zhu 168 College & Research Libraries March 1998 Increasing the Pace of an Integral Library System in China: Moving toward the Twenty-First Century Qiang Zhu (translated by Sha Li Zhang) Academic libraries in China are transforming traditionally isolated and separated operations by initiating an integral library system (also known as integral system development) to connect all academic libraries na­ tionwide, and to connect them with other information networks abroad. A three-tier network at the national, regional, and campus levels should be developed. This paper describes the current academic library envi­ ronment in China, the concept of the integral library system, and the major goals to be realized in the next five years. ince 1979, when economic re­ form policies were imple­ mented in China, academic li­ braries have experienced rapid changes. These changes indicate that aca­ demic libraries no longer can operate in a historically isolated environment. Aca­ demic libraries in China have to actively employ new information technologies, ini­ tiate an integral library system, establish networked information systems, and con­ nect with other networked information systems, both at home and abroad. A na­ tionwide information resources-sharing system in China can only be realized if most of the libraries participate, cooper­ ate, and share resources. In recent years, China’s academic libraries have explored advanced technologies from other coun­ tries in order to develop state-of-the-art academic library information systems. These advanced systems will enable China’s academic libraries to move suc­ cessfully into the new millennium and meet the challenges offered by the globaliza­ tion of information. Current Academic Library Environment Like many other libraries of developing countries, academic libraries in China are now at a crossroads. Lack of funds to support library collections and lack of technological capabilities are serious problems; these issues prevent the aca­ demic library community from offering basic services and from participating in the sharing of information resources. In the past ten years, the costs of for­ eign monographs and journals (published outside China) increased 15 to 25 percent while Chinese monographs and journals increased 20 to 30 percent. These in­ creases have had a severe impact on the academic library community. In a survey conducted by the National Academic Li- Qiang Zhu is Deputy Director of Peking University Library in Beijing, People’s Republic of China; e- mail: zq@lib.pku.edu.cn. Sha Li Zhang is Collection Management Librarian at the University of South Carolina-Spartanburg; e-mail: szhang@gw.uscs.edu. 168 mailto:szhang@gw.uscs.edu Moving Toward the 21st Century 169 braries Commission of China between 1986 and 1991, materials’ budgets in­ creased 43.21 percent, but the total vol­ umes purchased fell 67.04 percent. Tsinghua University Library, for example, purchased 30,000 volumes of foreign monographs in 1986. In 1991, only 5,210 volumes of foreign monographs were added to the library’s collections.1 Some university libraries had to stop purchas­ ing foreign materials for several years due to their high cost. In 1995, Peking Uni­ versity Library purchased 4,000 volumes of foreign monographs, and only 1,000 of them came from the materials budget al­ located by the university; the remainder was purchased by special funds.2 Some university libraries had to stop purchasing foreign materials for several years due to their high cost. Many university libraries use a large portion of their materials budget to re­ tain journal subscriptions. Among major university medical libraries, 80 to 90 per­ cent of the materials budgets are used for journal subscriptions. Major science and engineering libraries allocate up to 70 percent of their materials budget for journal subscriptions. In 1995, Peking Uni­ versity Library used 3.5 million yuan (equivalent to $440,000 U.S. currency) of its 4 million yuan (equivalent to $500,000 U.S. currency) materials budget for jour­ nals. In the same year, among seventy- one major university libraries in China, there were only subscriptions to 6,000 foreign journal titles. It is estimated that 150,000 journals and 600,000 mono­ graphs are published annually around the world. If one-third of them are schol­ arly titles, the academic libraries in China annually collect less than 20 percent of foreign journals and less than 10 percent of foreign monographs.3 Some efforts have been made in ac­ quisitions coordination among China’s academic libraries. However, due to shrinking budgets and the current admin­ istrative practices within each university, it is very difficult to initiate any coopera­ tive projects to wisely distribute informa­ tion resources on a nationwide scale. Each library makes decisions based on its own immediate needs (e.g., reassigning monograph funds for journal subscrip­ tions and canceling less-used journals to retain core journal titles). Among these core titles, the expensive journals are of­ ten the candidates for further cancella­ tions. As a result, some important foreign journals are not acquired by any univer­ sity libraries. These libraries collect the same inexpensive journal titles. Duplica­ tion and gaps in collections exacerbated the shortage of information resources among academic libraries. Lack of technological capabilities pre­ sents another barrier. In more than 1,000 academic libraries in China, less than 5 percent of them are using computers for library functions. Peking University Library and Tsinghua University Library are the only two academic libraries in the country that are able to access their online catalogs