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"The facts about fax" : facsimile transmission and archives Wodarczak, Erwin 1991

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"THE FACTS ABOUT FAX": FACSIMILE TRANSMISSION AND ARCHIVES by ERWIN WODARCZAK B.A., The U n i v e r s i t y o-f B r i t i s h Columbia, 1986 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHIVAL STUDIES i n THE FACULTY OF ARTS (School of L i b r a r y , A r c h i v a l , and Information S t u d i e s ) We accept t h i s t h e s i s as conforming to the r e q u i r e d standard THE UNIVERSITY OF BRITISH COLUMBIA September 1991 © Erwin Wodarczak, 1991 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. ££/40OL or LIBRARY ? A#CtOA£^ t •Departmcnt of /SJFORMAT/OlO STU&//^S The University of British Columbia Vancouver, Canada Date /SrOc/. /J/  DE-6 (2/88) i i ABSTRACT In r e c e n t years, f a c s i m i l e t r a n s m i s s i o n , or "fax", has become the l e a d i n g medium of w r i t t e n telecommunication. At the same time, the b a s i c technology f o r fax has been i n e x i s t e n c e f o r some 150 years. N e v e r t h e l e s s , there has been l i t t l e a n a l y s i s of f a c s i m i l e t r a n s m i s s i o n i n an a r c h i v a l c o n t e x t . T h i s t h e s i s aims to f i l l at l e a s t p a r t of t h i s gap i n archival l i t e r a t u r e . The f i r s t chapter i s an overview of the h i s t o r y of fax, and examines the v a r i o u s t r a n s m i s s i o n and r e c o r d i n g techniques developed over the years, d i s c u s s e s the uses to which these techniques have been put, and d e s c r i b e s p o t e n t i a l sources from which an a r c h i v e s might a c q u i r e f a c s i m i l e documents. The next chapter i l l u s t r a t e s modern f a c s i m i l e processes i n d e t a i l , a nalyzes the chemical and p h y s i c a l make-up of papers and inks used, and e x p l o r e s the c o n s e r v a t i o n problems i n h e r e n t i n c e r t a i n kinds of f a c s i m i l e paper. On the b a s i s of t h i s t e c h n i c a l examination, the r e s t of the d i s s e r t a t i o n d i s c u s s e s the treatment of fax documents i n the a r c h i v a l c o n t e x t , i n terms of both theory and p r a c t i c e , with s p e c i f i c r e f e r e n c e to law, a r c h i v a l theory, and re c o r d s management. The nature of f a c s i m i l e s as records and the c h a r a c t e r i s t i c s of t h e i r p h y s i c a l form are amply d i s c u s s e d ; and t h e i r l e g a l value i s examined to determine the c r i t e r i a to be used i n t h e i r a p p r a i s a l . In t h i s regard, s p e c i a l a t t e n t i o n i s given to the way i n which the l e g a l p r o f e s s i o n handles problems of a u t h e n t i c i t y and s e c u r i t y i n h e r e n t i n fax t r a n s m i s s i o n , and to the way i n which o r g a n i z a t i o n s deal with the o p e r a t i o n a l and l e g a l problems presented by f a c -s i m i l e s . A r c h i v i s t s have to be a l e r t to changes i n communication technology, i n order to determine i-f a r c h i v a l theory and p r a c t i c e have to adapt to such changes. In the case o-f -facsimile t r a n s -m i s s i o n , t h i s study concludes that no fundamental changes i n a r c h i v a l theory are r e q u i r e d i n order to deal with i t e f f e c t i v e l y i n the a r c h i v a l c o n t e x t . What i s needed i s a b a s i c understanding of the technology i n v o l v e d , and a thorough knowledge o-f a r c h i v a l concepts and of r e l e v a n t l e g a l p r i n c i p l e s . i v TABLE OF CONTENTS ABSTRACT i i ACKNOWLEDGEMENTS v INTRODUCTION 1 CHAPTER ONE: THE EVOLUTION OF FACSIMILE TECHNOLOGY 5 CHAPTER TWO: MODERN FACSIMILE TECHNOLOGY AND PRODUCTS . . . 22 CHAPTER THREE: FACSIMILE DOCUMENTS AS "RECORDS"— THEORETICAL CONSIDERATIONS 47 CHAPTER FOUR: FACSIMILE DOCUMENTS AS "RECORDS"— PRACTICAL CONSIDERATIONS 68 CONCLUSION 98 BIBLIOGRAPHY 102 V ACKNOWLEDGEMENTS I would l i k e to express my thanks to the f o l l o w i n g people: Sue Bigelow, f o r p r o v i d i n g a copy of the A u s t r a l i a n A r c h i v e s t e c h n i c a l r e p o r t on f a c s i m i l e ; J e n n i f e r Jordan, f o r g i v i n g i n f o r m a t i o n on the B.C. Court of Appeal fax f i l i n g p r o j e c t ; Kosuku Business Paper (Canada) L t d . of Richmond, B.C., f o r p r o v i d i n g t e c h n i c a l , informa-t i o n r e l e a s e d by M i t s u b i s h i ; my t h e s i s a d v i s o r , Luciana D u r a n t i , as well as the other members of my committee, A l b i n Wagner and Tony Sheppard, f o r t h e i r help, a d v i c e , and support; T e r r y Eastwood, who was a source of encouragement even before I entered the M.A.S. program; my f e l l o w students i n the program, f o r t h e i r moral support through the past two years; and f i n a l l y my parents, f o r t h e i r support, and f o r being w i l l i n g to e x p l a i n to f r i e n d s and r e l a t i v e s e x a c t l y what I was s t u d y i n g . 1 INTRODUCTION In the course o-f t h e i r p r o f e s s i o n a l c a r e e r s , a r c h i v i s t s have to be a l e r t to changes i n communication technology, because they work with the products of such technology. That i s , they deal with r e c o r d s , which are documents c r e a t e d or r e c e i v e d i n the course of a p r a c t i c a l a c t i v i t y , and which c o n s i s t of recorded i n f o r m a t i o n communicated and preserved on a p h y s i c a l medium. I t i s t h e r e f o r e necessary to determine whether the a r c h i v a l theory on which a r c h i v i s t s base t h e i r work has to evolve i n order to take techno-l o g i c a l changes i n t o account. In r e c e n t years, f a c s i m i l e t r a n s m i s s i o n , or "fax", has become the l e a d i n g medium of w r i t t e n telecommunication, s u r p a s s i n g both t e l e g r a p h and t e l e x . In 1989, over ten m i l l i o n fax machines were in o p e r a t i o n around the world,' and the number co n t i n u e s to i n c r e a s e . Fax t r a n s m i s s i o n i s convenient, f a s t , and powerful. With i t , one can send any kind of w r i t t e n (as opposed to o r a l ) or s t i l l (as opposed to moving-image) d o c u m e n t — l e t t e r , r e p o r t , drawing, or photographic image—from one's o f f i c e to the other s i d e of the p l a n e t i n a matter of seconds. At the same time, the b a s i c technology was f i r s t developed almost 150 years ago, and has been i n g e n e r a l , though l i m i t e d , use s i n c e the beginning of t h i s c e n t u r y . P.-A. Wenger, "The Future A l s o has a Past: The T e l e f a x , a Young 150-Year Old S e r v i c e " , Te1ecommunication Journa1 56 (Decem-ber 1989): 777. D e s p i t e i t s long h i s t o r y and i t s r e c e n t r i s e to prominence, there has been l i t t l e e x p l o r a t i o n of f a c s i m i l e technology by a r c h i v i s t s . Two rec e n t s t u d i e s have examined the problems a s s o c i a t e d with the c o n s e r v a t i o n o-f some fax documents, but no general a n a l y s i s of -facsimiles i n an a r c h i v a l c ontext has been attempted. The r a p i d and c o n t i n u i n g d i f f u s i o n of -fax as a means of communication makes i t important to undertake such an a n a l y s i s . If they have not a l r e a d y done so, a r c h i v i s t s w i l l soon be encountering r e c o r d s i n f a c s i m i l e form as they a p p r a i s e s e r i e s and fonds c r e a t e d or added-to s i n c e the mid to l a t e 1980's. If -found i n paper form, -facsimiles may be p r i n t e d on what i s known as thermal paper, which d e t e r i o r a t e s r a p i d l y and r e q u i r e s s p e c i a l c o n s e r v a t i o n measures. F a c s i m i l e s may a l s o be c r e a t e d and preserved i n machine-readable form, as products of the combination of the t e c h n o l o g i e s of f_ax t r_a o s m i s s i o n an d computer word-p r o c e s s i n g known as PC-fax. A r c h i v i s t s have to decide on s t r a -t e g i e s f o r the p r e s e r v a t i o n of these r e c o r d s , whether i n t h e i r o r i g i n a l p h y s i c a l form or i n other media, such as bond paper or f i l m . T h i s t h e s i s w i l l study the h i s t o r y of f a c s i m i l e technology and the development of modern f a c s i m i l e systems i n order to e s t a b l i s h the foundation on which an a r c h i v a l examination of f a c s i m i l e s may begin. The f i r s t p o i n t which such an examination needs to determine i s whether -facsimiles are a c t u a l l y " r e c o r d s " . In f a c t , the nature of a document i s the b a s i c idea on which the a r c h i v a l t h e o r e t i c a l c o n s t r u c t i s -founded. Thus, the s t a t u s of f a c s i m i l e s 3 w i l l be e s t a b l i s h e d , and the type of documentary form that •facsimiles r e p r e s e n t w i l l be e x p l o r e d . F a c s i m i l e s are s i m i l a r to t ion or t r ansmissron—o f — i n f o r ma t-ion—by e l ec t r on i'c—means-; Th i s makes them, in—the—eyes—of—some a u t h o r i t i e s , e l e c t r o n i c r e c o r d s . In order to determine the v a l i d i t y of t h i s p o s i t i o n , the term " e l e c t r o n i c r e c o r d " w i l l be de-fined, and then i t w i l l be seen whether -facsimiles f i t i n t h i s c a t egory. Whatever the r e s u l t of the t h e o r e t i c a l e x p l o r a t i o n of the above i s s u e s , i t has to be c o n s i d e r e d that a r c h i v i s t s and a r c h i v e s do not e x i s t o n l y i n an a b s t r a c t world of theory, but a l s o i n the r e a l world o-f l e g a l and a d m i n i s t r a t i v e procedure. How are f a c s i m i l e s t r e a t e d i n the c o u r t s and by the l e g a l p r o f e s s i o n ? T h i s i s s i g n i f i c a n t because, i f -facsimiles can be accepted as r e c o r d s i n the environment of the law, they can be c o n s i d e r e d as such i n the a d m i n i s t r a t i v e and a r c h i v a l c o n t e x t s as w e l l . S i m i l a r l y , i f standard procedures f o r p r o c e s s i n g -fax documents can be e s t a b l i s h e d i n the c o u r t s — i n p a r t i c u l a r the c o u r t r e g i s t r i e s — w h e r e s t r i c t adherence to l e g a l and a d m i n i s t r a t i v e p r i n c i p l e s i s o-f paramount importance, one would think that they can be e s t a b l i s h e d anywhere. The r e f o r e , the law o-f evidence w i l l be e x p l o r e d f o r the purposes of e s t a b l i s h i n g the a d m i s s i b i l i t y of -facsimiles i n c o u r t and t h e i r weight; and the f a c s i m i l e f i l i n g p r o j e c t r e c e n t l y i n s t i t u t e d at the B r i t i s h Columbia Court o-f Appeal R e g i s t r y w i l l be examined i n d e t a i l f o r the purpose o-f determining how an o r g a n i z a t i o n may deal with the problems presented by fax t r a n s m i s s i o n of c o u r t documents. telegrams and t e l e x e s i n that they are products of the communica-A r c h i v i s t s are aware that e v o l v i n g technology a f f e c t s t h e i r p r o f e s s i o n as i t a f f e c t s a l l o t h e r s . F a c s i m i l e t r a n s m i s s i o n i s j u s t one example of t h i s . A study such as t h i s one i s t h e r e f o r e needed, so that a r c h i v a l work can take such new developments i n t o account. In a d d i t i o n , t h i s study serve s the more general purpose of c o n t i n u i n g the comparison of b a s i c a r c h i v a l p r i n c i p l e s with the ever—changing r e a l i t y that a r c h i v i s t s are con f r o n t e d with, a comparison f i r s t made c e n t u r i e s ago and which i s as much at the heart of a r c h i v a l work today as ever. 5 CHAPTER ONE: THE EVOLUTION OF FACSIMILE TECHNOLOGY F a c s i m i l e t r a n s m i s s i o n has become the le a d i n g means of w r i t t e n telecommunicat_i.on--more-wi-de-l-y^used tThan either__feei'eg'raph or t e l e x . I t s r e c e n t r i s e to prominence might lead one to think that f a c s i m i l e t r a n s m i s s i o n i s a r e l a t i v e l y new t e c h n o l o g i c a l develop-ment, but t h i s i s not so. F a c s i m i l e technology has been i n e x i s t e n c e f o r almost 150 years; the c u r r e n t boom i s merely the product of refinements i n the technology, r a t h e r than of a break-through . The f i r s t f a c s i m i l e machine was patented by S c o t t i s h i n v e n t o r Alexander Bain i n 1843; i t was an i n d i r e c t product of h i s r e s e a r c h i n t o e l e c t r i c c l o c k s . Bain had o r i g i n a l l y developed a mechanism f o r s y n c h r o n i z i n g i n t e r c o n n e c t e d c l o c k s i n a "master—slave" r e l a t i o n s h i p : i n t h i s way, by s e t t i n g one c l o c k , the e n t i r e time-keeping system c o u l d be a d j u s t e d . The pendulums of the secondary c l o c k s would o b v i o u s l y move i n the same p a t t e r n as that of the primary, and Bain r e a l i z e d t hat''if the primary's pendulum could be modified to t r a c e a de s i g n , the o t h e r s , i f they were s i m i l a r l y m o d i f i e d , would produce exact c o p i e s of that d e s i g n . Bain's battery-powered apparatus worked as f o l l o w s . D i r e c t c u r r e n t p u l s e s were c r e a t e d by the sending d e v i c e as a s t y l u s attached to the pendulum swept a c r o s s r a i s e d m e t a l l i c l e t t e r i n g , a l t e r n a t e l y completing and d i s r u p t i n g an e l e c t r i c c i r c u i t . The 6 pulses would t r a v e l by wire to the r e c e i v e r , the pendulum and s t y l u s of which swept back and f o r t h a c r o s s a sheet of damp e l e c t r o s e n s i t i v e paper. Here, each pulse would produce a mark. A f t e r each s t r o k e , both the o r i g i n a l message and the r e c e i v i n g paper would s h i f t one l i n e , the sequence would repeat i t s e l f , and e v e n t u a l l y a f a c s i m i l e of the o r i g i n a l would be produced.' Bain's d e v i c e was too slow and u n r e l i a b l e to compete with tel e g r a p h y , but that d i d not prevent o t h e r s from t r y i n g to improve upon the concept. F r e d e r i c k Bakewell approached i t i n a s l i g h t l y d i f f e r e n t way i n h i s f a c s i m i l e machine, patented i n 1848 and e x h i b i t e d at the 1851 U n i v e r s a l E x h i b i t i o n i n London. A message would be w r i t t e n using an i n s u l a t i n g ink on a f i l m or t h i n p l a t e of t i n , which was then wound around a r o t a t i n g drum. A s t y l u s , attached to the wire le a d i n g to the r e c e i v e r , t r a c e d over the message as the drum r o t a t e d . The drum was connected to a b a t t e r y , and when the s t y l u s touched the conducting t i n a c i r c u i t was com-p l e t e d and a c u r r e n t t r a n s m i t t e d to the, r e c e i v e r , which was synchronized with the sender and used a pi e c e of e l e c t r o s e n s i t i v e paper i n plac e of the t i n . The e l e c t r i c c u r r e n t would be i n t e r — rupted when the f i r s t s t y l u s passed over the i n s u l a t i n g i n k . The paper i n the r e c e i v e r darkened when the c u r r e n t touched i t , but r e -mained white when i t was i n t e r r u p t e d ; the r e s u l t was a negative copy of the o r i g i n a l message. Bakewell's machine was no more Daniel M. C o s t i g a n , E l e c t r o n i c D e l i v e r y of Documents and  Graphics (New York: Van Nostrand Reinhold Company, 1978), 2-3. -us e d—a g ai£t_jirj_ jFu^tur^_Ja_c.s.im-iH-e--a e v i c e s, The most s u c c e s s f u l of the "nineteenth-century f a c s i m i l e p i o neers was Giovanni ^C asel IX- H i s d e v i c e , the "pantelegraph", was patented i n 1855, and was the f i r s t to be used i n r e g u l a r publ^c^_sjer.v_ice . L i k e Bain's machine i"t—used—a—pendu-luoff or d r i v i n g power; to t r a n s m i t messages i t used metal p l a t e s with messages w r i t t e n i n i n s u l a t i n g ink, s i m i l a r to Bakewell's d e v i c e ; as i n both Bain's and Bakewell's machines, e l e c t r o l y t i c paper was used to record the messages. The pantelegraph was a l s o more r e l i a b l e than e i t h e r of i t s predecessors, being f i t t e d with a r e g u l a t i n g c l o c k which maintained the s y n c h r o n i z a t i o n between t r a n s m i t t e r and receiver. ^ The pantelegraph worked well enough to r e c e i v e the support of the French government i n 1861. A s e r i e s of t e s t s was c a r r i e d out by the French Telegraph A d m i n i s t r a t i o n , and i n 1865 a p u b l i c f a c s i m i l e s e r v i c e was opened between P a r i s and Lyon. The i n i t i a l t r a n s m i s s i o n speed of f o r t y twenty-word messages per hour was soon i n c r e a s e d to 110 per hour. T h i s i n i t i a l success d i d not l a s t long, however. There was r e l a t i v e l y l i t t l e demand f o r the s e r v i c e ; the pantelegraph c o u l d not comp.e-te—with c o n v e n t i o n a l ^ e 1 ec t r i e t e l e -Wenger, 778. I b i d . , 778-80. graphy, which was adequate f o r the needs o-f the p e r i o d 8 As a 4 r e s u l t , the P a r i s - L y o n f a c s i m i l e s e r v i c e was shut down i n 1870. The f i r s t widespread use of f a c s i m i l e t r a n s m i s s i o n d i d not come u n t i l the e a r l y t w e n t i e t h century, and then i t was used to ] transmit^photographs r a t h e r than w r i t t e n messages. In 1902 Arthur ~l<orn_jper f ec ted the process of p h o t o e l e c t r i c scanning, or " t e l e -photography". His machine used a r o t a t i n g drum mechanism s i m i l a r to Bakewell's, but the s t y l u s was r e p l a c e d by a beam of l i g h t , which i l l u m i n a t e d the p i c t u r e wrapped around a g l a s s c y l i n d e r . Inside the c y l i n d e r was a selenium c e l l , where the l i g h t p a t t e r n s were converted i n t o an e l e c t r i c c u r r e n t . In the r e c e i v e r , another beam of l i g h t , the i n t e n s i t y of which v a r i e d with that of the incoming s i g n a l , played a c r o s s a photographic f i l m wrapped around another c y l i n d e r , d e v e l o p i n g the f i l m and producing the f a c s i m i l e . Korn ' s process proved s u c c e s s f u l . 