See also Zambia, Zimbabwe – settlers 635 – subscription libraries 636 rich and poor. See inequality, economic rivalrousness – goods (economics) 393 Rochester, Maxine 647, 649 Rockefeller Foundation – Canada 634, 643 – India 663 – Japan 619 – Latin America 630, 631 – LIS development 368 – New Zealand 646 – Paris Library School 526 Rogers, Everett M. – diffusion of innovations model 473–478, 485–487 Romania 679, 681, 686 Rostow, Walt Whitman 561 royal libraries 9, 12 – Brazil 628 – France 524 – Myanmar 655 – Portugal 627 – Vietnam 655 Royal Society of London 21 rural communities – culture promotion 676 – LIS 197, 642, 646–647, 669 – reading promotion 676 – research access 317 Rural Development Information Service (RUDIS) 669, 703 Russia 694 – empire 536, 678 – libraries in China 619 – scholarly libraries 63 Russification 679 SABINET 44 Said, Edward W. 53, 539 sampling 265, 272, 311–314, 346 Sapir-Whorf hypothesis 191 Sartori, Giovanni – ladder of abstraction 294

satellite campuses 704 scholarly communication, literature, publishing. See scientific and scholarly communication school libraries 190 – comparative librarianship 78, 206 – development 108 schools of arts – Australia 633 Schriewer, Jürgen 97 Schwartz, Aaron 437 SciELO 434 – South-North information flows 450 science – non-Western 453 – South-South collaboration 456 Science citation index 32 scientific and scholarly communication. See also information flows, UNIST – 19th century 17 – central planning 26 – citation studies 328 – colonial 657 – commodification 41 – concentration 457 – developing countries 419 – expansion 20, 112 – history 430 – information flows See information: flows – knowledge utilization 480–481 – systemic aid 717 – USSR 679, 683 scientific laws 136 – comparative librarianship 62, 75, 77, 121, 217 – LIS 122 – positivism 171, 193, 201 scientific literature. See scientific and scholarly communication scientific universalism 15, 17, 22, 114 Sci-Hub 437 SCOLMA 55 Scopus 450, 457 Second World. See Soviet Union: sphere of control Second World War 112 – aftermath 25, 498, 542, 619, 678

Index

– British reading rooms 659 – cultural diplomacy 24, 629 secondary sources 322, 328–348 segregation – settlement colonies 635 self-archiving (open access) 431 self-censorship – documentary sources 324 self-understanding – comparative librarianship 62 seminars. See conferences semi-periphery. See world-system theory Sen, Amartya 53, 538–539, 565 Senegal 107 – colonial libraries 657 – LIS development 673 serials crisis 401 settlers. See colonies: European settlement Shannon, Claude 124 Shannon-Weaver Model 124f, 126 shared cataloguing 34 Shera, Jesse Hauk 120 Simsova, Sylva 65 simulation – research data 291 single-country studies 70, 261–263 – selection of countries 271–272 single-party government (ideal type) – LIS conditions 377 sister library partnerships 577 site licences – innovation example 476 – national 420 slave trade 534 small government (ideal type) – LIS conditions 378 small-N studies. See few-country comparisons smartphones (use in surveys) 316 Smith, Adam 359 Smithsonian Institution 18 social agencies 119 social capital 109 social cognition – diffusion of innovations 480 social entities – ontology 207

899

social explanatory theory 102 social network analysis (SNA) 510 social networks 326, 328, 436, 510 social reality – epistemology 210 – ontology 201, 208 social science – ethics 219 – policy transfer 494–500 – theory 108 social systems – diffusion of innovations 475 – general systems theory 130, 135 social work – policy transfer 496–497 socialist – government 377 – internationalism 15, 16 – librarianship (China) 624 Society of Jesus. See Jesuits sociological dimension – metatheory 177–192, 225 soft diplomacy. See cultural diplomacy soft loans (development aid) 582 Software & Information Industry Association 371 – systems analysis 131 Soros, George 368, 684 South (country grouping) 549 See also developing countries South Africa – bibliographic control 44 – diffusion of innovation 44, 464–465 – LIS 10, 143, 505, 506, 633, 635 – outcomes-based education 505 – Transformation Charter 133, 506 – world-system theory 565 South Commission and South Centre 454, 549 – definition of development 557 South Korea. See Korea South-East Asia – colonial libraries 658 – pre-colonial libraries 655 South-North information flows 446–454 South-South information flows 454–456 Soviet bloc 550, 678 Soviet influence