through the Internet.4 Most libraries still use manual systems for acquisitions, cataloging, processing, searching, and circulation. Thus, it is im­ possible for one library to know the hold­ ings in other libraries’ collections. In recent years, some university admin­ istrations have allocated funds for purchas­ ing computer equipment for their libraries, but they did not allocate funds at the same time for purchasing the necessary software and databases. Therefore, the computer hardware is not being fully utilized. There has been very little cooperative planning among China’s academic librar­ ies. They started their respective auto­ mation projects independent of one an­ other. A few years ago, the Technology and Equipment Department of the State Education Commission sponsored a project for retrospective conversion of Chinese bibliographical union catalogs. 170 College & Research Libraries March 1998 It was a successful project at the begin­ ning. Unfortunately, the lack of continued funding from the commission prevented the project from further development. Lack of adequate information re­ sources and technologies has widened the gap between the academic libraries in China and their counterparts in other countries. The practices and experiences from developed countries have proved that isolated and separate/independent library operations are not the appropri­ ate paths to pursue. A new model needs to be explored and designed to enable academic libraries in China to increase their access to information resources and to improve the quality of services. When these goals are realized, the aca­ demic libraries will be able to better serve their university communities, par­ ticipate in sharing global information re­ sources, and contribute to global net- worked information systems. Concept of the Integral Library System An integral library system is needed to enhance access to information re­ sources and to improve services. By us­ ing computer networks to connect each academic library and to connect with in­ formation resource networks abroad, China can transform isolated and sepa­ rated systems into a nationwide infor­ mation resources-sharing system. In this environment, the Chinese Education and Research Network (CERNET) will serve as the backbone to support a networked system in the academic library commu­ nity. Under the direction of the National Education Commission, long-range plan­ ning should be placed at the national level (first tier). Information resources should be purchased at the regional level (sec­ ond tier) and accessed at the university campus level (third tier). Joint services and support should be coordinated to improve efficiency and quality of ser­ vices. Additional funds should be pro­ vided for selective university libraries to expand their information resources and to acquire the newest technology and equipment. These selective library sites will become multidisciplinary information resources centers. It is reasonable to encourage the development of a nation­ wide and multitier information resources- sharing system. This system should be connected via telecommunications net­ works with major networked resources- sharing systems abroad in order to meet increasing demands from university communities. There has been very little coopera- tive planning among China’s academic libraries. The concept of the integral library system can be traced back to the early 1980s. In September 1981, at the National Academic Libraries Working Confer­ ence held in Beijing, organized by the Department of Education (formerly the State Education Commission), Lin Zhou, deputy director of the department at that time, stated in his report that academic libraries “must be actively engaged in cooperation and in sharing resources.”5 One year later, at the Second Plenary Session of the National Academic Librar­ ies Working Commission meeting, the concept of the integral library system was presented more clearly. It was agreed that to move each library from its iso­ lated and separated environment into an integral system was one of the best ways to improve library services. Therefore, the integral library system should have:  nationwide planning;  uniform standards and protocols;  a group of libraries serving as cores and backbones for new initiatives and endeavors;  an environment encouraging co­ ordination and cooperation among li­ braries;  a group of libraries that shares modern facilities/service centers.6 Moving Toward the 21st Century 171 In June 1987, a document from the State Education Commission addressed the need to establish a group of disci­ plinary information resources centers and to form an information resources- sharing system within the academic li­ brary community. In this document, preliminary plans addressing the re­ sponsibilities of disciplinary informa­ tion centers, required facilities, the number of centers, funding for these c e n t e r s , a n d m a n a g e m e n t o f t h e s e centers also were presented.7 How­ e v e r , d u e t o m a n y r e a s o n s a t t h a t time, these discussions did not form any concrete plan of action. Some im­ portant lessons from this group in­ cluded that the scale of the assump­ tion for the integral library system was too broad. The guiding principles emphasized developing information resources but did not address how to provide access to university commu­ nities. In addition, no consideration was given to networks and the various The guiding principles emphasized developing information resources but did not address how to provide access to university communities. types of systems. At any rate, the dis­ cussions generated from the document provided the