11 ^as^e_spjf_c,i.a.l-l-y-_u.s.e_f.u-l—-t.o_t.be_ press; photographs co u l d now be e a s i l y t r a n s m i t t e d and r e c e i v e d f o r p u b l i c a t i o n i n newspapers. By 1910 a commercial p i c t u r e t r a n s -During t h i s p e r i o d , Edouard B e l i n was a l s o working on the process of telephotography. In 1913 he developed the f i r s t p o r t a b l e f a c s i m i l e machine, the "Belinograph", which could be connected to an o r d i n a r y telephone l i n e . I t soon became popular 4 I b i d . , 780. 5 I b i d . , 780-1; C o s t i g a n , 3-4. with r e p o r t e r s , who c o u l d now f i l e photographs as w e l l as s t o r i e s from "on the s p o t " . 4 A f t e r the F i r s t World War, both Korn and B e l i n e s t a b l i s h e d t h e i r systems i n the United S t a t e s . The f i r s t Belinogram was sent a c r o s s the A t l a n t i c i n 1921, while Korn f i r s t sent a t r a n s - A t l a n t i c te1ephotograph the next y e a r . 7 F a c s i m i l e technology was not completely new to the United S t a t e s , however. E l i s h a Gray had invented the " t e l a u t o g r a p h " i n 1888, which a c c o r d i n g to i t s patent "enabled one to tr a n s m i t h i s own handwriting to a d i s t a n t p o i n t over a two-wire c i r c u i t " . Rather crude a t f i r s t , Gray's d e v i c e was soon improved enough -for i t to be used f o r commercial purposes by the American Bank Note ^mp.ajTy_5_i__. The t e l a u t o g r a p h was _soon.recognized as a v a l u a b l e t o o l r e c e i v e messages while unattended By 1924, American Telephone and Telegraph (AT&T), the Radio C o r p o r a t i o n of America (RCA), and Western Union had each developed t h e i r OWIT. p i c t u r e t r a n s m i s s i o n systems. A s e r i e s of t r i a l runs demon.sjtrated ^o_riewspapers and press^assoc^a-ticins the^ f e ^ s i b i 1 i ty of t r a n s m i t t i n g news photographs by t e l e g r a p h and r a d i o . The AT&T domestic system went i n t o commercial o p e r a t i o n i n 1925, while RCA e s t a b l i s h e d an i n t e r n a t i o n a l system the next year. Western Union's Wenger, 781. C o s t i g a n , 3-4; Wenger, 781 8 Gerald V. Quinn, The Fax Handbook (Blue Ridge Summit, PA: iks Inc. , I b i d . , 4. Tab Book , 1989), 3. 9 10 commercial p i c t u r e t r a n s m i s s i o n s e r v i c e was soon abandoned due to lack of customer i n t e r e s t . As a r e s u l t , the company turned more to e x p l o r i n g ways to use f a c s i m i l e technology as a means to t r a n s m i t messages, as a supplement to i t s t e l e g r a p h s e r v i c e . By the 1930's Western Union had e s t a b l i s h e d a f a c s i m i l e t e l e g r a p h system, which used a n o n - e l e c t r o l y t i c r e c o r d i n g paper c a l l e d "Teledel_tos" . Operations were f u r t h e r enhanced i n 1948 with the i n t r o d u c t i o n of the ^Desk-Fax", a desk-top ..fax. t r a n s m i t t e r and r e c e i v e r . ^ In 1934 AT&T s o l d i t s p i c t u r e t r a n s m i s s i o n system to Assoc-i a t e d PressJ[ArfJ_,__where--i-t—beeame-wel_l_ known as "Wirephoto". AP ' s p i c t u r e systems. The New York Times e s t a b l i s h e d another system, World Wide Wire Photos, which used port a b l e f_a cs.i mi l e machines to send p i c t u r e s _ to .the-—T-i mes~ o f f i c e s over the r e g u l a r telephone network. S i m i l a r to the o l d B e l i n o g r a p h i n Europe, the machines n e v e r t h e l e s s came as a s u r p r i s e to AT&T and AP e x e c u t i v e s and c us tome r s , who jTad_be_l.ieved—that~pic tuTes~coul-d—only—be^sent over expensive_spec_i.al-Ly_conditioned^-Cir-c-u-i-1s-srnrirTar—to—their own . The r e s u l t of a l l t h i s a c t i v i t y was a g r e a t expansion of the f a c s i m i l e ind.us_tryi, and a news photograph t r a n s m i s s i o n system which e x i s t s to t h i s day." success with i t led o t h e r n e w s agencies to adopt t h e i r own news-10 C o s t i g a n , 5-7. 1 1 I b i d . , 7-10, 22-23; Kenneth R. McConnell, Dennis Bodson, and Richard Schaphorst, Fax: D i g i t a l F a c s i m i l e Technology and A p p l i c a - t i o n s (Norwood, MA: A r t e c h House, 1989), 11-12. 11 Another -facsimile development connected with the newspaper i n d u s t r y dates -from 1926. A s e r i e s o-f experiments i n Europe and the United S t a t e s i n v e s t i g a t e d the p o t e n t i a l f o r t r a n s m i t t i n g pointed news r e p o r t s over commercial r a d i o channels. The_ f i r s t t rans(nission_ojf^a^_facsimile newspaper was^accompl ished i n 1937 by radio s±a±ion—KSXE in. S t . P a u l , Minnesota. The F e d e r a l Com-munications Commission (FCC) e v e n t u a l l y granted experimental fax b r o a d c a s t i n g l i c e n c e s to a number of r a d i o s t a t i o n s . S p e c i a l fax newspaper e d i t i o n s could be t r a n s m i t t e d to p r i v a t e homes, where fax ~i , -r e c e i v e r s attached to standard r a d i o s e t s c o u l d p r i n t them o v e r n i g h t to be read the next morning. By 1940 over f o r t y such s t a t i o n s were b r o a d c a s t i n g , and over 10,000 r e c e i v e r s had been i n -s t a l ^ e d J 2 In s p i t e of t h i s i n i t i a l success, f a c s i m i l e newspaper t r a n s m i s s i o n met with o n l y l i m i t e d success. In 1948 the FCC gave o f f i c i a l a u t h o r i z a t i o n f o r r e g u l a r commercial fax b r o a d c a s t i n g ( a l l p r e v i o u s e f f o r t s had o n l y been e x p e r i m e n t a l ) , and s e v e r a l major newspapers began t r a n s m i t t i n g s p e c i a l fax e d i t i o n s from t h e i r own FM r a d i o s t a t i o n s . T h i s was not enough, however, to allow fax to o u t s t r i p ^the appeal of commercial t e l e v i s i o n , which was a l s o appearing d u r i n g t h i s p e r i o d . As a r e s u l t , commercial b r o a d c a s t i n g was abandoned.' 3 Today, however, many newspapers and j o u r n a l s , such as the UJal 1 S t r e e t J o u r n a l , the New York Times. and USA Today, have 1 2 C o s t i g a n , 10-12. 1 3 I b i d . , 12-14. 12 r e g u l a r e d i t i o n s p r i n t e d using fax technology: the pages are composed i n one l o c a t i o n , and are t r a n s m i t t e d by fax to the 14 p r i n t i n g p l a n t ( s ) elsewhere. One use o-f -facsimile technology which has continued to the present day i s the worldwide weather r e s e a r c h and -forecasting aetwork.^— I t o r i g i n a t e d i n 1930, when fax was - f i r s t used to tra n s m i t m e t e o r o l o g i c a l c h a r t s and i n f o r m a t i o n to s h i p s at sea. During the Second World War such data were a l s o used 6~y~~American naval and a i r -forces, r e s u l t i n g i n f u r t h e r refinement of the technology. Today, i n the United S t a t e s , o b s e r v a t i o n s t a t i o n s t r a n s m i t data to the N a t i o n a l M e t e o r o l o g i c a l Center. There, the data are analyzed and processed f o r r e - t r a n s m i s s i o n v i a fax to l o c a l weather o f f i c e s and f o r e c a s t c e n t r e s , where they are d i s -<:— t r i b u t e d to news media, a i r p o r t s , and ocean-going vessels.'** When one sees how long the process o-f f a c s i m i l e t r a n s m i s s i o n has been known, i t i s perhaps s u r p r i s i n g that i t was not u n t i l t h e 1980's that i t came to prominence. One reason has a l r e a d y been a l l u d e d t o . On at l e a s t two o c c a s i o n s i t was another t e c h n o l o g y — c o n v e n t i o n a l telegraphy i n the 1860's, and t e l e v i s i o n i n the 1940' s — w h i c h was b e t t e r — s u i t e d to the needs o-f the p e r i o d and pushed fax to the margins o-f the telecommunications f i e l d . However, those t e c h n o l o g i e s which are b e s t - s u i t e d to today's wants and needs have one t h i n g i n common: speed. The trend i n s c i e n t i f i c McConnell e t . a l . , 16-17. C o s t i g a n , 7, 24-27; McConnell e t . a l . , 14-15. 13 r e s e a r c h and i t s a p p l i c a t i o n s has been t o i n c r e a s e t h e s p e e d and e f f i c ien.c_y_o.-f— muc.h_QjL human__a_ct i v i t y . More and more, p e o p l e want and e x p e c t -fast r e s u l t s and i m m e d i a t e a c c e s s t o e v e r y t h i n g . At t h e same t i m e , humanity i s i n t h e m i d d l e o-f what has come t o be known as t h e I n f o r m a t i o n R e v o l u t i o n — c o m p a r a b l e t o t h e A g r i c u l t u r a l R e v o l u t i o n a t t h e dawn o-f h i s t o r y , and t h e I n d u s t r i a l R e v o l u t i o n o-f t h e n i n e t e e n t h c e n t u r y . The c o n v e r g e n c e o-f t h e s e two t r e n d s has c e rjtaJj2_Ly_ promoted the _p_o puj[ a r j t y o-f - f a c s i m i l e t r a n s m i s s i o n , b e c a u s e i t p r o v i d e s immediate a c c e s s t o d o c u m e n t a r y i n f o r m a t i o n . I t seems t h a t , as w i t h many t h i n g s , f o r t e c h n o l o g y t o g a i n g e n e r a l p u b l i c a c c e p t a n c e , " t i m i n g i s e v e r y t h i n g " . T h e r e have been s e v e r a l o t h e r d e v e l o p m e n t s , however, w h i c h - h a v e a l l o w e d f a c s i m i l e t o t a k e a d v a n t a o e o-f t h i s c o n v e r g e n c e . T h e s e - f a c t o r s — t h e o v e r c o m i n g of t e c h n i c a l l i m i t a t i o n s , c h a n g e s i n t h e s t r u c t u r e o f t h e t e l e c o m -m u n i c a t i o n s i n d u s t r y , and t h e d e v e l o p m e n t o-f i n t e r n a t i o n a l s t a n -d a r d s — r e m a i n to be e x p l o r e d . Over the e a r l y yearsT one of t h e main o b s t a c l e s t o t h e d e v e l o p m e n t of fax t r a n s m i s s i o n was the—l-i-m-i-t-a-W-on.5--oJLcc^ t e c h n o l o g y . The q u a l i t y of m a t e r i a l s d i d n o t keep pace w i t h t h e q u a l i t y of t h e o r y . One example, the p r o b l e m of s y n c h r o n i z i n g t h e t r a n s m i t t i n g and r e c e i v i n g d e v i c e s , was m e n t i o n e d e a r l i e r . I t was n o t u n t i l t h e s y n c h r o n o u s motor was i n c o r p o r a t e d by A r t h u r K o r n i n h i s 1902 d e s i g n t h a t the r o t a t i n g drum mechanism became p r a c t i c a l enough to r e p l a c e the pendulum used by B a i n and C a s e ] l i . 1 < : More l t htConnei 1 e t 14 r e c e n t l y , i t has been the r e v o l u t i o n i n the f i e l d of micro-e l e c t r o n i c s , and the corresponding i n c r e a s e i n the power o-f e l e c t r o n i c components, which s i n c e about 1980 has helped to make f a c s i m i l e technology a t t r a c t i v e to the p u b l i c . Large amounts of data on a s i n g l e sheet of t e x t c o u l d now be t r a n s m i t t e d by r e l a t i v e l y small and inexpensive u n i t s . ~~ Another example of the l i m i t s of technology can be -found i n the e v o l u t i o n of telephone networks. Not u n t i l around 1915 d i d telephone l i n e s become r e l i a b l e enough f o r l o n g - d i s t a n c e fax t r a n s -m i s s i o n ; u n t i l then, t e l e g r a p h l i n e s had to be used.' 7 In the 1960's, o p e r a t o r - a s s i s t e d l o n g - d i s t a n c e c a l l s i n the United S t a t e s gave way to d i r e c t d i a l l i n g , which made regTJTa'r—fax—communication more a t t r a c t i v e to companies_and i n s t i t u t i o n s o u t s i d e the newspaper 18 i n d u s t r y . — The f a c s i m i l e i n d u s t r y r e c e i v e d another important boost as a r e s u l t of what was one of the most important events i n the h i s t o r y of American telecommunications: the break-up of AT&T and the end of i t s monopoly over telephone s e r v i c e s i n the United S t a t e s . The process had begun as e a r l y as ^968 with the s o - c a l l e d C a r t e r f o n e d e c i s i o n . In " t h i s case, the FCC r u l e d t hat "terminal equipment" co u l d be manufactured and s o l d by companies other than^AX&T; t h i s i n c l u d e d not only telephones, but a l s o answering machines, mobile radio-phones, and f a c s i m i l e machines. P r e v i o u s l y , AT&T had owned I b i d . , 5. Quinn, 8. 15 almost a l l such equipment and had leased i t to i t s customers. However, the FCC had been under p o l i t i c a l p r e ssure to r u l e a g a i n s t the company, as a p r o t e s t a g a i n s t d e t e r i o r a t i n g s e r v i c e — More -*c •—— • — — . i m p o r t a n t l y , i t was f e l t t h a t AT&T, as an e s t a b l i s h e d monopoly with r e l a t i v e l y l i t t l e stake i n i n t r o d u c i n g new s e r v i c e s , would not be as w i l l i n g to take advantage of the r a p i d developments i n t e l e -communications technology as independent companies might be. It was decided that c o m p e t i t i o n was the best means by which such new 19 technolog_ies c o u l d be developed and i n t r o d u c e d to the p u b l i c . O p p o s i t i o n to the AT&T monopoly -from both p o l i t i c a l foes and p o t e n t i a l competitors continued, however. An a n t i - t r u s t s u i t was brought a g a i n s t the company i n 1974 by the United S t a t e s Department of J u s t i c e . The subsequent o u t - o f - c o u r t s e t t l e m e n t r e s u l t e d , on 1 Jarujary 1984, i n the d i s m a n t l i n g of AT&T. The company r e t a i n e d i t s l o n g - d i s t a n c e s e r v i c e s and i t s r e s e a r c h , development, and manu-f a c t u r i n g o p e r a t i o n s , while l o c a l s e r v i c e s were d i s t r i b u t e d among seven r e g i o n a l h o l d i n g companies. Those companies may e s t a b l i s h t h e i r own r e s e a r c h and development o p e r a t i o n s (as of 1989, four had done s o ) , but are prevented by the terms of the o u t - o f - c o u r t s e t t l e m e n t -from manufacturing t h e i r own equipment. The most they manufacturers to meet " Steve C o l l , The Deal o-f the Century: The Breakup of AT&T (New York: Atheneum, 1986), 10-11, 105. 2 0 Trudy E. B e l l , " B e l l Breakup P l u s F i v e : Mixed Reviews", IEEE  Spectrum 25, no. 12 (December 1988): 26, 28, 29. 16 _TjTe__r_e.su-l-t—o-f—fch-i-s—ma-j-or u^pj^eava 1 i n the telecommunications i n d u s t r y was the expansion i n r e s e a r c h and development, and o-f the market f o r f a c s i m i l e equipment. .With an open market there i s i n c e n t i v e f o r companies to develop and manufacture t h e i r own fax machine models. The r e s e a r c h and development c e n t r e s e s t a b l i s h e d by the r e g i o n a l telephone companies, as well as AT&T's own B e l l L a b o r a t o r i e s , have a l s o acted as c a t a l y s t s f o r ^ i n n o v a t i o n i n 21 facsimile as well as other t e c h n o l o g i e s . The r e g i o n a l companies a l s o a ct as s a l e s o u t l e t s f o r manufacturers i n the Un i t e d S t a t e s and, e s p e c i a l l y , Japan. The f a c s i m i l e i n d u s t r y became f i r m l y e s t a b l i s h e d i n Japan i n 1972, when telecommunications a u t h o r i t i e s p e r m i t t e d fax t r a n s -22 mission over the__pjuj3l_ic_ .Jt,eJ_ep2igne__network . That same year, 3M began d i s t r i b u t i n g Japanese-made f a c s i m i l e machines i n the Un i t e d S t a t e s . The Japanese soon began to dominate the market, i n pa r t because t h e i r companies e s t a b l i s h e d . _ef f i c i e n t manu fac t u r i n q fac i 1 i t ies.,__aod—opera ted with 1 owej^_^ajDoj_r. c o s t s than t h e i r ?4 American c o u n t e r p a r t s . A l s o , the lead i n g Japanese fax p r o d u c e r s — Ricoh, M a t s u s h i t a , Canon, N E C , and T o s h i b a — w e r e a l r e a d y e s t a b -l i s h e d manufacturers of other e l e c t r i c a l equipment, and so had both 1 1 I b i d . , 26, 29. Mi t s u b i s h i Business Communication Paper f o r the Information  Age [ b o o k l e t ] (Tokyo: M i t s u b i s h i Paper M i l l s L t d . , n.d.), 4. 2 3 Quinn, 8. 2 4 McConnell e t . a l . , 23. 