900

Index

– China 622, 624 – LIS 678–681 Soviet Union. See also former Soviet republics – dissolution 551 – LIS development 603, 698 – post-communist LIS 607 – sphere of control 550, 678 Sovietization 679 space-gate moment – policy transfer 508f Spain – library concept 123 – LIS development aid 631 – public libraries 530 special libraries 111 – Central and Eastern Europe 682 – Nigeria 659 SPELIT 144, 145 spurious lexical equivalence 191, 307f STAGE programme 695 stakeholder theory 372 – copyright 397 standardization. See also ISO – bibliographic. 709, See bibliographic standardization – global 121, 217, 599 – IFLA 711 – LIS 121, 217, 599, 709 – North-South information flows 446 – publishing 718 – resistance to Western 664 – UNESCO 662 Standing Committee on Library Materials on Africa 55 state capture 380 statements – hierarchy of knowledge 103 statistical agencies 330 statistical data 265, 329–340, See also specific themes and names of organizations producing data – comparability 346 – developing countries 346 – evaluation 345

– international 332–338, See also intergovernmental organizations, and names of specific organizations – LIS 341–342 – national agencies 330 statistical method – comparative research 259–263 statistical techniques 242, 263, 265, 267 See also specific techniques, e.g. cluster analysis STEPE analysis 145 stereotyping (culture) 153 Stiglitz, Joseph E. 359, 410 stimulus diffusion 470 Stockholm Convention (1967) 395 Stop Predatory Journals 435n24 structural adjustment programmes 386, 562 – impact on LIS 607, 665 – political economy 361 – programme aid 582 structure-agency problem 281 study grants 699 – Carnegie Corporation 639, 482 – Iraq 664 Sturges, R. Paul 107 subnational regions 245, 265, 280 – differences 147 sub-Saharan Africa – book trade, pre-colonial 654 – colonial libraries 658–661 – colonies (typology) 104 – influence of colonial powers 104 – literacy, pre-colonial 654 subscription libraries – Canada 641–642 – Kenya 636–637 – New Zealand 645–646 – Rhodesia 636 – South Africa 634 Support for Transition in the Arts and Culture in Greater Europe 695 supranational – concept 94 – organizations 382 survey questionnaires. See questionnaires SurveyMonkey 314 surveys 311–319

Index

– trans-Atlantic 309 sustainability – LIS development aid 594, 706 – systemic aid 718 Sustainable Development Goals 43, 568 – advocacy 425 – progress reports 333 Swank, Raynard C. 53 symmetry. See asymmetry synchronic comparison 282 – versus diachronic 284f systemic aid 582, 715–718 systemism 133–134 – ontology 205 systems 128, 129, See also systemism, general systems theory – analysis 131 – national 138, 138f – social. See social systems – theory 133 TACIS programme 694 take-off (economic growth) 561 technical assistance. See technology transfer Technical Assistance to the Commonwealth of Independent States. See TACIS technical information. See scientific and scholarly communication technological copyright protection measures – WIPO Copyright Treaty 407 technological determinism 172 technology – adoption 485, 683 See also innovation(s): diffusion – transfer 490, 707–713 technology acceptance model (TAM) 486, 487, 488 technology delivery system (TDS) 489 TEEAL 420, 706 telecentres 670 telecommunications. See also International Telecommunications Union – developing countries 706 – global connections 457 – intergovernmental organizations 384

– monopolies 443 teledensity – developing countries 315 Telematics for Libraries programme 690 teleology 192–200, 226 TEMPUS programme 691 terrorism 46 tertium comparationis 248, 248n13 textbooks – prices 403, 405 – publishing 444, 588 Thailand – LIS development 618, 621 The Essential Electronic Agricultural Library 420, 706 theories. See theory theory 103, 486, 487 – conceptual structures 292 – middle-range 106 – rationale for policy transfer 505 – social explanation 102 – utilization in LIS 729–731 theory of planned behaviour (TPB) 487 theory of reasoned action (TRA) 486 thesauri, multilingual 306 thick ontology – epistemology 213 – interpretivism 202 thin ontology 201 – positivism 212 third sector. See civil society Third World. See developing countries Thomas and Postlethwaite model – educational change 502–503, 601–602 “ tied aid” 592 Timbuktu 654 – manuscript preservation 448 time dimension – country comparisons 282–285 – international transfer 521 time-series analysis – comparative research 284 toll-access. See fee-based access trade agreements – advocacy 425 – impact on LIS 42