basic principles for the in­ tegral library system. Based on these principles, the National Academic Li­ braries Working Commission con­ ducted a large-scale survey of informa­ tion resources. It also started the coor­ dination of acquisitions for foreign jour­ nal subscriptions. The State Education Commission funded information re­ sources centers for humanities and so­ cial sciences at fifteen university cam­ puses. Later, it funded foreign mono­ graphs centers for humanities and so­ cial sciences at five university cam­ puses.8 These activities enabled univer­ sity libraries to share vital information resources and to gain useful experience for the integral library system. Project 211 provides an excellent op­ portunity for the integral library system. The project, sponsored by the State Education Commission, is the Chinese government’s new endeavor for en­ hancing one hundred universities and key subject disciplinary areas as a na­ tional priority for the twenty-first cen­ tury. According to this plan, in the next five years the government will initiate actions to strengthen a hundred univer­ sities and key disciplinary areas. It is envisioned that after the implementa­ tion of Project 211, the one hundred uni­ versities and key disciplinary areas will have greatly improved their quality of education, scientific research, manage­ ment, and institutional efficiency.9 This project consists of three major compo­ nents: (1) improvement of overall insti­ tutional capacity, (2) development of key disciplinary areas, and (3) development of the public services system of higher education. The third component includes three subsets: (1) development of CERNET, (2) development of the China Academic Library and Information Sys­ tem (CALIS), and (3) development of the Modern Equipment and Facilities Sharing System (MEFSS). CERNET will link all major universities in China via the Internet and will provide informa­ tion services to people in all of China’s sectors.10 Goals of the Integral Library System From now to the year 2000 and beyond, the major goals of the integral library system include development of CALIS to its fullest operation. Backed by CERNET, CALIS will establish numer­ ous comprehensive information re­ sources centers and disciplinary infor­ mation resources centers, thus forming an information subnetwork with exten­ sive connections to similar systems both at home and abroad. Funded by the State Education Commission, 80 http:sectors.10 172 College & Research Libraries March 1998 percent of CALIS’s budget will be used for purchasing information resources and databases, leasing databases from abroad, paying for connection fees with other online databases abroad, and paying for international document de­ livery. Ten percent of the budget will be used for developing databases and training professional staff; the remain­ ing 10 percent will be allocated for plan­ ning, research, maintenance, etc. Goals for the integral library system include: 1. Establishing a services backbone net­ work with centralized information resources at the national and regional centers, including ac­ cess channels by the university libraries. Be­ cause of the unique situation of academic libraries in China, it is practical that CALIS should employ a structural model for es­ tablishing information resources centers at national and regional levels. Through regional centers, each academic library can therefore be connected to form a three-tier support services network. One of the first steps is to establish a nationwide information resources cen­ ters for such disciplinary areas as lib­ eral arts, engineering and technologies, medicines, agriculture, and forestry. Nu­ merous regional information resources centers should be established accord­ ingly in the cities where major colleges and universities are located, rich infor­ mation resources can be provided, a practice of sharing resources is in exist­ ence, and the use of advanced networks is present. Within these centers, there should be adequate information re­ sources and competent professionals, including a certain number of knowl­ edgeable workers and experts who en­ gage in the processing and searching of information resources. They should have access to advanced facilities (i.e., com­ puter equipment, networks, telecommu­ nications facilities, and document-dupli­ cating equipment). These centers will provide information resources sharing, coordination, and services nationwide and at the regional levels. Their activi­ ties should include coordinating acquisi­ tions, increasing collections of original documents, and organizing and promot­ ing the existing resources. It is very im­ portant that there be effective commu­ nication with the National Library of China, Science Academy Libraries, spe­ cial libraries, and public libraries. During this period of time, at least a hundred university libraries should be con­ nected with the national backbone network (CERNET). These libraries will participate in the development of centralized infor­ mation resources and the contribution of local resources according to the system’s standards. These participating libraries also will be entitled to privileges and ser­ vices provided by the system. 