17 the general e x p e r t i s e and an e s t a b l i s h e d market presence. F i n a l l y , the very complexity o-f the w r i t t e n language f o r c e d fax technology to develop more r a p i d l y i n Japan than elsewhere. It i s i m p o s s i b l e to t r a n s m i t the over 4000 ideograms or k a n j i c h a r a c t e r s v i a t e l e x , t e l e p r i n t e r s , r e g u l a r computer t e r m i n a l s , or any system 7k which uses a r e g u l a r keyboard. F a c s i m i l e , of course, can transmit any^charac t e r or image. ftsof^!988 the Japanese produced aboj__ 907. of the world's f a c s i m i l e equipment, e i t h e r i n Japan i t s e l f or r 27 through overseas companies owned by them. was the i n t r o d u c t i o n of i n t e r n a t i o n a l standards f o r the f a c s i m i l e i n d u s t r y by the Comite c o n s u l t a t i f i n t e r n a t i o n a 1 te1eqraphique et telephonique (CCITT), or I n t e r n a t i o n a l Telegraph and Telephone C o n s u l t a t i v e Committee. P a r t of the I n t e r n a t i o n a l T e l e -communication Union, a United Nations agency, CCITT s t u d i e s new types of equipment and s e r v i c e s , and e s t a b l i s h e s standards f o r 78 t h e i r design and use. F a c s i m i l e standards permit machines from d i f f e r e n t manufacturers to communicate with each ot h e r , a l l o w i n g i n c r e a s e d u s e r s h i p and hence expanding the market f o r equipment. S t a n d a r d i z a t i o n has a l s o brought about u n i f o r m i t y and c o m p a t i b i l i t y " I b i d . , 177-8. 2* "What i s F a c s i m i l e ? Ctyped i n f o r m a t i o n b o o k l e t ! " (Tokyo: M i t s u b i s h i Paper M i l l s L t d . , n.d.): 1; McConnell e t . a l . , 181. 2 7 McConnell e t . a l . , 177. I b i d . , 21. The f i r s t s e t of standards was i n t r o d u c e d by CCITT as e a r l y as 1968. Known as Group 1, these r u l e s r e q u i r e d r e s o l u t i o n s of about f i f t y l i n e s per i n c h — r e s o l u t i o n being d e f i n e d as the number of l i n e s per i n c h which are scanned by the t r a n s m i t t i n g u n i t . They a l s o s p e c i f i e d t r a n s m i s s i o n speeds o-f four to s i x minutes over a voice-grade telephone l i n e — t h i s r e f e r s to the t o t a l time i t takes •for the t r a n s m i t t i n g machine to scan one page of t e x t or g r a p h i c s , f o r the s i g n a l s to t r a v e l to the receiver, and f o r the copy to be p r i n t e d . Group 1 a l s o e s t a b l i s h e d standard f r e q u e n c i e s f o r analog •facsimile s i g n a l s using frequency modulation: 1300 Hz corresponded to a white image, and 2100 Hz to a black image.3** By 1976, technology had improved enough to r e q u i r e new standards. Known as Group_2, they s p e c i f i e d a t r a n s m i s s i o n speed of three minutes and r e s o l u t i o n of e i g h t y l i n e s per i n c h , and the use of amplitude and phase modulation at 2100 Hz. 3 1 I t was^around this^jtime^jthat Ja_p_ajiese_c_Qmpjanies began to dominate the f^cjs^imi 1 e market with f a s t e r and more powerful machines. To take these " "What i s F a c s i m i l e ? " , 1; Quinn, 9. 3 0 "What i s F a c s i m i l e ? " , 1,3; McConnell e t . a l . , 211; Gordon Mackay, "Fax: From the Beginning", S o l i c i t o r s J o u r n a l 132 ( A p r i l 29, 1988): 612. McConnell e t . a l . , 211; Mackay 612. 19 developments i n t o account, Group 3 standards were in t r o d u c e d by CCITT i n 1980. 3 2 A Group 3 machine operates d i g i t a l l y — t h a t i s , i t s scanner views each p a r t o-f the image as e i t h e r white or black , and converts i t i n t o an e l e c t r i c a l s i g n a l c orresponding to e i t h e r 0 or 1 . A modem i n the fax machine c o n v e r t s the d i g i t a l s i g n a l s to analog mode f o r t r a n s m i s s i o n over v o i c e grade telephone l i n e s . Group 3 machines commonly t r a n s m i t at a speed of nine to twenty secon.d.s_oer page, with r e s o l u t i o n of 2Q_0__l.ines—per—inch-.-3,3. I t was the i n t r o d u c -t i o n of these high-speed, h i g h - r e s o l u t i o n machines which - f i n a l l y form of w r i t t e n telecommunication i n the 1980's The most r e c e n t s e t of standards to be in t r o d u c e d by CCITT i s known as Group 4; although f i r s t adopted i n 1984, they have yet to be f i n a l i z e d . The machines to which these r u l e s apply can trans m i t a t the r a t e of f i v e seconds per page under optima 1 cond.i-tions-rcwi.th_r_esolution of up to 400 l i n e s per i n c h . Group 4 u n i t s use d i g i t a l t r a n s m i s s i o n — t h a t i s , they do not use a modem standards using the r e g u l a r telephone network, but r e q u i r e an Inte-grated S e r v i c e s D i g i t a l Network (ISDN). T h i s type of network uses f i b r e o p t i c l i n e s , and i s s t i l l not widely a v a i l a b l e . There are Quinn, 8-10; McConnell e t . a l . , 23-25. Quinn, 14, 137. I b i d . , 16; Wenger, 782. 20 pl^n^^^^^rrvert the r e g u l a r teljgphqne network to ISDN, but there w i l l be no s i g n i f i c a n t progress on t h i s u n t i l the mid to l a t e 1990's. U n t i l then, Group 4 -Facsimile machines w i l l be l i m i t e d l a r g e l y to use i n computer networks and d e d i c a t e d d i g i t a l -facsimile , - 35 l i n e s . As f a c s i m i l e t r a n s m i s s i o n becomes more popular as a means of communication, more fax documents w i l l f i n d t h e i r way i n t o a r c h i v e s . One would most l i k e l y f i n d them i n s e r i e s produced s i n c e the e a r l y 1980's, c o n s i d e r i n g that t h i s has been the p e r i o d when fax has "boomed". Correspondence s e r i e s would be the most l i k e l y source; t h e r e , fax documents would probably be mixed i n with documents e i t h e r i n t e r n a l l y produced, or r e c e i v e d by r e g u l a r m a i l . They might a l s o be i n c l u d e d i n personnel f i l e s , which may i n c l u d e faxed correspondence, and i n s e r i e s of o f f i c i a l minutes, i f , fax documents were used i n meetings. With o l d e r r e c o r d s , f a c s i m i l e s might be found among meteor— o l o g i c a l r e c o r d s , and among photograph c o l l e c t i o n s . As has been d i s c u s s e d , data concerning weather p a t t e r n s and f o r e c a s t s have been t r a n s m i t t e d by fax s i n c e 1930. The records of weather s e r v i c e s may have such documents i n c l u d e d with them, and so may s h i p s ' l o g s . F a c s i m i l e s of news photographs, i f they were kept at a l l , might be found among the r e c o r d s produced by news s e r v i c e s , newspapers, and even r e p o r t e r s ; c o p i e s of s p e c i a l fax newspaper e d i t i o n s would l i k e l y to be found among these same r e c o r d s . However, the l i m i t e d " McConnell e t . a l . , 85; Mackay, 612; Quinn, 10, 16, 137; "What i s F a c s i m i l e ? " , 4. l i f e s p a n of most kinds of f a c s i m i l e paper makes the s u r v i v a l such e a r l y examples of fax documents u n l i k e l y . 22 CHAPTER TWO: MODERN FACSIMILE TECHNOLOGY AND PRODUCTS F a c s i m i l e t r a n s m i s s i o n i s c o n s i d e r e d by CCITT to be one of the telecommunication t e c h n o l o g i e s known c o l l e c t i v e l y as " t e l e m a t i c s e r v i c e s " , which a l s o i n c l u d e t e l e x and t e l e t e x . CCITT i s c u r r e n t l y i n t e g r a t i n g the standards and recommendations f o r them.' At l e a s t one author has placed t e l e m a t i c s e r v i c e s i n the broader category of e l e c t r o n i c mail or "E-mail", which he d e f i n e d as the ^onj^ijTt^.caG-tri-ve—communi-c ation—-o-f-—_te.x±_, d.a±a-,—image—OP—voice message s between__a sender and designated r e c i p i e n t s by systems u t l l i z i n g te_l_e.commun.ica_ti.ons—l-in-k-s—.— A l s o i n c l u d e d under t h i s c l a s s i f i c a t i o n would be computer—based message systems, v o i c e mail systems, and computer c o n f e r e n c i n g or " t e l e c o n f e r e n c i n g " . 3 However, i t i s u s u a l l y these l a t t e r systems which are normally c l a s s e d as e l e c t r o n i c m a i l , and t e l e m a t i c systems are c o n s i d e r e d s e p a r a t e l y . Stephen A. C a s w e l l , E-Mai1 ( A g i n c o u r t , Ont.: Gage Educa-t i o n a l P u b l i s h i n g Company, 1988), 31-34, 67. I b i d . , 2. The term " n o n - i n t e r a c t i v e " i n t h i s c ontext means tha t the sender and the r e c i p i e n t of the message do not communicate with each other a t the same time. However, t h i s term i s not a p p r o p r i a t e f o r computer c o n f e r e n c i n g , which i s i n t e r a c t i v e i n n a t u r e . 3 I b i d . , 31-46. The t e l e g r a p h , although c o n s i d e r e d by Caswell to be the f i r s t e l e c t r o n i c mail technology, i s not i n c l u d e d i n h i s d i s c u s s i o n of the more modern systems. 23 Telex was f i r s t i n t r o d u c e d d u r i n g the 1930's i n the United S t a t e s and Germany as the T e l e t y p e w r i t e r Exchange. I t i s s i m i l a r to the t e l e g r a p h i n t h a t i t uses code to tr a n s m i t messages; however, while the t e l e g r a p h uses the t h r e e - d i g i t Morse code, t e l e x uses the f i v e - d i g i t Baudot code. I t uses e l e c t r o n i c t y p e w r i t e r s which are designed to communicate with each other over the r e g u l a r telephone network. The sender simply d i a l s the r e c e i v i n g t e l e x machine number, and then types the message, which i s reproduced a t the other end as i t i s typed out. In o l d e r systems messages are typed d i r e c t l y onto paper; newer systems can s t o r e messages on magnetic tape or computer d i s k . In the 1950's AT&T int r o d u c e d a s l i g h t l y d i - f f e r e n t s e r v i c e . Known as "Telex I I " , i t uses the e i g h t - d i g i t ASCII code i n s t e a d of Baudot, and i s s l i g h t l y -faster than r e g u l a r t e l e x . * Telex i s most widely used -for commercial purposes, e s p e c i a l l y f o r t r a n s f e r r i n g funds, and o r d e r i n g ^ s h i p p i n g and r e c e i v i n g g o o d s — b o t h w i t h i n and between companies. I t i s a l s o used i n law enforcement, to exchange messages and i n f o r m a t i o n about crimes and c r i m i n a l s . F i n a l l y , i n Europe, i t i s a l s o used to exchange personal messages; i t i s r a r e l y used f o r th a t purpose i n North America, however, mainly because people -find the telephone to be more convenient f o r exchanging personal i n f o r m a t i o n . ^ * I b i d . , 31-32, 34-35. 5 I b i d . , 69-70. 24 Compared to other telecommunications systems, t e l e x i s t e c h n o l o g i c a l l y outdated. However, only l a t e l y has i t been supplanted by f a c s i m i l e t r a n s m i s s i o n , and as r e c e n t l y as 1988 t e l e x usage was s t i l l i n c r e a s i n g a t about e i g h t percent per year.* Because i t i s so well e s t a b l i s h e d , t h e r e f o r e , t e l e x i s l i k e l y to c o n t i n u e i n use f o r the f o r e s e e a b l e f u t u r e . " T e l e t e x " i s the name adopted by CCITT i n 1980 when i t i n t r o -duced standards f o r communicating word p r o c e s s o r s . Te l e t e x was the technology that was supposed to r e p l a c e t e l e x , and the CCITT recom-mendations were intended to f a c i l i t a t e t h i s by e s t a b l i s h i n g standards f o r manufacturers, so that t h e i r machines co u l d communi-ca t e with each o t h e r . I t was s t i l l not a n t i c i p a t e d that f a c s i m i l e would become important, although Group 3 standards were int r o d u c e d t h a t same year; f a c s i m i l e was c o n s i d e r e d i n e f f i c i e n t because i t r e q u i r e d f a r more data to send the same message than t e l e t e x . When Group 4 was i n t r o d u c e d i n 1984, the s p e c i f i c a t i o n s were made compatible so that t e l e t e x and fax machines c o u l d communicate with one another. However, t e l e t e x has never been widely adopted; i t has been f a c s i m i l e which has supplanted t e l e x as the primary t e l e m a t i c s e r v i c e . 7 The matter of the r e l a t i v e i n e f f i c i e n c y of f a c s i m i l e needs to be examined i n more d e t a i l . The image of a document i s read by a fax machine's c i r c u i t r y as a s e r i e s of l i g h t and dark p i c t u r e I b i d . , 32. McConnell e t . a l . , 24, 78; C a s w e l l , 38. 25 elements, or " p i x e l s " . Group 3 fax machines have an average r e s o l u t i o n o-f 200 p i x e l s per i n c h , with each 8.5x11 i n c h page c o n s i s t i n g of 3.7 m i l l i o n p i x e l s . Each p i x e l r e q u i r e s one b i t to d e s c r i b e , so i t would^rjCvrmaXl-y—tak-e~-3-r-7~m"i~l~l~i:on—bi-ts—to~d.e_5cribe one^page. However, that number i s reduced by "compression": white spaces on the document are e s s e n t i a l l y ignored by the machine, which d e s c r i b e s o n l y the dark areas and t h e i r boundaries. Since most documents, no matter how much w r i t i n g or how many images they c o n t a i n , c o n s i s t mainly of blank areas, the number of b i t s r e q u i r e d to d e s c r i b e a page can be reduced by more than f i f t y percent. Compare t h i s to t e l e t e x , which r e q u i r e s o n l y e i g h t b i t s per c h^ra cJLerj^at__ei ghty c h a r a c t e r s ^ p e r l i n e and s.i.x.t.y__l_ines p^r^paq e , that t r a n s l a t e s to o n l y 38.400 b.i.ts p.e.ic page. T h i s was why tec hno1ogy There are a number of reasons why f a c s i m i l e i s p r e f e r r e d over both_jte_le.x a n d — t e l e t e x . Perhaps the main reason i s that i t can handle t e x t and i l l u s t r a t i o n s with equal ease. T h i s makes i t u s e f u l to i n s t i t u t i o n s and f i e l d s which are e s p e c i a l l y dependent on images to convey i n f o r m a t i o n , such a s , e n q i n e e r i n q and adver— ~\ t i s i n g . Group 4 g u i d e l i n e s allow a fax machine to accep.t_te.le-tex messages, and a t e l e t e x machine to accept the t e x t u a l part of any fax document. However, there has been l i t t l e movement by word Quinn, 12-14; McConnell e t . a l . , 94-95n. Caswel1, 76. 26 p r o c e s s i n g hardware and software manufacturers to f o l l o w CCITT g u i d e l i n e s . As one author e x p l a i n s : CCITT recommendations t y p i c a l l y have the f o r c e of a standard i n the telecommunications i n d u s t r y where the CCITT has enormous a u t h o r i t y . In computer-communications arenas, however, the recommendations are only adopted_if the_hardware and^50,f-twar.e„,maoufacturers choose to f o l l o w them^ T h i s was the-case i n f a c s i m i l e because the key hardware manufacturers, the Japanese, pushed f o r the recommendations. The key developers of word p r o c e s s i n g hardware and software, however, have p o l i t e l y ignored the CCITT; so, i t i s d o u b t f u l that any i n t e g r a t e d text/image recommendation w i l l be followed u n l e s s u sers l i t e r a l l y f o r c e vendors to adopt i t through purchasing power.^ The important d i f f e r e n c e between the two systems i s t h a t , w h ile t e l e t e x t r a n s m i t s c h a r a c t e r s . fax t r a n s m i t s images. Thus, f a c s i m i l e can tr a n s m i t the image of any kind of w r i t t e n character, c " -which i s why i t has_a_l ways. b.een_.popu-l-ar-in—Japan . F i n a l l y , fax can handie l a r g e volumes of t r a f f i c i n a^JLas-te r—and-che.ape.r__w.a.y_ than e i t h e r t e l e x or t e l e t e x ; complete documents are sent a l l a t once by fax, while t e l e x and t e l e t e x are l i m i t e d by the t y p i n g _speed of the sender." There are three b a s i c s t e p s i n sending a document by f a c s i m i l e : scanning, t r a n s m i s s i o n , and p r i n t i n g . The sending machine scans the document from top to bottom. There are two methods of scanning, the more common of which i s by charge-coupled d e v i c e s (CCD), which are a l s o used i n video camcorders. The CCDs i n each are arranged d i f f e r e n t l y , however: i n a camcorder they are arranged i n a r e c t a n g u l a r shape to produce an image f o r t e l e v i s i o n , 1 0 I b i d . , 79. 1 1 "What i s F a c s i m i l e ? " , 2. 27 while i n a fax machine the arrangement i s a s i n g l e h o r i z o n t a l l i n e along a photosensor c h i p or "reader bar". The t y p i c a l machine w i l l c o n t a i n 1728 of these e l e c t r o n i c "eyes". As a document passes through the machine i t i s i l l u m i n a t e d by a f l u o r e s c e n t tube, one l i n e a t a time. The image i s bounced o f f an array of p r e c i s e l y -a l i g n e d m i r r o r s , through a lens which reduces the s i z e of the image and focuses i t onto the l i n e of CCDs on the reader bar. The process r e p e a t s i t s e l f l i n e by l i n e , 0.01 i n c h at a time. 1 2 The o t h e r type of fax machine scans by using c o n t a c t image sensing (CIS), and i s s l i g h t l y more expensive. As i n CCD u n i t s , CIS machines use s t r i p s of photosensors; the d i f f e r e n c e i s that the s t r i p s extend 8.5 i n c h e s — t h e width of a standard page. The document i s i l l u m i n a t e d by a row of l i g h t - e m i t t i n g diodes (LEDs), which a l s o extends a c r o s s the e n t i r e page. The image i s focused by lens onto the sensors with a 1:1 m a g n i f i c a t i o n . The e n t i r e array i s contained i n a narrow bar which i s i n d i r e c t c o n t a c t with the document being scanned — hence the name "co n t a c t image sens-i n g " . 