901

902

Index

– intellectual property 407–409 trade associations 371 Trade-Related Aspects of Intellectual Property. See TRIPS traditional communities. See indigenous peoples traditional knowledge. See indigenous knowledge traditions 103 See also oral traditions; research: traditions – influence on LIS development 61, 159, 440, 529, 634–635 training. See education; LIS education train-the-trainers procedure – LIS development 712 Transatlantic Trade and Investment Partnership 408 transcultural diffusion 470 transculturation 469 transfer. See innovation(s): diffusion; policy transfer transformative paradigm 176 transitional economies (ideal type) – LIS conditions 379 translation (survey instruments) 308–310 translators – as gatekeepers 308 transnational – civil society 46 – concept 94 – corporations. See corporations, multinational – organizations 97 – policy transfer 511, 512 transnational networks: See networks & networking: transnational trans-societal structures 97 traumatic disruption – precondition for policy transfer 499, 527 travel 52 – Carnegie grants 482, 639, 699 – foreign (for research) 348–351 – restrictions 446 treaties. See also World Intellectual Property Organization; and names of specific treaties, e.g. Marrakesh Treaty; TRIPS; and

others entered under Convention, Agreement, etc. – European Union 688, 690 – intellectual property 402, 406–407 – Peace of Westphalia 12 Treaty to Facilitate Access to Published Works for Persons who are Blind [etc.] 424 triangulation 174, 282, 323 – mixed methods 237 trickle-down effect 360 TRIPS 405, 407, 408 – access to medicines 421 TRIPS-PLUS 408 tropical – librarianship (Plumbe-Benge polemic) 665 – regions (colonization) 104, 534, 657 Turkey. See also Ottoman Empire – literacy tradition 616 – public libraries 608 – US aid 620 twinning 577 typologies – colonies 536 – conceptual structures 104 – countries 276–280 – definition 277 – developing countries (hypothetical) 278, 279t – LIS cooperation 79, 298 – national cultures 108, 484, 487, 722 – ontology 207 – political systems and LIS 377f – travel 52 UAP 28, 43, Refers to IFLA/UNESCO programme; see also universal access to publications – knowledge transfer 710 – UNESCO support 28 UBC 28, 30, 43, Refers to IFLA/UNESCO programme; see also universal bibliographic control – knowledge transfer 710 – UNESCO support 28 UK – influence. See British influence

Index

UK Libraries and Archives Group on Africa (SCOLMA) 55 underdeveloped countries. See developing countries underdevelopment theories 563–565 understanding. See also Verstehen – DIKW model 114 – goal of science 175 UNESCO 25–29, 56, 662 – Statistical yearbook 346 – American influence 713 – CDS/ISIS software 709 – consultants 712, 713 – criticism 548 – cultural policies 672 – free and open source software 710 – IFLA, support for 28–29, 43 – Information for All Programme 703, 711 – Institute for Statistics 335, 338 – Iraq 663 – LIS development 27, 28, 384, 576, 631, 662, 631, 673 – literacy 702 – MacBride Report controversy 439 – manifestos 56, 71 – manuals 71, 662 – open access 434 – promotion of international peace 56 – publications 71 – Seminar on Public Libraries (Ibadan, 1953) 711 – universal access programmes 43 – WSIS sponsor 389 UNESCO bulletin for libraries 662, 711 unified theory of the acceptance and usage of technology (UTAUT) 486 UNIMARC 44, 709 – China 624 Union of Soviet Socialist Republics. See Soviet Union UNISIST 27, 710, 715 – model 128 unit independence 263 United Kingdom. See under UK, British United Nations 25, 383–385

903

– 2030 Agenda for sustainable development 568, See also Sustainable Development Goals – country categories 551 – Dag Hammarskjöld Library 330, 385 – Department of Economic and Social Affairs 365 – development decades 27 – Development Programme 334, 559 – Economic and Social Council. See ECOSOC – Educational Scientific and Cultural Organization. See UNESCO – Environment Programme 419 – family (related organizations) 26 – library system 385 – membership 544 – Millennium Development Goals. See Millennium Development Goals – regional economic commissions 334 – relations with civil society 365 – Statistics Division 332 – Sustainable Development Goals. See Sustainable Development Goals United States Book Exchange. See Universal Serials and Book Exchange United States of America. See USA; US; and American. USA is used for the country generally. US is used to abridge the names of United States government agencies. American is used adjectivally for American influence and related topics units of analysis 252 – social sciences 93, 245 universal access to publications, 43, 110, 112 Universal Availability of Publications (IFLA/ UNESCO programme). See UAP universal bibliographic control 40, 43, 44 – history 11, 12, 20–22 – scientific and scholarly literature 21 Universal Bibliographic Control (IFLA/ UNESCO programme). See UBC Universal Decimal Classification (UDC) 21, 44 Universal Declaration of Human Rights 25, 337, 415 Universal Exposition, Paris (1900) 525