2. Developing bibliographical databases and documentation databases. Academic li­ braries in China hold a large amount of information resources. The resources in­ crease in number steadily each year. To maximize the use of these resources, there is the need to develop comprehen­ sive bibliographic and documentation databases. Thus, the scattered collec­ tions in each library will be known by par­ ticipating libraries within the network. In addition, there is a growing num­ ber of vital information resources pro­ duced abroad. With the development of networks, the use of electronic resources has expanded significantly. To utilize these resources effectively, there is an urgent need to develop databases at home, to purchase databases from abroad, and to have the proper proto­ cols in place to access information from the developed countries. The development and use of databases includes two steps: (1) to design and build databases at home, and (2) to purchase and/or access databases from abroad. The first step includes developing union catalog databases for monographic and periodical collections in the Chinese lan­ guage and foreign languages. The second step involves developing documentation Moving Toward the 21st Century 173 databases from collections owned by in­ dividual libraries. In addition, there is the need to develop subject-oriented data­ bases to support academic programs and research. To avoid duplicate efforts, a co­ ordinated purchasing policy must be for­ mulated that stipulates specific criteria. With collective efforts, the databases should have comprehensive coverage in appropriate disciplinary areas. Regarding the purchase of databases from abroad, every effort needs to be made to eliminate unnecessary duplica­ tion and to avoid internal competition. The types of databases should have a balance in formats of abstracts, indexes, full text, and access to original documen­ tation. Because academic libraries are spread over a wide geographic area in China, there are no networks and tele­ communication facilities in existence in some geographical locations. 3. Conducting research on key technolo­ gies and projects. Development of CALIS includes not only telecommunications, computer equipment, and other techni­ cal aspects of library automation but also information processing, organiza­ tional aspects, access issues, and basic services. There are some existing solu­ tions for the problems pertinent to these aspects. For the unsolved problems, ap­ plied research on key technologies and pertinent projects should be conducted. There also is the need to follow the tracks of research pertaining to ad­ vanced technologies for the future. Because the information resources- sharing system is of a large scale and spread over a huge geographic area, the following projects are targeted for research and development:  production and access systems for distributed databases;  manufacturing and access sys­ tems for multimedia databases;  designing, organizing, and access­ ing of union catalog databases;  collecting, organizing, and ac­ cessing networked electronic resources;  interlibrary loans and document delivery;  equitable distribution of informa­ tion resources and coordination of ac­ quisitions;  evaluation criteria and research methods for core documentation in key disciplinary areas;  information resources sharing and protection of intellectual property;  assessment and research on new information technology products abroad;  digital library technologies. In conducting research for these technologies and projects, cooperation and coordination should be promoted. Exchanges with experts both at home and abroad should be encouraged to ensure the currency of technologies. 4. Training human resources for new sys­ tems/services. Human resources are a key component of CALIS. There should be a large number of knowledgeable workers who understand modern infor­ mation technologies. Human resources include systems research and develop­ ment personnel, systems operation and maintenance personnel, database de­ velopment personnel, user education personnel, and user services person­ nel. University libraries should make commitments to invest resources to recruit college graduates and over­ seas students to work in these areas. However, the practical way at present is to train the existing library staff members in each academic library and to improve and upgrade their knowledge and skills. Every effort needs to be made to improve human re­ sources, for example, to:  establish several training bases nationwide to enable library staff to ob­ tain professional knowledge and skills. The trained staff should be certified upon completion of training.  set up policy and procedures to encourage library staff to enroll for de­ grees and course work. 174 College & Research Libraries March 1998  send library staff members over­ seas to observe and study current tech­ nologies and practices.  invite experts and scholars from abroad to engage in exchanges.  hold conferences for scholarly and technical discussions. 5. Establish a management structure that ensures systems operations. In the pro­ cess of developing CALIS, there is the need to establish scientific management and related policies and procedures; they would be emphasized in the fol­ lowing ways:  Throughout the organizational structure, priority should be given to highly efficient management. Also, there should be a scholarly advisory board and a democratic supervising group.  The entire system and sub­ systems should be task oriented and should enhance continual assessment/ evaluation to ensure the completion of each project.  There should be a series of regu­ lations and policies to ensure that all projects follow appropriate guidelines.  