1 3 The image i s read by the ^machine's c i r c u i t r y as a s e r i e s of p i x e l s , each of which i s t r a n s l a t e d i n t o a d i g i t a l s i g n a l with a value of e i t h e r 0 or 1—0 stands f o r white and 1 f o r black.' 4 " McConnell e t . a l . , 101-3; "Fax: How I t Works, What to Look For", Fax Buyer's Guide. s p e c i a l i s s u e no. 21 of Computer Buyer's  Guide and Handbook (1990): 15. 1 3 McConnell e t . a l . , 103-6; Quinn, 14; David E l r i c h , "Don't Mai l I t . . . Fax I t " , Popular Science (October 1988): 64. 1 4 Quinn, 12-14. 28 Machines with " g r e y - s c a l e " c a p a b i l i t i e s — t h o s e which are able to d i s t i n g u i s h and p r i n t shades of g r e y — v a r y the t h r e s h o l d between white and black v a l u e s w i t h i n each p i x e l by what i s known as " d i t h e r c o d i n g " . The r e s u l t i s that the black p i x e l s i n "grey" areas are of d i f f e r e n t s i z e s ; the human eye, however, p e r c e i v e s those areas as g r e y . " The i n f o r m a t i o n i s then converted i n t o compressed f o r m a t — t h a t i s , the b i t s i n d i c a t i n g white spaces are e l i m i n a t e d , and the d i g i t a l sequence adju s t e d to i n d i c a t e o n l y black areas and t h e i r boundaries. A f t e r the image has been read, the b i t sequence i s converted by a modem i n t o an analog s i g n a l , which can be t r a n s m i t t e d over a r e g u l a r telephone l i n e to the r e c e i v i n g fax machine." At t h i s p o i n t the t r a n s m i s s i o n can proceed. T h i s step has a c t u a l l y a l r e a d y begun, with what i s known as the "fax handshake". When the number of the r e c e i v i n g f a c s i m i l e machine was d i a l l e d , the receiver connected i t s e l f to the l i n e , and then sent an i d e n t i f i c a -t i o n s i g n a l to the sending machine; the op e r a t o r heard the s i g n a l and connected the machine to the l i n e . The r e c e i v e r then sent a d i g i t a l i n f o r m a t i o n s i g n a l o u t l i n i n g i t s c a p a b i l i t i e s , i n c l u d i n g t r a n s m i s s i o n speed and r e s o l u t i o n . The u n i t making the c a l l then a d j u s t e d to these c a p a b i l i t i e s : the two machines were "phased" (the scanning, r e c o r d i n g , and p r i n t i n g mechanisms were p o s i t i o n e d p r o p e r l y ) and "synchronized" (the speeds o-f the two machines were McConnell e t . a l . , 11, 62-64. Quinn, 14-15; McConnell e t . a l . , 31-32; E l r i c h , 64. 29 adjusted to keep them i n s t e p ) . The receiver then sent i t s con-f i r m a t i o n - t o - r e c e i v e s i g n a l , i n d i c a t i n g t h a t i t was ready to accept the message.' 7 The document i s t r a n s m i t t e d l i n e - b y - l i n e . The -fact t h at each l i n e i s sent, r e c e i v e d , and recorded as i t i s scanned makes phasing and s y n c h r o n i z a t i o n , and hence the o r i g i n a l e l e c t r o n i c handshake, important. As i t i s r e c e i v e d , the compressed s i g n a l i s r e s t o r e d to d i g i t a l -form by the r e c e i v e r ' s modem, and then i s "de-compressed": the b i t s i n d i c a t i n g white p i x e l s are r e s t o r e d , so that the complete e l e c t r o n i c r e p r e s e n t a t i o n o-f the image i s again a v a i l a b l e . The f a c s i m i l e can then be p r i n t e d l i n e - b y - l i n e . When the e n t i r e document has been sent, the sending u n i t t r a n s m i t s an end-of-procedure s i g n a l , and the r e c e i v i n g u n i t r e p l i e s with a message c o n f i r m a t i o n i n d i c a t i n g whether there are any e r r o r s i n the f a c s i m i l e as r e c e i v e d . The two machines then d i s c o n n e c t from the l i n e . " The above sequence a p p l i e s to Group 3 fax machines. Since Group 1 and 2 machines are completely analog-based, they do not use modems. They are a l s o slower, t r a n s m i t t i n g at r a t e s of 300 and 2400-7200 b i t s per second (bps), r e s p e c t i v e l y (compared to Group 3's 9600 bps). Group 1 u n i t s are now completely o b s o l e t e , but there are s t i l l Group 2 machines i n use; t h e r e f o r e , Group 3 fax Quinn, 15; McConnell e t . a l . , 40-42. Quinn, 15. McConnell e t . a l . , 42. 30 machines must be a b l e to take t h i s i n t o account and a d j u s t t h e i r t r a n s m i s s i o n speeds i n order to communicate with them. This procedure, known as " f a l l - b a c k " or "step-down", occurs during the i n i t i a l handshake, when the r e c e i v i n g u n i t t r a n s m i t s i t s c a p a b i l -i t i e s ; the Group 3 u n i t then reduces i t s t r a n s m i s s i o n speed to that of the slower machine. F a l l - b a c k a l s o occurs i f the two machines o f f e r d i f f e r e n t image r e s o l u t i o n , d i f f e r e n t grey s c a l e c a p a b i l -i t i e s , or i f a poor connection does not allow the high-speed t r a n s -70 mission of data. Group 4 f a c s i m i l e t r a n s m i s s i o n a l s o d i f f e r s from Group 3, i n t h a t the machines are f u l l y d i g i t a l i n nature. They are not designed to r e q u i r e modems, and i f they have access to an i n -t e g r a t e d s e r v i c e s d i g i t a l network (ISDN) or any other f i b r e - o p t i c network they can t r a n s m i t at a r a t e of 56,000 bps. However, such systems are s t i l l nowhere near being i n general use. Without such a network, Group 4 u n i t s s t i l l have to use a modem, and they then cannot operate i n accordance with the standards f o r t h e i r group. Group 4 u n i t s a l s o r e c e i v e d i g i t i z e d data as a continuous stream, and then p r i n t the f a c s i m i l e a f t e r the t r a n s m i s s i o n i s c o m p l e t e d — u n l i k e Group 3 machines, which, as was e x p l a i n e d e a r l i e r , p r i n t 22 each l i n e as i t i s r e c e i v e d . Quinn, 76-77, 134, 136; McConnell e t . a l . , 27, 193; E l r i c h , 64, 101. 2 1 C a s w e l l , 74; Quinn, 16-18; McConnell e t . a l . , 85, 97-98. 2 2 Quinn, 16. 31 F a c s i m i l e s have always been c o n s i d e r e d to be paper re c o r d s ; however, r e c e n t developments i n both -facsimile and computer technology have a l t e r e d t h i s c h a r a c t e r i s t i c . Fax machines can now be operated through computers, i n p a r t i c u l a r personal or micro-computers, u s i n g -fax c i r c u i t boards, which allow images and t e x t to be t r a n s m i t t e d between computers. T h i s o f f s h o o t of f a c s i m i l e technology, known as "PC-fax", al l o w s t r a n s m i t t e d documents to be p r i n t e d onto paper or to appear onto a computer sc r e e n . Documents 23 can a l s o be saved on d i s k as well as on paper. Group 4 fax machines w i l l be b e t t e r a b l e to communicate with computers than those conforming to Group 3 standards. However, there i s a l r e a d y a g r e a t deal of i n t e r a c t i o n between the two t e c h -n o l o g i e s . Group 3 l e v e l PC-fax systems allow users to send documents to s p e c i f i e d d e s t i n a t i o n s at s p e c i f i e d times; e n t e r i n f o r m a t i o n on cover sheets; use word-processing programs; and 24 save, p r i n t , or r e t r a n s m i t r e c e i v e d documents. A l s o , fax software can be used to s y n t h e s i z e a document, using both t e x t and images. 25 The document i s then converted to Group 3 format f o r t r a n s m i s s i o n . When they are r e c e i v e d , such s y n t h e s i z e d documents a c t u a l l y look Nat J . N a t r a j , "Why F a c s i m i l e i s Inseparable from Imaging" Inform 5(2) (February 1991): 23; McConnell e t . a l . , 80-83. 71 N a t r a j , 23. One problem that PCs have when handling f a c s i m i l e s i s t h a t the l a r g e amount of d i g i t i z e d i n f o r m a t i o n they c o n t a i n , as compared to t e l e t e x or o t h e r ASCII documents, l i m i t s the number of documents that can be saved on d i s k ; see Cary Lu, "Turning Microcomputers Into Fax Machines", High Technology (February 1987) : 61. 2 5 McConnell e t . a l . , 80. 32 b e t t e r than those d e r i v e d -from scanned documents, because they are more p r e c i s e l y -formed, and there are no problems with phasing or s y n c h r o n i z a t i o n . F i n a l l y , l i k e r e g u l a r PCs, PC-fax u n i t s can be i n t e g r a t e d i n t o l o c a l area networks (LANs). Because the c e n t r a l p r o c e s s i n g u n i t and the fax board serve s e v e r a l PCs, a d m i n i s t r a t i v e 27 tasks can be c e n t r a l i z e d . With Group 4 and ISDN the use of fax machines and computers w i l l be even f u r t h e r i n t e g r a t e d , so that E-mail, systems can be accessed, documents s t o r e d on computer, and t e x t u a l and graphic i n f o r m a t i o n on both s y n t h e s i z e d and " o r d i n a r y " f a c s i m i l e s changed 28 or added by computer. Because not a l l fax o p e r a t o r s w i l l need these f e a t u r e s , however, CCITT d i v i d e d i t s recommended standards i n t o three c l a s s e s . C l a s s 1 fax u n i t s o n l y send and r e c e i v e r e g u l a r f a c s i m i l e s ; C l a s s 2 u n i t s a l s o r e c e i v e t e l e t e x and mixed-mode documents, while C l a s s 3 u n i t s can a l s o c r e a t e and send both t e l e t e x and mixed-mode documents. Because of the lack of i n t e r e s t 29 i n t e l e t e x , however, C l a s s e s 2 and 3 e v e n t u a l l y may be e l i m i n a t e d . Lu, 60; Frank Bican and Winn L. Rosch, " I n s t a n t G r a t i f i c a -t i o n " , PC/Computing (September 1988): 106-7. 2 7 N a t r a j , 23. 2fl McConnell e t . a l . , 85-86. Un-synthesized documents can a l s o be a l t e r e d u s i n g a Group 3 l e v e l PC-fax, but the process i s very cumbersome; see Lu, 61. 2 9 McConnell e t . a l . , 85-86, 94-96, 98; N a t r a j , 29. "Mixed-mode" r e f e r s to when the i n f o r m a t i o n i n a document i s d i v i d e d between t e x t given i n ASCII code ( t e l e t e x ) , and images coded d i g i t a l l y ( f a c s i m i l e ) . 33 Most -facsimile machines have e x t r a -features which both a i d i n i n f o r m a t i o n management and p r o v i d e s e c u r i t y . When the document i s sent, the t r a n s m i t t i n g u n i t i n c l u d e s a t r a n s i t terminal i d e n t i f i c a t i o n message, i n d i c a t i n g who sent i t and a t what time, and the page number. The i n f o r m a t i o n i s p r i n t e d a t the head of each page of the document, f o r the b e n e f i t of the person or o f f i c e r e c e i v i n g the f a c s i m i l e . 3 * 1 Much the same i n f o r m a t i o n , though i n more d e t a i l , may be i n c l u d e d i n a fax cover sheet t r a n s m i t t e d with the document. A t y p i c a l cover sheet w i l l s t a t e the n a m e / t i t l e / o f -f i c e or i n s t i t u t i o n , address, phone number and fax number of the sender; the same i n f o r m a t i o n concerning the r e c i p i e n t ; the date and time of t r a n s m i s s i o n ; the number of pages; the s u b j e c t ; and a request to c o n f i r m r e c e i p t of the fax. I t may a l s o i n c l u d e space f o r a d d i t i o n a l messages and i n f o r m a t i o n . Not only does a cover sheet i n d i c a t e who sent the document, i t helps ensure that i t w i l l reach i t s d e s t i n a t i o n . 3 ' A machine may a l s o be equipped to maintain a t r a n s m i s s i o n l o g , which keeps tr a c k of t r a n s m i s s i o n s both sent and r e c e i v e d , and from which r e p o r t s — k n o w n as t r a n s a c t i o n c o n f i r m a t i o n or management r e p o r t s — c a n be p r i n t e d out, e i t h e r on demand or a u t o m a t i c a l l y . These r e p o r t s l i s t the c a l l s made and r e c e i v e d , t h e i r times, o r i g i n s or d e s t i n a t i o n s , the time taken f o r each t r a n s m i s s i o n , the 3 0 Quinn, 43. 3' I b i d . , 63-64; Jim Seymour, "Minding Your Fax Manners", PC/Computing (September 1988): 106. 34 TO number o-f pages sent with each, and whether there were any e r r o r s . A s i m i l a r f e a t u r e , known as "fax back", i n v o l v e s the t r a n s m i t t i n g machine sending a message to the r e c e i v e r r e q u e s t i n g c o n f i r m a t i o n t h a t the document had been r e c e i v e d . The r e s u l t i n g r e p o r t serves as proof t h a t a complete and l e g i b l e document had been t r a n s -m i t t e d . 3 3 For s e c u r i t y purposes, c o n f i d e n t i a l t r a n s m i s s i o n and r e c e p t i o n i s a l s o a v a i l a b l e . The r e c e i v i n g u n i t can be i n s t r u c t e d by the sending machine not to p r i n t the document r i g h t away, but r a t h e r to s t o r e i t i n memory. The document would only be p r i n t e d out i f the fax machine i s given the proper password by i t s o p e r a t o r . If the r e c e i v i n g u n i t i s p a r t of a LAN, such access and s e c u r i t y o p e r a t i o n s can be c a r r i e d out from a c e n t r a l l o c a t i o n . 3 4 There are a number of methods by which a f a c s i m i l e document may be p r i n t e d . For h i s f i r s t f a c s i m i l e process, Alexander Bain used paper which had been soaked i n a s o l u t i o n of potassium f e r r o c y a n i d e ( a l s o known as p r u s s i a t e of potash) to make i t e l e c t r o s e n s i t i v e — t h a t i s , i t would darken when an e l e c t r i c a l c u r r e n t was made to pass through i t . 3 ' ' U n t i l r e c e n t l y , v a r i a t i o n s of t h i s method, using d i f f e r e n t paper treatments and i n c o r p o r a t i n g 37 Quinn, 43; David A. S o k a s i t s , "The Long Arm of the Fax: S e r v i c e of Process Using Fax Machines", Rutgers Computer and  Technology Law J o u r n a l 16 (1990): 537-8. 3 3 Mackay, 612. 3 4 I b i d . ; Quinn, 44; N a t r a j , 23. 3^ C o s t i g a n , 78; Wenger, 777. 35 improvements i n the t r a n s m i t t a l o-f data, were the most popular -fax r e c o r d i n g p r o c e s s e s . " Today, most fax r e c e i v e r s r e c o r d onto h e a t - s e n s i t i v e or thermal paper. The p r i n t head i s made up of a row of r e s i s t o r elements r e a c h i n g a c r o s s the width of the paper. The e l e c t r i c a l p u l s e s , i n s t e a d of a f f e c t i n g the paper d i r e c t l y , make the r e s i s t o r s hot enough so th a t they mark the paper. The temperature changes from a non-marking to a marking l e v e l and back again before the paper i s moved to the next recording, l i n e . A t y p i c a l receiver uses 24 v o l t s at 0.5 watts f o r 0.6 m i l l i s e c o n d s , producing a r e c o r d i n g temperature of 200°F . 3 7 Thermal paper was f i r s t developed by Western Union i n the e a r l y 1930's as pa r t of i t s e f f o r t to make f a c s i m i l e t r a n s m i s s i o n supplement i t s t e l e g r a p h system. The paper was c a l l e d " T e l e -d e l t o s " , and i t was coated with a chemical mixture of which the a c t i v e i n g r e d i e n t was a copper compound. Titanium oxide gave the paper a normal white c o l o r a t i o n . The copper compound darkened from 38 the heat of the e l e c t r i c a l c u r r e n t . Modern thermal paper c o n s i s t s of a s e v e r a l m i c r o n s - t h i c k c o a t i n g of white developer bonded to a base paper. The developing l a y e r c o n s i s t s of a c o l o u r l e s s dye and a c o l o u r - d e v e l o p i n g phenol compound, suspended i n a b i n d i n g substance with some a d d i t i v e s C o s t i g a n , 78-79. McConnell e t . a l . , 107. Co s t i g a n , 7, 80. > 36 which i n c r e a s e h e a t - s e n s i t i v i t y . The heat from the p r i n t head melts the phenol compound, which then mixes with the dye. The r e s u l t i n g chemical r e a c t i o n produces the image w i t h i n a few TO m i l l i s e c o n d s . The other popular method of fax r e c o r d i n g i s the thermal-t r a n s f e r p r o c e s s . Although i t uses untreated paper, the equipment r e q u i r e d i s somewhat more expensive than that f o r thermal fax r e c o r d i n g . ' 0 The r e c e i v e r ' s p r i n t head i s the same as that used f o r thermal fax, but the r e c o r d i n g i s made from a t h e r m a l - t r a n s f e r f i l m made of e i t h e r t h i n paper or p o l y e s t e r coated with h e a t - m e l t a b l e i n k . The copy paper i s s i m i l a r to bond paper, with a very smooth s u r f a c e which i s r e q u i r e d to produce h i g h - q u a l i t y images. Between the paper and the f i l m may be another l a y e r of paper, with a thermal l a y e r on one s i d e and an ink c o a t i n g on the o t h e r . As the paper passes through the machine, the heat from the p r i n t heads melts the ink, which t r a n s f e r s to the paper to produce the d e s i r e d image. The ink i s t r a n s f e r r e d e i t h e r d i r e c t l y from the f i l m or from the copy p a p e r — i n the l a t t e r case, the "copies themselves can a l s o be used as f i n a l documents". 