904

Index

universal expositions 18–19. See also names of specific expositions Universal Serials and Book Exchange 663 universalism 18, 48 – LIS scope 11–12 – scientific 15, 17, 22, 114 – transportability of concepts 303 university libraries. See academic libraries unobtrusive measurement 291 Unpaywall 436 Uruguay 628 Uruguay Round (trade negotiations) 407 US Bureau of Labor Statistics 330 US Department of State. See US State Department US Information Agency 33, 54 US Information Service 54 – China 623 – libraries 707 – LIS development 29 US Library of Congress 13, 34, 331 – acquisitions programmes 663 – Classification 44 – country studies 331 – regional offices 663 – South-North information flows 446 US National Institutes of Health – open access 432 US National Library of Medicine 32 US Public Law 480 Acquisitions Program 34, 663 US State Department – cultural diplomacy 24, 54, 630 – Ford Foundation priorities 620 USA. See also names of individual government agencies beginning with US – development aid strategy 587 – strategic considerations 587 – influence. See American influence – information flows 457 – LIS development 632 – withdrawal from UNESCO 27 users. See clients USIA. See US Information Agency USIS. See US Information Service USMARC 476, 683, 709 USSR. See Soviet Union

Uzbekistan 694 validity – comparisons 265, 294 – epistemology 210, 213 – external and internal 212, 269 – measurement 301 – research design 212, 269 – trans-Atlantic surveys 309 values – culture 152 – librarianship 121, 185, 714 – universal 122 variable-oriented studies 260–261, 266, 267 – diffusion of innovations 487 – levels of analysis 281 variables 292–311 – data matrix 253 – dependent 274 – few-country comparisons 267–270 – independent 274, 279 – levels of measurement 253 – many-country comparisons 263–267 Vattemare, Alexandre 18 vernacular languages. See indigenous languages Verstehen – interpretivism 175 Vickery, Brian C. 126 Vietnam – early libraries 655 – LIS development aid 590 – LIS education 577 VINITI 679 virtual – content 40 – libraries 41, 112, 118 – reality (critical theory) 202 Vitiello, Giuseppe 77, 89 voluntary sector 362 See also civil society – terminology 369 Wallerstein, Immanuel 565 Washington Consensus 360 wealth inequality 42, 554 Web of Science

Index

– developing country journals 450–450 web-based surveys 314, 316 Weber, Max 106 websites – content analysis 326 – documentary sources 323 – secondary sources 344 West Africa – British colonies 659, 660, 678 – colonial attitudes 537 – French colonies 659–660, 672–678 – LIS development 107, 636 Western Europe – expansionism 617–621 Western influence – ancient literate societies 617–621 – Central and Eastern Europe 687, 695 – China 621–625 – future 696 – Japan 617 – Korea 617 – resistance 664 Western LIS models 33 – acceptance 667 – critique 33, 72, 665, 671 – post-colonial resistance 667 Westphalia, Peace of 12 White, Carl M. 604 Wijasuriya. Donald E. K. 666n16 Wikipedia 43, 431 WIPO 26, 42, 405, 406, 408 – ARDI 419 – Broadcasting Treaty (proposal) 425 – Copyright Treaty 407 – Development Agenda 422–423 – trade agreements 408 – UN agencies 384 wisdom – DIKW model 114 Witt, Steve W. 23–24 Woods, Mary Elizabeth 623 World Bank 335, 386 – criticism 548 – development 557, 562, 575

905

– statistical data 335 – structural adjustment programmes 607 World Blind Union – copyright advocacy 424 World Health Organisation – HINARI 419 World Information and Communication Order 27, 438 World Intellectual Property Organization. See WIPO World Intellectual Property Organization Copyright Treaty 1996 407 world librarianship (terminology) 83 World Science Information System. See UNISIST World Summit on the Information Society 42, 389 – access to knowledge 421 – advocacy for access to knowledge 422 – WIPO Development Agenda 422–425 World Trade Organization 42, 384 – intellectual property 406 World War I. See First World War World War II. See Second World War World Wide Web – ephemeral content 40 – surveys 314–316 WorldCat 43, 44 world-system theory 361, 564–565 worldviews – epistemology 215 WSIS. See World Summit on the Information Society Yugoslavia. See former Yugoslav republics Zambia. See also Rhodesia – LIS development 635 zero-growth 112 Zimbabwe. See also Rhodesia – documentary heritage 447 – LIS development 635