Priority has to be given to the im­ provement of services in order to meet users’ demands. Upon its completion, CALIS will pro­ vide the following services to enable uni­ versity communities and other users to:  search library holdings through online monographic and periodical union catalogs;  search journal articles and other documents through various databases both at home and abroad;  obtain journal articles and other types of documents through document delivery and interlibrary loan services;  search updated research propos­ als to avoid duplicate efforts in research projects;  coordinate acquisitions for mono­ graphs and journals to maximize use of the materials budget and to distribute information resources wisely;  catalog library materials through online union cataloging databases ac­ cording to uniform standards to en­ hance the sharing of information re­ sources. Along with development of CALIS and use of emerging technologies, new func­ tions and new services will be added to the list above. However, the demands for ex­ pertise and for funding in the development of CALIS are as high as that of CERNET. Conclusion The new millennium is quickly ap­ proaching. The twenty-first century will be the era of information. In the inten­ sive international competition, informa­ tion resources play a vital role in the development of the economy, sciences, and technologies. Improving the human condition via science and education in China cannot be realized unless infor­ mation resources are expanded/net­ worked and services are improved. Improving the human condition via science and education in China cannot be realized unless information resources are expanded/networked and services are improved. The development of CALIS, whose purpose is to connect university libraries with CERNET, allows the development of information resources networks through extensive use of modern technologies. The implementation of CALIS will ensure moving higher education and scientific research capability to a higher level. At the same time, as an integral part of a nationwide information resources net­ work, CALIS will contribute to the social and economic development of the coun­ try by bringing the accomplishments of science, technologies, and cultures of China to the world’s attention. In the next five years, the principles for CALIS development include taking vigorous, but steady steps in establish­ ing appropriate goals and priorities to Moving Toward the 21st Century 175 achieve maximum results. Every posi­ tive factor needs to be brought into play to complete what has been planned with an orderly manner. Therefore, the fol­ lowing will be realized: 1. Fully organize and develop the exist­ ing collections to realize the sharing of in­ formation resources. Although Chinese language materials will be collected by each individual library, interdisciplinary Chinese language materials will be de­ veloped at the regional centers. These centers will be cooperative and inter­ dependent. It is critical to follow a coor­ dinated approach in order to prevent duplication in expensive journal sub­ scriptions. Steady progress is expected in the development of a series of data­ bases that reflect the unique character­ istics of China’s academic library com­ munity. Some databases will be pur­ chased from developed countries to supplement printed materials. There­ fore, the development of information resources for institutions of higher edu­ cation will leap to a new stage. 2. Develop a three-tier services network at the national, regional, and campus levels to connect with information resources net­ works abroad. These connections are ex­ pected to improve academic library ser­ vices significantly. Selected universities will be encouraged to equip their librar­ ies with modern telecommunications/ computer technologies. These libraries will become modernized information re­ sources centers. 3. Train library staff to become more pro­ ficient in the use of modern technology. They will develop standards, protocols, poli­ cies, and procedures. Also, organiza­ tional structures will be put into place that ensure the successful operation o f t h e s y s t e m . T h e s e i m p l e m e n t a ­ tions will form a model of the integral library system. China’s integral library system is ex­ pected to dramatically improve aca­ demic library services. It will serve as the foundation on which to build future planning, growth, development, and in­ novation. This cooperative and system­ atic approach in sharing vital informa­ tion resources among China’s academic libraries is expected to result in many benefits for users. The Chinese version of this article appeared in the Journal of Academic Libraries 15, no. 2 (1997): 6–9. This article is the first of the exchange of articles between C&RL and the Chinese Journal of Academic Libraries. Notes 1. Xiao-ming Li, “Development of Information Resources for Academic Libraries: Current Situation and Recommendations,” Journal of Academic Libraries 11, no. 5 (1993): 1–3. 2. Qiang Zhu, “Issues on the Development of China Academic Library and Information System,” Journal of Academic Libraries 14, no. 1 (1996): 1–6. 3. Ibid., 1. 4. Ibid., 2. 5. Lin Zhou, “Reaching Consensus and Providing Leadership: Toward a Better Academic Library,” in Proceedings of the National Academic Library Working Conference (Beijing, China: The National Academic Library Working Commission, 1981), 11–24. 6. Shou-jing Zhuang, “Inspire Enthusiasm for a New Phase of Academic Libraries,” Journal of Academic Libraries 1, no. 1–2 (1983): 19. 7. The Secretariat of the National Academic Library Working Commission, “Key Issues of Academic Libraries during the 7th Five-Year Plan,” Journal of Academic Libraries 5, no. 5 (1987): 24–26 8. URL:http://www.lib.pku.edu.cn/chtml/hsf/e-jjh.htm. 9. Department of Foreign Affairs of the State Education Commission, Project 211: A Brief Introduction (Beijing, China: Department of Foreign Affairs of the State Education Commission, 1996), 1. 10. 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