4 1 Other fax processes a l s o use .'ordinary paper. One method, e 1 e c t r o p e r c u s s i v e r e c o r d i n g , i s e s s e n t i a l l y s i m i l a r to making a carbon copy. E l e c t r i c a l pulses cause an e l e c t r o m a g n e t i c s t y l u s to Mi t s u b i s h i Business Communication Paper... , 8. 4 0 McConnell e t . a l . , 110.. 4 1 M i t s u b i s h i Business Communication Paper..., 12-13; McConnell e t . a l . , 109. 37 v i b r a t e . As i t does, i t makes marks from carbon paper onto p l a i n 42 paper. There are a l s o s e v e r a l types of xerography processes, which are c h a r a c t e r i s t i c of Group 4 machines. The t r a n s m i t t e d image i s p r o j e c t e d — u s i n g e i t h e r a l a s e r , or l i g h t emitted from e i t h e r l i q u i d c r y s t a l s or an LED a r r a y — o n t o a p h o t o s e n s i t i v e drum, where the image i s converted i n t o an e l e c t r o s t a t i c charge p a t t e r n . As the drum r o t a t e s , black toner powder i s a p p l i e d , which c l i n g s to the charged areas through s t a t i c e l e c t r i c i t y u n t i l i t i s t r a n s f e r r e d to the paper. The image i s then fused onto the paper by heat or pressure.* 3 There has been r e l a t i v e l y l i t t l e r e s e a r c h done on the a r c h i v a l q u a l i t y of fax paper, and what has been done has concen-t r a t e d on thermal paper. Thermal t r a n s f e r technology uses bond paper, the o n l y s p e c i a l requirement being a very smooth p r i n t i n g s u r f a c e . With the e a r l y machines the t r a n s f e r ink would not mark i n the " v a l l e y s " of the paper's s u r f a c e ; improved s i z i n g and i n c r e a s e d ink v i s c o s i t y have e l i m i n a t e d t h i s problem.** The ink i t s e l f i s made up of carbon black, c o l o u r e d pigments, and wax compounds. The process produces very d u r a b l e images which supposedly do not smudge, fade, or d e t e r i o r a t e ; u n a f f e c t e d by heat, l i g h t , water, or chemicals, thermal t r a n s f e r fax documents "can be C o s t i g a n , 81-82. I b i d . , 82; McConnell e t . a l . , 110-13. McConnell e t . a l . , 110. 38 s t o r e d -for i n d e f i n i t e periods". 4'' The main problem which might be encountered would be i f the heat used i n the t r a n s f e r process were to a f f e c t the s t r u c t u r e of the paper; however, because the exposure i s f o r a s h o r t p e r i o d , and i t i s i n d i r e c t ( i t p r i m a r i l y a f f e c t s the t r a n s f e r f i l m , not the paper), i t should normally have no s e r i o u s consequences. Heat may a l s o be a problem f o r documents produced by xerographic processes, where i t i s used to f i x the image to the paper; a g a i n , however, the exposure i s probably too b r i e f to have s e r i o u s e f f e c t s . V a r i o u s types of e l e c t r o l y t i c papers have been used over the years, with d i f f e r e n t companies using t h e i r own formulas. One author s t a t e s that Alexander Bain's o r i g i n a l formula i n c l u d e d s u l p h u r i c a c i d ; * 6 i f t h i s i s so, i t i s d o u b t f u l whether any of h i s f a c s i m i l e documents have s u r v i v e d . The same author c l a i m s that some types of e l e c t r o l y t i c paper can be c o n s i d e r e d " a r c h i v a l " — t h a t i s , n e i t h e r the paper nor the image w i l l d e t e r i o r a t e over time. However, he g i v e s no examples of these types, and no evidence to support h i s c l a i m . * 7 It i s g e n e r a l l y agreed that thermal fax paper presents the major problem f o r a r c h i v i s t s . Even manufacturers do not c r e d i t such documents with a s h e l f l i f e of more than f i v e years, given M i t s u b i s h i Business Communication Paper.... 14. 4 6 C o s t i g a n , 78. 4 7 I b i d . , 79. 39 optimum c o n d i t i o n s of 20-25°C and 50-65% r e l a t i v e h u m i d i t y . 4 8 Aside from l i t e r a t u r e put out by manufacturers, o n l y two r e p o r t s on thermal fax are a v a i l a b l e : one by the United S t a t e s N a t i o n a l A r c h i v e s and Records A d m i n i s t r a t i o n (NARA), the other by the 49 A u s t r a l i a n A r c h i v e s . The NARA i n f o r m a t i o n paper does not deal d i r e c t l y with c o n s e r v a t i o n problems; r a t h e r , i t o u t l i n e s a s e t of procedures to be f o l l o w e d i n the production of a r c h i v a l c o p i e s of u n s t a b l e paper documents. The A u s t r a l i a n r e p o r t , on the other hand, o u t l i n e s a s e r i e s of t e s t s that were conducted on samples of thermal paper. Made of poor q u a l i t y wood pulp, thermal paper c o n t a i n s l i g n i n , alum, and r o s i n ; the r e s u l t i n g a c i d i t y i s p a r t i a l l y compensated by the presence of a c a l c i u m carbonate f i l l e r , or perhaps by the c o a t i n g , so that the pH i s around 8.5. However, the a c i d i c pulp w i l l e v e n t u a l l y cause the paper to degrade. The exact chemical nature of the substances i n the thermal c o a t i n g i s not known, presumably because i t i s a "company s e c r e t " , so i t i s d i f f i c u l t to determine i t s e f f e c t on the l i f e s p a n of the paper.^ " S t a b i l i t y of M i t s u b i s h i Thermal Paper Cmemorandum1" (Tokyo: M i t s u b i s h i Paper M i l l s L t d . , A p r i l 1990). See a l s o McConnell e t . a l . , 108-09; Cheryl Jackson, "A Short Research P r o j e c t i n t o the Permanence of Thermal Fax Papers" (Canberra: A u s t r a l i a n A r c h i v e s , ACT Regional O f f i c e , n.d.): 1. 49 N o r v e l l M.M. Jones, A r c h i v a l Copies of Thermofax, V e r i f a x ,  and Other Unstable Copies. T e c h n i c a l Information Paper No. 5 (Washington, D.C.: N a t i o n a l A r c h i v e s and Records A d m i n i s t r a t i o n , 1990); and Jackson, "A Short Research P r o j e c t . . . " . 5 0 Jackson, 2-3. 40 Chemical t e s t s determined that the thermal l a y e r i s s o l u b l e i n e t h a n o l , which a l s o caused i t to develop and turn black. S e v e r a l a c i d s — a c e t i c , h y d r o c h l o r i c , and s u l p h u r i c — w e r e a p p l i e d ; they turned the c o a t i n g green, but d i d not a f f e c t the image. Spot t e s t i n g with toluene, acetone, and 1 , 1 , 1 - t r i c h l o r o e t h a n e caused the thermal l a y e r to blacken completely; the d i s c o l o u r a t i o n a l s o t r a n s f e r r e d to adjacent pages. However, water, c a l c i u m hydroxide, petroleum s p i r i t s , and ammonia s o l u t i o n s had no apparent e f f e c t . ^ ' T ests to determine the e f f e c t of moisture, l i g h t , and heat on the thermal l a y e r were a l s o c a r r i e d out. In high humidity, images began to fade w i t h i n 24 hours, and the f a d i n g got worse over a p e r i o d of ten days. Areas i n c o n t a c t with metal f a s t e n i n g s darkened, perhaps as a r e s u l t of o x i d a t i o n , but not enough to obscure images. Routine washing i n water caused no apparent damage when the sheets were d r i e d s e p a r a t e l y ; when they were d r i e d unseparated to s i m u l a t e p o s s i b l e water damage, the sheets stuck together. Exposure to u l t r a v i o l e t l i g h t caused paper to yellow w i t h i n ten hours, and turn brown w i t h i n f i v e days, but the images would remain; the d i s c o l o u r a t i o n was worse around f i n g e r p r i n t s , caused perhaps by the r e a c t i o n of d i r t and s k i n o i l s with the thermal l a y e r . When touched with a s p a t u l a heated to 70°C, the c o a t i n g darkened s l i g h t l y ; the darkening got worse up to 100°C, 5 1 I b i d . 41 when i t became completely dark. F i n a l l y , b o i l i n g water a l s o blackened the thermal l a y e r and seemed to wash i t o f f the paper. T e s t s c a r r i e d out i n Japan by M i t s u b i s h i Paper M i l l s L t d . seem to con-firm these r e s u l t s . Thermal paper turned black or developed when i t was exposed to v o l a t i l e o r g a n i c s o l v e n t s (of which the ethanol used by the A u s t r a l i a n s i s one), while non-v o l a t i l e o r g a n i c s o l v e n t s impaired c o l o u r development and caused image f a d i n g . It was a l s o determined that the paper should not come i n t o c o n t a c t with e i t h e r v i n y l c h l o r i d e p l a s t i c s (of which p o l y v i n y l c h l o r i d e or PVC, o f t e n used i n t r a n s p a r e n t envelopes, may be an example), or p r e s s u r e - s e n s i t i v e tape c o n t a i n i n g p o l y e t h y l e n e -g l y c o l , which presumably causes d i s c o l o u r a t i o n although t h i s i s not s t a t e d . ^ I t was a l s o noted that documents made on blue image paper are more l i k e l y to fade than those on black image paper; the blue 54 dye i s presumably more u n s t a b l e . The American S o c i e t y f o r T e s t i n g M a t e r i a l s i s c u r r e n t l y t r y i n g to develop t e s t i n g methods and standards f o r e v a l u a t i n g the imaging q u a l i t y of thermal fax paper. Subcommittee F05.06 on Carbonless Copy Paper began c o n s i d e r i n g the problem i n October 1988. D i f f e r e n t thermal p r i n t e r s run at d i f f e r e n t speeds and temperatures, and so i t i s important to match the proper type of thermal paper to the proper machine. Some papers r e q u i r e l e s s heat " I b i d . , 3. M i t s u b i s h i Business Communication Paper. . . . 11. U n t i t l e d 1-page t e c h n i c a l b u l l e t i n (Tokyo: M i t s u b i s h i Paper M i l Is L t d . , n.d. ) . 42 to develop an image, and so are more s u i t a b l e -for f a s t e r p r i n t e r s , whose p r i n t head elements have l e s s time to reach the re q u i r e d temperature. The development of standards would allow consumers to determine the a p p r o p r i a t e grade of paper f o r t h e i r machines, and be assured of c o n s i s t e n t q u a l i t y . Subcommittee F05.06 a l s o plans to develop an aging t e s t , to measure thermal paper's a b i l i t y to r e t a i n an image over time. To date, however, no r e s u l t s of these experiments and d e l i b e r a t i o n s have been r e l e a s e d . " As f a c s i m i l e t r a n s m i s s i o n becomes more popular as a means of communication, more fax documents w i l l f i n d t h e i r way i n t o a r c h i v e s . Once they are encountered, what can the a r c h i v i s t or co n s e r v a t o r do with f a c s i m i l e documents? There would appear to be few problems a s s o c i a t e d with thermal t r a n s f e r f a c s i m i l e s , s i n c e they are supposed to be of h i g h - q u a l i t y bond paper. If the inks used i n t h e i r p r o d u c t i o n cause no harm, and there i s no i n d i c a t i o n that they would, thermal t r a n s f e r fax documents should r e q u i r e no s p e c i a l treatment. It i s e l e c t r o l y t i c and thermal paper which cause the most problems. There are no currervt data on the long-term e f f e c t of e l e c t r o l y t e s on paper, f a c s i m i l e or otherwise. As f o r thermal paper, r e s e a r c h e r s and manufacturers agree that i t s e f f e c t i v e l i f e s p a n as a medium f o r s t o r i n g i n f o r m a t i o n i s onl y f i v e years under optimum c o n d i t i o n s . If they are damaged, c o n s e r v a t i o n 5 5 " F a c s i m i l e Paper to Warm F a l l Meeting", ASTM S t a n d a r d i z a t i o n  News 16 (September 1988): 15-16; "F-5 C r e a t i n g Standards on Thermal Paper f o r FAX Machines", ASTM S t a n d a r d i z a t i o n News 18 (January 1990): 18. 43 treatments -for thermal fax re c o r d s are l a r g e l y l i m i t e d to r o u t i n e washing and d r y i n g . ^ A l s o , the a c i d i c q u a l i t i e s of thermal paper d i s c o v e r e d by the A u s t r a l i a n s make i t dangerous to s t o r e a l o n g s i d e o t h e r documents. F i n a l l y , some of the spot t e s t s i n d i c a t e that any d i s c o l o u r a t i o n of the thermal l a y e r might a f f e c t adjacent papers. There are s e v e r a l methods of d e a l i n g with thermal paper i n an a r c h i v a l c o n t e x t . One i s to photocopy the f a c s i m i l e onto a r c h i v a l q u a l i t y paper, and then d i s c a r d i t . " * 7 However, i n doing t h i s one l o s e s both the e x t r i n s i c c h a r a c t e r i s t i c s of the o r i g i n a l f a c s i m i l e (along with the i n f o r m a t i o n that they can p r o v i d e ) , and some of the q u a l i t y of the image, which can be e s p e c i a l l y important i n the case of gr a p h i c images. A l s o , u n l e s s the copy i s e i t h e r c e r t i f i e d or made i n accordance with standard o p e r a t i n g procedures, the document's l e g a l v alue i s put a t r i s k . There i s a l s o the waste of paper and other r e s o u r c e s i n v o l v e d i n throwing the f a c s i m i l e s away to be c o n s i d e r e d . F i n a l l y , photocopying c o s t s money, which many i n s t i t u t i o n s cannot r e a l l y a f f o r d to spend. In s p i t e of these drawbacks, the N a t i o n a l A r c h i v e s of the United S t a t e s has determined that photocopying i s the best way to preserve documents c r e a t e d on u n s t a b l e m a t e r i a l s such as thermal paper. The t e c h n i c a l i n f o r m a t i o n paper r e l e a s e d i n 1990 s p e c i f i e s t h a t the toner used i n the copying machines must c o n t a i n carbon Jackson, 3. I b i d . , 4. 44 b l a c k , and that the machines themselves must be p r o p e r l y maintained 58 and even t e s t e d to ensure that they produce a c c e p t a b l e c o p i e s . NARA recommends that a "peel t e s t " be carried out on photocopies. It c o n s i s t s o-f making a copy o-f a t e s t p a t t e r n onto bond paper, a p p l y i n g a s t r i p o-f tape to the copy, and p e e l i n g back the tape: i-f the image o-f the t e s t p a t t e r n adheres to the tape, the copy i s CO not o-f archival q u a l i t y . Copies made as s u b s t i t u t e s -for u n s t a b l e documents should be marked as such, to guarantee thei'- l e g a l s t a t u s , to show ownership, and to ensure that they are not i n a d v e r t e n t l y thrown or given away. NARA suggests that -for convenience t h i s i n f o r m a t i o n should be typed on a p i e c e of paper t h a t would be taped face-down on the g l a s s s u r f a c e of a photo-c o p i e r ; t h i s machine then could be r e s e r v e d f o r making such c o p i e s . Once an a r c h i v a l copy i s made, the o r i g i n a l may be d i s c a r d e d a c c o r d i n g to standard d i s p o s a l procedures.' 0 Another s o l u t i o n i n v o l v i n g d u p l i c a t i o n would be to copy f a c s i m i l e documents onto m i c r o f i l m . As with photocopying, one r i s k s l o s i n g both the e x t r i n s i c c h a r a c t e r i s t i c s of the o r i g i n a l form, and image q u a l i t y . It can a l s o be e x p e n s i v e — u n l e s s i t i s done f o r e n t i r e s e r i e s without e x t r a c t i n g the f a c s i m i l e s from the f i l e s , i n which case the labour c o s t goes down. However, s i n c e i t i s u n l i k e l y t h a t e n t i r e s e r i e s would c o n t a i n so many thermal 5 8 Jones, 1 . 5 9 I b i d . , 3. 6 0 Ibid . , 2. 45 •facsimile documents to warrant complete r e p r o d u c t i o n , the micro-f i l m i n g of such documents would have to be i n s t i t u t e d as p a r t of a system-wide program. One b e n e f i t of m i c r o f i l m i n g i s that m i c r o f i l m i s now g e n e r a l l y accepted by the c o u r t s — p r o v i d e d that the copying i s done i n accordance with a standard, documented procedure, and that a sworn statement to t h i s e f f e c t i s i n c l u d e d at the beginning a t the f i l m . These c r i t e r i a would l i k e l y a l s o apply to the copying of documents to o p t i c a l d i s k systems. The f e a s i b i l i t y or a c c e p t a b i l i t y of these s o l u t i o n s , however, depends l a r g e l y on the r e s u l t s of the e x p l o r a t i o n s which w i l l be c a r r i e d out l a t e r i n t h i s t h e s i s . T h e r e f o r e , the i s s u e of making a r c h i v a l c o p i e s of thermal paper f a c s i m i l e s w i l l be re-examined i n the context of d i s c u s s i o n s concerning the r e c o r d nature and the l e g a l value of f a c s i m i l e s . In the end, the best s o l u t i o n might be to avoid the problem a l t o g e t h e r — t h a t i s , to i n s t r u c t records c r e a t o r s to use e i t h e r thermal t r a n s f e r or xerographic equipment f o r f a c s i m i l e t r a n s m i s -s i o n . The c o s t of the equipment i s g r e a t e r , e s p e c i a l l y of that needed f o r l a s e r xerography. At, present, parent o r g a n i z a t i o n s have to balance the short-term c o s t of such equipment a g a i n s t the long-term c o s t s of a photocopying or a m i c r o f i l m i n g program. Since a r c h i v i s t s and c o n s e r v a t o r s have u s u a l l y l i t t l e i n f l u e n c e over the p o l i c i e s of the o r g a n i z a t i o n s whose records they r e c e i v e (unless they are mandated to g i v e a d v i c e to r e c o r d s c r e a t o r s on such m a t t e r s ) , such d e c i s i o n s may w e l l be out of t h e i r hands. 46 The general trend i n the -facsimile i n d u s t r y , however, has been f o r the c o s t of equipment to d e c l i n e , so the f i n a n c i a l o b s t a c l e s w i l l l i k e l y d isappear as o r g a n i z a t i o n s come to see the i n i t i a l c a p i t a l c o s t s of thermal t r a n s f e r or xerographic fax machinery as becoming l e s s of a burden. A l s o , as Group 4 fax t r a n s m i s s i o n becomes more widespread over the next decade, l a s e r p r i n t i n g and other xerographic processes, c h a r a c t e r i s t i c of that l e v e l of technology, w i l l a l s o become more common. The r e s u l t w i l l be, h o p e f u l l y (from the a r c h i v i s t ' s p o i n t of view, a t l e a s t ) , that thermal paper f a c s i m i l e systems w i l l be phased out and the problem of d e a l i n g with t h e i r products w i l l to a l a r g e extent be e l i m i -nated. ( 47 CHAPTER THREE: FACSIMILE DOCUMENTS AS "RECORDS"— THEORETICAL CONSIDERATIONS As p r e v i o u s c h a p t e r s have shown, f a c s i m i l e t r a n s m i s s i o n has become a widespread means o-f communication, and, because of t h i s , i t s products are i n c r e a s i n g l y l i a b l e to be encountered by a r c h i v -i s t s i n t h e i r work. What has to be answered, now, i s the qu e s t i o n of how fax documents should be t r e a t e d i n the a r c h i v a l c o n t e x t . The f i r s t p o i n t to be determined i s whether f a c s i m i l e s are records at a l l , or whether they have to be c o n s i d e r e d non-record m a t e r i a l or ephemera. If i t i s e s t a b l i s h e d that f a c s i m i l e s are i n f a c t r e c o r d s , i t must then be determined whether they are " t r a d i t i o n a l " paper r e c o r d s , machine-readable or e l e c t r o n i c r e c o r d s , or even some combination of these c a t e g o r i e s . In order to decide whether or not a f a c s i m i l e i s a r e c o r d , i t i s necessary to begin by d e f i n i n g the term. What i s a record? At the most b a s i c l e v e l , the term means "recorded i n f o r m a t i o n " . ' The word " i n f o r m a t i o n " , i n t u r n , means "communicated knowledge;... knowledge of some s p e c i a l event, or o c c a s i o n " . "Communicated knowledge" may be d e f i n e d as a message conveyed by one person or 1 Trevor L i v e l t o n , " P u b l i c Records: A Study i n A r c h i v a l Theory" (Master of A r c h i v a l S t u d i e s t h e s i s , U n i v e r s i t y of B r i t i s h Columbia, February 1991), 31. 1 Webster's New School and O f f i c e D i c t i o n a r y . rev. ed. (1960), s.v. " i n f o r m a t i o n " . 48 o r g a n i z a t i o n to another. 3 To r e c o r d a message i m p l i e s the i n t e n -t i o n o-f conveying i t , not o n l y a c r o s s space, but a c r o s s time as wel 1 . 4 D e f i n i n g the term re c o r d as recorded i n f o r m a t i o n i s a u s e f u l s t a r t i n g p o i n t , but i n connection with a r c h i v a l theory i t does not go f a r enough, because i t takes no account of the context i n which th a t i n f o r m a t i o n i s recorded or t r a n s c r i b e d . A r c h i v a l l i t e r a t u r e must be c o n s u l t e d to provide such expanded d e f i n i t i o n s . Michael Cook, f o r example, s t a t e s that "Records are information media which are generated by an a d m i n i s t r a t i v e system", thereby r e c o g n i z i n g the importance of the circumstances of t h e i r c r e a t i o n . T h e a r c h i v a l g l o s s a r y p u b l i s h e d i n The American A r c h i v i s t i n 1974 does b e t t e r , by d e f i n i n g " r e c o r d s " as Ca311 recorded i n f o r m a t i o n , r e g a r d l e s s of media or c h a r a c t e r i s t i c s , made or r e c e i v e d and maintained by an o r g a n i z a t i o n or i n s t i t u t i o n i n pursuance of i t s l e g a l o b l i g a t i o n s or i n the t r a n s a c t i o n of i t s business.' In law, a "person" may be e i t h e r " n a t u r a l " ( i n other words, an i n d i v i d u a l human being) or " a r t i f i c i a l " (a group of i n d i v i d u a l s having a c o l l e c t i v e i d e n t i t y , such as a c o r p o r a t i o n ) — i n d i p l o -m atics the e q u i v a l e n t terms are " p h y s i c a l " and " j u r i d i c a l " , r e s p e c t i v e l y . In that sense an o r g a n i z a t i o n may a l s o be a "person". Webster's New School and O f f i c e D i c t i o n a r y . s.v. " r e c o r d " ; L i v e l t o n , 34-35. Michael Cook, The Management of Information from A r c h i v e s ( A l d e r s h o t , England: Gower P u b l i s h i n g Co. L t d . , 1986), 41. 6 Frank B. Evans, Donald F. H a r r i s o n , and Edwin A. Thompson, "A B a s i c G l o s s a r y f o r A r c h i v i s t s , Manuscript C u r a t o r s , and Records Managers", The American A r c h i v i s t 37 ( J u l y 1974): 428. 49 S e v e r a l o t h e r d e f i n i t i o n s are almost i d e n t i c a l . 7 Thus, records are de-fined i n terms of 1. i n f o r m a t i o n , 2. a c t i o n of r e c o r d i n g , 3. medium, 4. a d m i n i s t r a t i v e c o n t e x t of c r e a t i o n , and 5. p r e s e r v a t i o n . These c o n s t i t u t i v e elements a l s o help to d i s t i n g u i s h a record from a document. The two terms are f r e q u e n t l y , and i n c o r r e c t l y , used synonymously. D e f i n i t i o n s of "document" are u s u a l l y s i m i l a r to the b a s i c d e f i n i t i o n of r e c o r d ( i . e . recorded i n f o r m a t i o n ) ; f o r example, the American a r c h i v a l g l o s s a r y d e s c r i b e s a document as 0 " C r l e c o r d e d i n f o r m a t i o n r e g a r d l e s s of medium or c h a r a c t e r i s t i c s " . One can t h e r e f o r e a l s o r e f e r to a record as being a type of document, d i s t i n g u i s h e d from other documents by the circumstances of i t s c r e a t i o n , and the f a c t of i t s p r e s e r v a t i o n . Keeping t h i s i n mind, the term "document" can then be used i n a general sense to mean any p i e c e of recorded i n f o r m a t i o n , while the term " r e c o r d " can r e f e r to those documents c r e a t e d or r e c e i v e d as p a r t of the conduct of a p r a c t i c a l a c t i v i t y , and preserved by t h e i r c r e a t o r f o r s p e c i f i c purposes, u s u a l l y of a l e g a l or f u n c t i o n a l nature. Thus, record i s synonymous with a r c h i v a l document. See Theodore R. S c h e l l e n b e r g , Modern A r c h i v e s : P r i n c i p1es  and Techniques (Chicago: The U n i v e r s i t y of Chicago Press, 1956; r e p r i n t , Chicago: Midway R e p r i n t s , 1975), 16; and James Sregory Bradsher, "An I n t r o d u c t i o n to A r c h i v e s " , i n Managing A r c h i v e s and  Archiva1 I n s t i t u t i o n s , ed. James Gregory Bradsher (Chicago: The U n i v e r s i t y of Chicago P r e s s , 1988), 2. 0 Evans e t . a l . , 421. See a l s o Bradsher, 16, n2. Jenkinson d e f i n e s documents i n a s i m i l a r way ( S i r H i l a r y Jenkinson, A Manual  of A r c h i v e A d m i n i s t r a t i o n [London: Percy Lund, Humphries and Co. L t d . , 19651, 6 ) , but then goes on to d e f i n e a r c h i v e s i n the same terms i n which one c o u l d d e f i n e a r e c o r d ( i b i d . , 11), thus making a c l e a r d i s t i n c t i o n between "document" and " a r c h i v a l document". 50 Since a r c h i v i s t s d e a l i n g with government r e c o r d s must operate w i t h i n the parameters s e t by the law and by government p o l i c y , i t i s important to determine the r e l a t i o n s h i p between the d e f i n i t i o n s provided by a r c h i v a l theory and those i n c o r p o r a t e d i n s t a t u t e s and r e g u l a t i o n s . For example, the B r i t i s h Columbia Evidence Act d e f i n e s a document as "any d e v i c e by means of which i n f o r m a t i o n i s recorded or s t o r e d " , that i s , i n a way which i s e s s e n t i a l l y i d e n t i c a l to t h a t found i n a r c h i v a l l i t e r a t u r e . However, the d e f i n i t i o n of record provided i n the I n t e r p r e t a t i o n Act does not go beyond t h i s except to i n c l u d e a l i s t of types of record,' 0 and thus i t adds nothing to the c u r r e n t d i s c u s s i o n — n o r would i t e n l i g h t e n any government records o f f i c i a l who might turn to t h i s s t a t u t e f o r guidance. The d e f i n i t i o n of "document" i n c o r p o r a t e d i n the B r i t i s h Columbia Rules of Court s u f f e r s from the same shortcoming, and, moreover, i t s use of terms i s c o n f u s i n g . " B r i t i s h Columbia's A d m i n i s t r a t i v e Records C l a s s i f i c a t i o n System manual, on the oth e r hand, p r o v i d e s a more thorough e x p l a n a t i o n of the term i n q u e s t i o n : r e c o r d s , i n p a r t i c u l a r government r e c o r d s , 7 Revised S t a t u t e s of B r i t i s h Columbia, 1979 ( h e r e a f t e r r e f e r r e d to as R.S.B.C. 1979), c. 116, s. 47. 1 0 R.S.B.C. 1979, c. 206, s. 29, s t a t e s that " ' r e c o r d ' i n c l u d e s books, documents, maps, drawings, photographs, l e t t e r s , vouchers, papers and any other t h i n g on which i n f o r m a t i o n i s recorded or s t o r e d by any means whether g r a p h i c , e l e c t r o n i c , mechanical or otherwise". " Rule 1(8): "'document' s h a l l have an extended meaning and s h a l l i n c l u d e a photograph, f i l m , r e c o r d i n g of sound, any rec o r d of a permanent or semi-permanent c h a r a c t e r and any i n f o r m a t i o n recorded or s t o r e d by means of any d e v i c e " (emphases added). 51 are de-fined as Call 11 recorded i n f o r m a t i o n r e g a r d l e s s of p h y s i c a l form... (as d e f i n e d i n the I n t e r p r e t a t i o n Act...) which i s r e c e i v e d , c r e a t e d , . d e p o s i t e d , held with or i n an o f f i c e of a M i n i s t r y , Agency, Board, Commission, C o r p o r a t i o n , or I n s t i t u t i o n of the Ex e c u t i v e Government of B r i t i s h Columbia....' 2 Government s t a t u t e s and r e g u l a t i o n s i n c o u n t r i e s , such as Canada, which f o l l o w the B r i t i s h l e g a l system are based on the p r i n c i p l e s of the common law. I t i s t h e r e f o r e necessary to look a t these p r i n c i p l e s as they apply to documents and r e c o r d s . The common law d e f i n i t i o n of a document has evolved over time, but u n t i l r e c e n t l y the emphasis has been on the f a c t of the i n f o r m a t i o n being w r i t t e n . The judgment i n a 1908 case, f o r example, d e f i n e d a document as being "any w r i t t e n t h i n g capable of being evidence", and s t a t e d that i t was "imm a t e r i a l " what the medium was; i t went on to emphasize that " i t i s a document no matter upon what m a t e r i a l i t be, provided i t i s w r i t i n g or p r i n t i n g and capable of being evidence " . ' 3 12 B r i t i s h C o lumbia—Records Management Branch Cnow B r i t i s h Columbia A r c h i v e s and Records S e r v i c e ! , A d m i n i s t r a t i v e Records  C l a s s i f i c a t i o n System ( V i c t o r i a : B r i t i s h Columbia M i n i s t r y of the P r o v i n c i a l S e c r e t a r y and Government S e r v i c e s , 1987), 37. 1 3 R__ v. Daye. C1908D 2 K. B. 333 (per D a r l i n g J . ) , quoted i n J . Douglas Ewart, Michael Lomer and J e f f Casey, Documentary  Evidence i n Canada (Toronto: C a r s w e l l , 1984), 16-17. 52 The concept expressed i n that 1908 j u d g e m e n t — t h a t a document must be i n w r i t t e n form'*—was a n a t u r a l r e s u l t of c e n t u r i e s of p r e s e n t i n g f a c t s and ideas i n w r i t i n g , whether on paper, parchment, stone, or c l a y ; i t was a product of i t s h i s t o r i c a l background and c o n t e x t . I t i s a l s o n a t u r a l , t h e r e f o r e , that i t was not u n t i l technology evolved and a l t e r e d t h a t c ontext that the o r i g i n a l r e s t r i c t i v e d e f i n i t i o n of a document as i n f o r m a t i o n given i n w r i t t e n form gave way to a more f l e x i b l e one. I n t e r e s t i n g l y , t h i s s h i f t seems to have been made p o s s i b l e by another concept i n the o l d d e f i n i t i o n of a document o u t l i n e d above: t h a t f o r something to be c o n s i d e r e d a document i t must be "capable of being evidence". A 1945 judgment argued that a document was "something which g i v e s you i n f o r m a t i o n " . The judge c i t e d the 1908 case noted above: It i s s a i d t h at a document must be something which i s evidence. In my view i t i s p l a i n t h at that word "evidence" i s not used i n the sense of being something which i s admis-s i b l e i n a c o u r t of law, i t i s used i n i t s s t r i c t l i t e r a l meaning, something which makes e v i d e n t what would otherwise not be e v i d e n t . Using the word i n that sense, I agree that a document must be something which makes evident....'^ Recordings made on magnetic tape were among the f i r s t non-w r i t t e n documents to be accepted as documentary evidence by the c o u r t s . The b a s i c argument was that a tape r e c o r d i n g c o u l d convey In d i p l o m a t i c s , the concepts of " w r i t t e n " and " w r i t i n g " are broader and more general i n scope. For a document to be considered w r i t t e n , data, images, and sounds need simply be f i x e d on a medium, i n a meaningful form, f o r the purpose of communicating i n f o r m a t i o n . See Luciana D u r a n t i , " D i p l o m a t i c s : New Uses f o r an Old Science CPart ID", A r c h i v a r i a 28 (Summer 1989): 15. 1 3 H i l 1 v. R__, [19453 K. B. 329 (per Humphreys J . ) , quoted i n Ewart e t . a l . , 16. 53 i n f o r m a t i o n or evidence as w e l l as a w r i t t e n t e x t . Once t h i s conceptual b a r r i e r was breached, i t became c l e a r t h a t the te c h -nology used to s t o r e or communicate i n f o r m a t i o n i s i r r e l e v a n t to determining whether or not a document has been c r e a t e d . T h i s trend has continued u n t i l i n f o r m a t i o n recorded i n a computer memory bank usi n g magnetic impulses has been accepted as a document." In a d d i t i o n , the f a c t t h at e l e c t r o n i c documents, f o r example, are e s p e c i a l l y s u b j e c t to d e t e r i o r a t i o n a l s o does not a f f e c t t h e i r s t a t u s under common law. T h i s i m p l i e s that the f a c t that f a c -s i m i l e s recorded on thermal paper a l s o d e t e r i o r a t e i s not r e l e v a n t f o r determining t h e i r a c c e p t a b i l i t y as documents. The medium must be capable of r e t a i n i n g i n f o r m a t i o n as long as i t i s needed, even i f the i n f o r m a t i o n e v e n t u a l l y d i s a p p e a r s or i s erased.' 7 Today, the common law d e f i n i t i o n of a document can be s t a t e d as f o l l o w s : a document i s a p h y s i c a l t h i n g , c o n s i s t i n g of a medium on which data are more or l e s s permanently recorded so that they 18 are a c c e s s i b l e . The next s t e p — t o d e r i v e a d e f i n i t i o n of a record from common law p r i n c i p l e s — r e q u i r e s an understanding that data and in f o r m a t i o n are not the same t h i n g . "Data" r e f e r s to the o b j e c t i v e r e p r e s e n t a t i o n of a f a c t or f a c t s , while " i n f o r m a t i o n " i s , as ex p l a i n e d e a r l i e r , communicated knowledge. "Knowledge" i s a f a r 1 6 Ewart e t . a l . , 17-18, 29. ' 7 R.A. Brown, Documentary Evidence i n A u s t r a 1 i a (Sydney: The Law Book Co., 1988), 11-12; see a l s o P__ v. Jones and Su 1 1 i v a n . C19781 2 A l l E.R. 718 (C.A.), c i t e d i b i d . , 12-13. 1 8 Brown, 9. 54 more s u b j e c t i v e term than "data"; not onl y does i t i n d i c a t e the e x i s t e n c e o-f f a c t s , i t a l s o i m p l i e s understanding the context i n which those f a c t s e x i s t , and the i n t e r p r e t a t i o n o-f both f a c t s and 19 context by an obse r v e r . In other words, i n f o r m a t i o n i s data which has been or can be communicated to, and has meaning f o r , an observer. For a document to be a record i n the a r c h i v a l sense ( i . e . an a r c h i v a l document), i t must be c r e a t e d as pa r t of a d m i n i s t r a t i v e or p r a c t i c a l a c t i o n . T h i s a p p a r e n t l y has a l s o been accepted as par t of the common law. C o n t r a s t t h i s with an o l d common law d e f i n i t i o n of rec o r d i n c o r p o r a t e d i n a 1790 a c t of the Quebec c o l o n i a l l e g i s l a t u r e . The a c t o u t l i n e d two criteria, f o r de t e r — mining whether a document was a true r e c o r d : i t had to "memor— i a l i z e " e i t h e r an event or a p r i v i l e g e , and i t had to be entered 20 i n the o f f i c i a l r o l l s or r e g i s t e r s . These criteria changed over the years, however. There was a s h i f t i n common law from seeing p u b l i c r e c o r d s as documenting events and p r i v i l e g e s , towards being c r e a t e d i n the course of government business and owned by the 1 7 I b i d . , 10-12. 70 "An Act or Ordinance f o r the B e t t e r P r e s e r v a t i o n and Due D i s t r i b u t i o n of the Ancient French Records", c i t e d i n Victoria. Bryans, "Canadian P r o v i n c i a l and T e r r i t o r i a l A r c h i v a l L e g i s l a t i o n : A Case Study of the D i s j u n c t i o n Between Theory and Law" (Master of A r c h i v a l S t u d i e s t h e s i s , U n i v e r s i t y of B r i t i s h Columbia, November 1989), 30-32. Note t h a t , although French c i v i l law had a l r e a d y been r e - e s t a b l i s h e d i n the c o u r t s of Quebec, E n g l i s h common law concepts remained important i n l e g i s l a t i o n . 55 Crown. In a 1978 E n g l i s h c o u r t case, a r e c o r d was r e f e r r e d to as " r e l a t i n g to any trade or b u s i n e s s " , and as being c r e a t e d i n c o n n e c t i o n with a t r a n s a c t i o n . Thus, i n common law, a r e c o r d i s now r e c o g n i z e d as a p h y s i c a l t h i n g , l i k e a document, c o n s i s t i n g of a medium on which communicable and meaningful data has been i n -s c r i b e d as p a r t of a procedure or t r a n s a c t i o n . T h i s e x t e n s i v e d i s c u s s i o n of the nature of documents and r e c o r d s i s r e l e v a n t to the l a r g e r i s s u e of d e f i n i n g the s t a t u s of f a c s i m i l e s — t h a t i s , whether they may be c l a s s e d as r e c o r d s . They are c e r t a i n l y documents i n that they c o n s i s t of i n f o r m a t i o n recorded on a medium. And, i f r e c o r d s are d e f i n e d as documents which are c rea ted and maintained i n the course of a prac t i c a 1  ac t i v i ty f o r spec i f i c purposes. f a c s i m i l e s which s a t i s f y these requirements are records. However, i n order to answer t h i s q u e s t i o n i n a more complete way, one should d i s c u s s yet another concept: that of "non-record". The d e f i n i t i o n provided i n A Modern  Arc h i v e s Reader s t a t e s that "nonrecord m a t e r i a l " i s not r e c o r d i n c h a r a c t e r because i t comprises s o l e l y l i b r a r y or other r e f e r e n c e items, because i t d u p l i c a t e s r e c o r d s and provides no a d d i t i o n a l evidence or i n f o r m a t i o n , 23 or because i t s q u a l i t i e s are nondocumentary. Bryans, 32-33. By 1861, f o r example, Nova S c o t i a ' s P u b l i c Records Act r e f e r r e d to records as being "kept by or i n the custody of any p r o v i n c i a l or municipal o f f i c e r i n pursuance of h i s d u t i e s as such o f f i c e r " ( i b i d , 32). 2 2 R_ vs . Jones and Su 1 1 i van ( 1978) . Maygene F. Daniels and Timothy Walch, eds., A Modern  Arc h i ves Reader (Washington, D.C.: N a t i o n a l A r c h i v e s and Records S e r v i c e , and the National A r c h i v e s T r u s t Fund Board, 1984), 341. 56 Two of these c r i t e r i a can be dismi s s e d a t the o u t s e t f o r f a c -s i m i l e s : they are not l i b r a r y or r e f e r e n c e m a t e r i a l s — i t has a l r e a d y been determined that f a c s i m i l e s are documentary i n nature. It c ould be argued that a f a c s i m i l e i s a d u p l i c a t e by d e f i n i t i o n . However, i n an a r c h i v a l sense, i t d i f f e r s s i g n i f i c a n t l y from the document which was used to tr a n s m i t i t , because i t was r e c e i v e d , used, and maintained i n a completely d i f f e r e n t c o n t e x t . A l s o , i f a fax was r e c e i v e d i n the course of the o r i g i n a l t r a n s a c t i o n , and i s maintained with the re c o r d s of that t r a n s a c t i o n i n the same format i n which i t was r e c e i v e d , i t i s j u s t as e f f e c t i v e as an o r i g i n a l , even though i t i s a d u p l i c a t e . T h i s p o i n t w i l l be c l a r i f i e d i n the next c h a p t e r . The E l e c t r o n i c Records G u i d e l i n e s i s s u e d by the United Nations A d v i s o r y Committee f o r the C o o r d i n a t i o n of Information Systems (ACCIS) c o n t r a s t records and non-records i n two ways. F i r s t , the g u i d e l i n e s s t a t e that a rec o r d i s " i n f o r m a t i o n sent or r e c e i v e d i n the conduct of an o f f i c i a l a c t i v i t y " , and that t h e r e f o r e a non-record i s i n f o r m a t i o n r e t a i n e d by i t s creator by memory, on computer d i s k , or on paper and not communicated or made a v a i l a b l e to o t h e r s . Elsewhere i n the g u i d e l i n e s , a r e c o r d i s d e f i n e d as "i n f o r m a t i o n c r e a t e d i n the course of o f f i c i a l b u s i n e s s " , and a non-record as i n f o r m a t i o n r e c e i v e d from an o u t s i d e o r g a n i z a t i o n ; 57 the c o r o l l a r y i s that a document c r e a t e d w i t h i n an o r g a n i z a t i o n , but not d i s t r i b u t e d , i s a r e c o r d . U n f o r t u n a t e l y , n e i t h e r of the two d e f i n i t i o n s above i s complete. The f i r s t one at f i r s t glance seems to imply t h a t documents normally r e t a i n e d by t h e i r c r e a t o r , such as r e g i s t e r s or cheque-books, might not be c o n s i d e r e d record m a t e r i a l . However, i t i s e x p l a i n e d elsewhere that such documents c o n t a i n i n f o r m a t i o n which i s intended to be communicated over time, e i t h e r to t h e i r c r e a t o r s or to o t h e r s , and that t h e r e f o r e they are to be c o n s i d e r e d r e c o r d m a t e r i a l . The g u i d e l i n e s a l s o note that a record i n c l u d e s i n f o r m a t i o n which i s e i t h e r sent or r e c e i v e d : thus, documents which c o n t a i n i n f o r m a t i o n r e c e i v e d from other o r g a n i z a t i o n s or sources, 55 and kept by t h e i r c r e a t o r s , are a l s o r e c o r d s . The d e f i n i t i o n which l i m i t s r e c o r d s to documents c o n t a i n i n g i n f o r m a t i o n c r e a t e d w i t h i n an o r g a n i z a t i o n i s s i m i l a r l y incomplete, because i t would e l i m i n a t e from c o n s i d e r a t i o n , f o r example, a l l incoming c o r r e s p o n -dence, which i s of course unacceptable. The ACCIS r e p o r t does provide a more u s e f u l e x p l a n a t i o n of the terms i n q u e s t i o n when i t goes on to suggest that r e c o r d s are " o f f i c i a l documentation of o r g a n i z a t i o n a l a c t i v i t y " , while non-records are " t r a n s i e n t , p e r s o n a l , or e x t e r n a l i n o r i g i n " . However, the obvious c o r o l l a r y E l e c t r o n i c Records G u i d e l i n e s : A Manual f o r Pol i c y Develop- ment and Implementation. f i n a l r e p o r t of the ACCIS T e c h n i c a l Panel on E l e c t r o n i c Records Management (TP/REM) (New York, Geneva: United Nations, 1989), 20. 2 5 I b i d . , 10, 20. 2 6 I b i d . , 20. 58 o-f t h i s i s t h a t any document c r e a t e d or r e c e i v e d by an i n s t i t u t i o n o u t s i d e i t s sphere of o f f i c i a l o r g a n i z a t i o n a l a c t i v i t y i s not a r e c o r d of t h a t i n s t i t u t i o n . Two examples might be personal messages exchanged between members of an o r g a n i z a t i o n , and announcements concerning s o c i a l events such as d i n n e r s , " f a m i l y days", and the l i k e . The f i r s t are more l i k e l y to be e i t h e r destroyed or removed from the o f f i c e by t h e i r r e c i p i e n t s than kept on f i l e , and so f a l l o u t s i d e the scope of t h i s d i s c u s s i o n . The second do seem to q u a l i f y , at f i r s t g l ance, f o r s t a t u s as non-r e c o r d s ; however, two f a c t o r s d i c t a t e otherwise. F i r s t , s o c i a l f u n c t i o n s are d i r e c t l y connected to the realm of personnel management, which i s the concern of any o r g a n i z a t i o n . Second, documentation p e r t a i n i n g to them may be r e t a i n e d f o r r e f e r e n c e purposes, e i t h e r to help plan f u t u r e events or to a i d i n d e t e r — mining the o r g a n i z a t i o n ' s p o l i c i e s concerning them. Moreover, the ACCIS d e f i n i t i o n of non-records as t r a n s i e n t r e l a t e s t hat concept to the i s s u e of maintenance and p r e s e r v a t i o n . P r e s e r v a t i o n i s not n e c e s s a r i l y meant as permanent r e t e n t i o n , but r a t h e r as " o f f i c i a l r e t e n t i o n . . . f o r the p e r i o d of time r e q u i r e d 27 to f u l f i l . . . programmatic r e s p o n s i b i l i t i e s " . There are some documents, however, which are o f t e n maintained without c o n s i d e r a -t i o n of how they r e l a t e to t h e i r c r e a t o r ' s "programmatic respon-s i b i l i t i e s " . These are commonly r e f e r r e d to as "working papers", Gary M. Peterson and Trudy Huskamp Peterson, A r c h i v e s and -> M a n u s c r i p t s : Law, SAA B a s i c Manual S e r i e s (Chicago: S o c i e t y of American A r c h i v i s t s , 1985), 13n. 59 and i n c l u d e s c r a p s of paper on which are s c r i b b l e d notes, messages, and telephone numbers, and incomplete or r e j e c t e d d r a f t s . Working papers are presumably what the a r c h i v i s t ' s g l o s s a r y i n The American A r c h i v i s t r e f e r s to under i t s d e f i n i t i o n of "nonrecord m a t e r i a l " : besides "stocks of p u b l i c a t i o n s and processed documents" and " l i b r a r y and museum m a t e r i a l " , i t mentions " u n o f f i c i a l c o p i e s Cor r e p r o d u c t i o n s ] of documents kept o n l y f o r convenience or r e f e r — 28 ence" . The problem here i s that while some such documents are indeed of onl y temporary u s e — t r a n s i e n t and ephemeral i n n a t u r e — o t h e r s c o n t i n u e to be used f o r r e f e r e n c e purposes i n connection with e i t h e r the a c t i v i t i e s to which they were o r i g i n a l l y r e l a t e d , or other a c t i v i t i e s ; they t h e r e f o r e should be con s i d e r e d r e c o r d 29 m a t e r i a l . D r a f t s must a l s o be c o n s i d e r e d : they may c o n t a i n v a l u a b l e i n f o r m a t i o n not i n c l u d e d i n f i n a l v e r s i o n s , and t h e r e f o r e can be used by t h e i r c r e a t o r s to update r e p o r t s and memoranda, or to c r e a t e new documents. Telephone messages w r i t t e n on s l i p s of paper are another example of working papers which are normally c o n s i d e r e d to be ephemera or t r a n s i t o r y documents—made use o f , or acted-upon, on l y once, and then d i s c a r d e d . Only i n e x t r a o r d i n a r y circumstances would they be r e t a i n e d , f o r l e g a l or a d m i n i s t r a t i v e purposes. In such cases, phone messages w r i t t e n on s l i p s of paper, with date and time noted, would be co n s i d e r e d to be re c o r d s of c o n t a c t made (or Evans, e t . a l . , 426. Peterson and Peterson, 13-14. 60 attempted), and as such would be r e t a i n e d i n the - f i l e o-f the t r a n s a c t i o n i n which they played a p a r t . Otherwise, such documents are non-records and are of l i t t l e consequence. The same would apply to notes taken d u r i n g a telephone c o n v e r s a t i o n . Messages recorded on telephone answering machines are even l e s s l i k e l y to be r e t a i n e d ; normally, they are l i s t e n e d - t o and acted-upon by t h e i r r e c i p i e n t , and immediately erased so that the magnetic tape can be re-used . Seen i n t h i s c o n t e x t , what i s a f a c s i m i l e except a type of telephone message? It has been t r a n s m i t t e d over a telephone l i n e , and has been recorded by a machine attached to a telephone o u t l e t . Why not allow i t to be t r e a t e d as a phone message — a p i e c e of ephemera—and d i s c a r d e d a f t e r i t has been used? From a p u r e l y pragmatic and u t i l i t a r i a n viewpoint, i t would c e r t a i n l y s i m p l i f y the tasks of records managers and a r c h i v i s t s . One reason why t h i s c o u r s e of a c t i o n should not be f o l l o w e d , however, i s that f a c s i m i l e t r a n s m i s s i o n i s not merely a means of exchanging messages; r a t h e r , i t i s a means of t r a n s p o r t i n g and d e l i v e r i n g documents. In that sense, a document sent by f a c s i m i l e t r a n s m i s s i o n d i f f e r s l i t t l e from one sent by mail or d e l i v e r e d i n person, and should be t r e a t e d the same way. Another d i f f e r e n c e between a phone message and a f a c s i m i l e i s t h a t the former i s not so much a message as i t i s an i n t e r p r e t a -t i o n of a message. The person w r i t i n g i t f o r the intended r e c i p i e n t w i l l l i k e l y i n c l u d e only enough i n f o r m a t i o n to pr o v i d e the g i s t of the o r i g i n a l communication; i t i s up to the r e c i p i e n t 61 e i t h e r to i n t e r p r e t t h a t i n f o r m a t i o n i n the c o n t e x t o-f h i s / h e r own knowledge, or to c o n t a c t the sender f o r an e x p l a n a t i o n . The same a p p l i e s to a person speaking to an answering machine; he/she w i l l p rovide only the main p o i n t s of the message t h a t would be given i n i t s e n t i r e t y i f she/he was a c t u a l l y speaking to the other person. Notes taken dur i n g a c o n v e r s a t i o n are a l s o "incomplete" i n that they are not t r a n s c r i p t i o n s of that c o n v e r s a t i o n ; whether or not the complete message i s conveyed i s dependent on the w r i t e r ' s a b i l i t y to capture the main p o i n t s at the time of the exchange, h i s / h e r a b i l i t y to r e c a l l l a t e r what was not w r i t t e n down, and the i n t e r p r e t a t i o n imposed by the w r i t e r on both notes and memory. A f a c s i m i l e , on the other hand, w i l l convey the complete message d i r e c t l y to i t s r e c i p i e n t , whether i t i s i n t e x t u a l or i l l u s t r a t i v e form. Both the content and the s t r u c t u r e of the message are reproduced. A l l of the i n f o r m a t i o n that the sender wishes to convey i s i n the f a c s i m i l e , to be examined by the r e c i p i e n t e i t h e r immediately or at l e i s u r e . I t i s normally s u b j e c t n e i t h e r to i n t e r p r e t a t i o n nor to memory. 3 0 Given a l l of the above a n a l y s i s , i t would seem t h a t , f o r one t h i n g , there i s l i t t l e to be gained by d e f i n i n g c e r t a i n documents An e x c e p t i o n to t h i s might be i f a t r a n s m i t t e d document, i n i t s o r i g i n a l form, c o n t a i n s data which the fax machine i s not designed to t r a n s m i t , such as c o l o u r or the t e x t u r e of f i n e paper; such data must then be i n f e r r e d by the r e c i p i e n t . T h i s i s a s p e c i a l circumstance, however, which does not i n v a l i d a t e the general argument, mainly because the sender would know i n advance that the r e c i p i e n t would not r e c e i v e the i n f o r m a t i o n contained by those e x t r i n s i c elements and would, i f such i n f o r m a t i o n was important, choose to send the document by o t h e r means. 62 as non-records. Documents c r e a t e d o u t s i d e the scope of an admin-i s t r a t i v e a c t i v i t y , i f they are maintained a t a l l , do not f a l l i n t o the category of r e c o r d s . The q u e s t i o n of how to c a t e g o r i z e those c r e a t e d i n the conduct of business but not preserved i s moot. F i n a l l y , i t can be seen t h a t , from the t h e o r e t i c a l p o i n t of view, s o - c a l l e d working papers can be c o n s i d e r e d r e c o r d s , depending on the circumstances of t h e i r maintenance and use. They may provide t h e i r c r e a t o r with u s e f u l i n f o r m a t i o n which i s not found elsewhere, and so may be maintained as r e c o r d s f o r whatever p e r i o d i s deemed necessary. Note that the length of time that a document should be kept i s not c o n s i d e r e d i n the d e f i n i t i o n of r e c o r d s , which r e q u i r e s o n l y that they be preserved long enough to f u l f i l t h e i r pur-p o s e d ) . 3 I The o t h e r t h i n g that one can conclude i s t h a t , even i f one accepts non-records as a document category, f a c s i m i l e documents should not a u t o m a t i c a l l y be i n c l u d e d . Again, a r e c o r d can be d e f i n e d as i n f o r m a t i o n recorded on any medium ( i . e . a document), c r e a t e d or r e c e i v e d by a p h y s i c a l or j u r i d i c a l person i n the conduct of a c t i v i t i e s , and maintained f o r a s p e c i f i c purpose. T h i s d e f i n i t i o n , as has been demonstrated, i s c o n s i s t e n t with l e g a l , s t a t u t o r y , and a r c h i v a l views. The f a c t t h a t a document i s the product of a f a c s i m i l e t r a n s m i s s i o n i s i r r e l e v a n t ; i f i t was r e c e i v e d and used dur i n g a s p e c i f i c a c t i v i t y , and preserved f o r as long as necessary, i t must be c o n s i d e r e d a r e c o r d . I t i s a l s o L i v e l t o n , 72-73n; Peterson and Peterson, 15. 63 immaterial i f the f a c s i m i l e has been recorded on thermal paper, which r e t a i n s i t s message f o r a maximum of f i v e y e a r s ; as i t was noted e a r l i e r , whether or not a medium has a c e r t a i n degree of permanence has no bearing on whether a document recorded upon i t f u l f i l s the d e f i n i t i o n of r e c o r d . It i s now necessary to determine what type of records f a c s i m i l e s a r e . T h i s i s done by examining both the medium by which i n f o r m a t i o n i s carried, and the medium on which the i n f o r m a t i o n i s maintained. At f i r s t g l ance, a f a c s i m i l e i s simply a s p e c i a l v a r i e t y of paper r e c o r d — " s p e c i a l " because of the manner of i t s t r a n s m i s s i o n and r e c o r d i n g . In t h i s sense f a c s i m i l e s are s i m i l a r to telegrams and t e l e x e s i n that they are products of the t r a n s m i s s i o n of i n f o r m a t i o n by e l e c t r o n i c means. These types of r e c o r d s have always been t r e a t e d l i k e other t e x t u a l r e c o r d s , i n s p i t e of the f a c t that the method of t h e i r t r a n s m i s s i o n — t h e y are produced by e l e c t r o n i c d e v i c e s which "read" the i n f o r m a t i o n d u r i n g t r a n s -m i s s i o n — h a s r e c e n t l y led some a u t h o r i t i e s to i n c l u d e them i n the 32 category of e l e c t r o n i c r e c o r d s . Before going f u r t h e r , i t i s worthwhile to d e f i n e what i s meant by " e l e c t r o n i c r e c o r d s " or "machine-readable r e c o r d s " . Not a l l a u t h o r i t i e s agree on the proper d e f i n i t i o n . Most s t a t e that the term "machine" r e f e r s to a computer, so t h a t machine-readable r e c o r d s are those which are c r e a t e d and read using computers. For E l e c t r o n i c Records G u i d e l i n e s . 83. 64 example, a c c o r d i n g to the Na t i o n a l A r c h i v e s o-f the United S t a t e s , such r e c o r d s c o n s i s t o-f "data i n a -form that can be read and processed by a computer and that s a t i s f y the l e g a l d e f i n i t i o n of a r e c o r d " . 3 3 T h i s i s a l s o the d e f i n i t i o n accepted by the B r i t i s h Columbia A r c h i v e s and Records S e r v i c e , which d e f i n e s machine-readable r e c o r d s as i n f o r m a t i o n which i s w i t h i n the o v e r a l l d e f i n i t i o n of government r e c o r d s and which i s c o n t a i n e d on a r e c o r d i n g medium... s p e c i f i c a l l y used by e l e c t r o n i c data p r o c e s s i n g (EDP) equipment. 3 4 Looking beyond s t a t u t e s and r e g u l a t i o n s to works by a r c h i v a l t h e o r i s t s , one f i n d s that Harold Naugler d e f i n e s machine-readabie or "processab1e" i n f o r m a t i o n as "data c r e a t e d with the use of a computer [and] which r e q u i r e s access to a computer i n order to be transformed i n t o a form that i s read a b l e by p e o p l e " ; ^ a machine-reada b l e r e c o r d , t h e r e f o r e , i s a document (recorded i n f o r m a t i o n ) which both c o n t a i n s such i n f o r m a t i o n and f u l f i l s the requirements of a r e c o r d o u t l i n e d e a r l i e r . The American archival g l o s s a r y takes a s i m i l a r approach by arguing that machine-readable r e c o r d s c o n t a i n i n f o r m a t i o n which " i s u s u a l l y i n code... [and] i s r e t r i e v a b l e o n l y by machine" . 3' 3 3 Managing E l e c t r o n i c Records, N a t i o n a l A r c h i v e s and Records A d m i n i s t r a t i o n I n s t r u c t i o n a l Guide S e r i e s (Washington, D.C: N a t i o n a l A r c h i v e s and Records A d m i n i s t r a t i o n , O f f i c e of Records A d m i n i s t r a t i o n , 1990), 1. 3* A d m i n i s t r a t i v e Records C l a s s i f i c a t i o n System, 38. 3^ H a r o l d Naugler, The Arc hi va1 Appraisa1 of Machine-Readable  Records: A RAMP Study With G u i d e l i n e s ( P a r i s : UNESCO, 1984): 14. 3* Evans, e t . a l . , 425. 65 In c o n t r a s t to t h i s "narrow" d e f i n i t i o n of machine-readable r e c o r d i s that s u p p l i e d by ACCIS, which i n c i d e n t l y p r e f e r s the a d j e c t i v e " e l e c t r o n i c " . By i t s own admission, ACCIS takes an e s p e c i a l l y broad view of what e l e c t r o n i c i n f o r m a t i o n i s , d e f i n i n g i t as a l l machine-readable i n f o r m a t i o n except o p t i c a l micro-photographic images that would be human readable except f o r s i z e r e d u c t i o n Cthat i s , what would be needed to read i t i s not any machine, but simply a microscope or a magnifying g l a s s l . 3 7 A l s o , the term "machine" i s not l i m i t e d to computers, but i n c l u d e s a l l manner of d e v i c e s , i n c l u d i n g f a c s i m i l e machines, as input and t r a n s m i s s i o n d e v i c e s . 3 8 The general idea i s that when a r c h i v i s t s and records managers d e f i n e e l e c t r o n i c r e c o r d s , they should c o n s i d e r not o n l y the means of t r a n s c r i p t i o n of i n f o r m a t i o n and the medium on which i t i s s t o r e d , but a l s o the means of i n p u t and t r a n s m i s s i o n of that 39 i n f o r m a t i o n . As mentioned e a r l i e r , c e r t a i n types of r e c o r d s — i n p a r t i c u l a r t e l e g r a p h , t e l e x , and f a c s i m i l e — a r e c r e a t e d as end products of the e l e c t r o n i c t r a n s m i s s i o n of i n f o r m a t i o n , and because of t h i s may be c o n s i d e r e d to be e l e c t r o n i c r e c o r d s . If one accepts t h i s p o s i t i o n , a l l f a c s i m i l e s , whether p r i n t e d on computer d i s k or on paper, should be c o n s i d e r e d to be e l e c t r o n i c r e c o r d s . When one c o n s i d e r s that what s e t s a f a c s i m i l e apart from E l e c t r o n i c Records G u i d e l i n e s . 81. 3 8 I b i d . 3 9 I b i d . , 81 , 83.. 66 other -forms of w r i t t e n communication i s how i t i s t r a n s m i t t e d , t h i s makes some sense. A l s o , there i s the f a c t t h a t PC-fax systems are now combining f a c s i m i l e and computer technology, as d i s c u s s e d i n the previous c h a p t e r . I t might be l o g i c a l to c l a s s a l l fax documents as e l e c t r o n i c i n nature to take t h i s i n t o account. There are, however, s e v e r a l o b j e c t i o n s to t h i s argument. F i r s t , a r e c o r d i s i d e n t i f i e d by the f a c t t h a t i t s i n f o r m a t i o n i s communicated or i s communicable, which i m p l i e s t r a n s m i s s i o n . In other words, communication or t r a n s m i s s i o n d e f i n e s the r e c o r d , not the type of r e c o r d . Second, no o t h e r type of r e c o r d i s d e f i n e d a c c o r d i n g to how i t i s t r a n s m i t t e d . For example, when they develop c l a s s i f i c a t i o n schemes, a r c h i v i s t s and records managers do not d i s t i n g u i s h between documents r e c e i v e d by r e g u l a r mail from those r e c e i v e d by c o u r i e r . Rather, they may d i s t i n g u i s h a c c o r d i n g to the media on which i n f o r m a t i o n i s s t o r e d — t h u s , i n an a r c h i v e s , both a u d i o - v i s u a l and machine-readable records may be handled by d i f f e r e n t d i v i s i o n s or s e c t i o n s . The l a t t e r p o i n t i s a l s o made by Fred D i e r s i n h i s a r t i c l e on the " i n f o r m a t i o n media matrix". He makes no r e a l d i s t i n c t i o n between paper, microform, and machine-readable r e c o r d s , arguing t h a t they a l l must be c o n s i d e r e d together as p a r t of the matrix.'" When media are d i s t i n g u i s h e d from each o t h e r , i t i s done a c c o r d i n g to how they s t o r e i n f o r m a t i o n : D i e r s ' c a t e g o r i e s take i n t o account Fred V. D i e r s , "The Information Media M a t r i x : A S t r a t e g i c Planning T o o l " , ARMA Records Management Q u a r t e r l y ( J u l y 1989): 17-23. 67 p r i n t i n g , m i n i a t u r i z a t i o n , d i g i t i z a t i o n , and analog coding. Transmission i s not taken i n t o account when d e f i n i n g media: i n h i s words, " C i I n f o r m a t i o n s t o r a g e i s the f i r s t d e f i n a b l e element of the m a t r i x " . 4 1 If D i e r s ' p o i n t i s accepted, then i t would seem that f a c -s i m i l e s can be c o n s i d e r e d to be e i t h e r paper or machine-readable i n nature, depending on the medium—paper or d i s k — o n which they are recorded. I t i s to be remembered t h a t , with PC-fax, t r a n s -mitted documents can appear e i t h e r on paper or on a computer scree n , and t h a t they can a l s o be saved on d i s k . Moreover', i f a fax machine f e a t u r e s c o n f i d e n t i a l r e c e p t i o n , t r a n s m i t t e d documents 4? are s t o r e d i n memory u n t i l the proper password i s entered; u n l e s s the u n i t i s programmed to erase the s t o r e d message a f t e r p r i n t i n g , the document e x i s t s i n both paper and e l e c t r o n i c form. It i s these p o i n t s which throw i n t o sharp r e l i e f one of the problems which face records managers and a r c h i v i s t s when they deal with f a c s i m i l e s d u r i n g a p p r a i s a l . In what form should f a c s i m i l e documents be preserved? I b i d . , 20. Quinn, 44; Mackay, 612. 68 CHAPTER FOUR: FACSIMILE DOCUMENTS AS "RECORDS"— PRACTICAL CONSIDERATIONS Fax documents may be records on the b a s i s o-f archival theory; however, are they accepted as such i n the " r e a l world"? T h i s i s s u e s t i l l has to be examined i n the con t e x t s i n which such matters are decided and such d e c i s i o n s implemented: r e s p e c t i v e l y , i n the context o-f the law and the c o u r t s , and i n the co n t e x t of o r g a n i z a -t i o n s . In the common law system, documents presented i n c o u r t as evidence o-f -facts - f a l l under the "hearsay r u l e " . T h i s r u l e re-fers to testimony given by a witness which i s based on i n f o r m a t i o n learned from another person r a t h e r than on d i r e c t personal e x p e r i e n c e . The r e l i a b i l i t y of such testimony i s dependent on the r e l i a b i l i t y of that second person, who i s not present i n c o u r t and can be n e i t h e r sworn as a witness nor cross-examined; thus, t h i s type of evidence i s i n a d m i s s i b l e . To put i t i n layman's terms, evidence cannot be given second-hand. There are e x c e p t i o n s to t h i s r u l e ; however, they are not always d e f i n i t i v e l y determined. The c o u r t s are allowed to "modify e s t a b l i s h e d c r i t e r i a and... c r e a t e e n t i r e l y new c r i t e r i a -for the a d m i s s i b i l i t y of a l l forms of evidence...".' J u s t as the r e l i a b i l i t y of hearsay testimony i s dependent on that of the o r i g i n a l source, the r e l i a b i l i t y of a document as proof of the t r u t h of i t s own c o n t e n t s i s dependent on Ewart e t . a l . , 12-13. 69 t h a t of i t s author and any other person who s u p p l i e d the informa-t i o n c o n t a i n e d i n i t . If none of these persons i s present i n 2 c o u r t , the document i s normally c o n s i d e r e d hearsay. Documents may only be admitted as evidence of the i n f o r m a t i o n they c o n t a i n i f they are r u l e d to f a l l under an e x c e p t i o n to the hearsay r u l e . Such ex c e p t i o n s are based on two p r i n c i p l e s . The f i r s t i s that of n e c e s s i t y , when no b e t t e r evidence i s a v a i l a b l e . The second p r i n c i p l e i s that of t r u s t w o r t h i n e s s , when the docu-ment's r e l i a b i l i t y i s demonstrable. 3 Before i t becomes a d m i s s i b l e , a document must be a u t h e n t i -c a t e d ; there are a number of ways of doing t h i s . One i s by d i r e c t e v i d e n c e : the document i s i d e n t i f i e d as genuine by the w r i t e r , a s i g n a t o r y , or a witness to the w r i t i n g or the s i g n i n g of the o r i g i n a l . Another i s by i n d i r e c t evidence. The handwriting or t y p e w r i t i n g of the document may be i d e n t i f i e d by a witness who r e c o g n i z e s them, or compared with handwriting or t y p e w r i t i n g found i n o t h e r documents. There i s a l s o the " r e p l y l e t t e r " d o c t r i n e , i n which a witness t e s t i f i e s that he/she has r e c e i v e d the document i n q u e s t i o n i n response to an e a r l i e r message which had been sent to the a l l e g e d author of the document.*' The a u t h e n t i c i t y of c e r t a i n 2 I b i d . . 13 i I b i d . , 13-14; Anthony F. Sheppard, Evidence (Toronto C a r s w e l l , 1988), 349. * Sneppard, 350. 70 documents may a l s o be proven by p r e s e n t i n g the signed c e r t i f i c a t e or a f f i d a v i t of a p u b l i c o f f i c i a l . ^ F i n a l l y , the circumstances of the document's c r e a t i o n can be used to demonstrate i t s i n h e r e n t r e l i a b i l i t y . For example, a document i s a d m i s s i b l e as proof of i t s contents " i f the document was made or kept i n the usual and o r d i n a r y course of b u s i n e s s " , and i f i t was standard o p e r a t i n g procedure to r e c o r d the statement of f a c t which i t c o n t a i n s a t any time. 4 In such a case, the pro-cedures of c r e a t i o n are i n themselves c i r c u m s t a n t i a l guarantees of t r u s t w o r t h i n e s s . Before the development of the p r i n t i n g p r e s s , c o p i e s of documents were not a d m i s s i b l e as evidence because they were reproduced by hand and t h e r e f o r e s u b j e c t to human e r r o r or f r a u d . T h i s argument was e v e n t u a l l y a p p l i e d to p r i n t e d documents as w e l l , presumably because i t was thought that those who s e t the type were j u s t as prone to e r r o r as those who copied by hand. T h i s was one of the f a c t o r s which led to the development of the "best evidence r u l e " . 7 I b i d . , 352. Under c e r t a i n c i r c u m s t a n c e s — f o r example, " a n c i e n t " documents (those which are a t l e a s t 20-30 years o l d ) which are "produced from proper c u s t o d y " — t h e a u t h e n t i c i t y of a document i s presumed; i n such cases, f u r t h e r proof of a u t h e n t i c i t y i s c o n s i d e r e d to be unnecessary; see i b i d . , 351, 6 Evidence Act. R.S.B.C. 1979, c. 116, s. 48(1); Ewart e t . a l . , 14. 7 Brown, 18. 71 The r u l e of best evidence a p p l i e s to w r i t i n g , i n s c r i p t i o n s , tape r e c o r d i n g s , or i n f o r m a t i o n s t o r e d on computer. O r i g i n a l l y , i t meant that o n l y the most r e l i a b l e evidence was a d m i s s i b l e i n c o u r t . I t excluded any evidence " t h a t was l e s s than the best", which meant that o n l y o r i g i n a l documents were a d m i s s i b l e . T h i s s t i p u l a t i o n , however, i s no longer c o n s i d e r e d b i n d i n g ; today, "the best evidence r u l e i s c o n f i n e d to cases i n which i t can be shown th a t the p a r t y has the o r i g i n a l and c o u l d produce i t but does o not". The r u l e changed when photography and, l a t e r , photocopy-i n g — w i t h t h e i r reduced c a p a c i t y f o r human e r r o r — d i m i n i s h e d the weight of the o r i g i n a l argument. 1 0 The modern view of the law of evidence tends to favour expanded a d m i s s i b i l i t y . 1 1 Today, there are a number of common law and s t a t u t o r y e x c e p t i o n s to the best evidence r u l e which allow c o p i e s to be produced i n c o u r t . Thus, "best evidence" provided by an o r i g i n a l document i s c a l l e d primary evidence, while that provided by 17 anything e l s e , i n c l u d i n g c o p i e s , i s known as secondary evidence. S t a t u t e s may s p e c i f y the types of secondary evidence which are a d m i s s i b l e , and exclude o t h e r s . Common law p r i n c i p l e s , however, Sheppard, 355. 9 R_ v_ Wayte (1983) 76 Cr. App. R. 110, 176 (per Beldam J . ) , quoted i n C h r i s Reed, " A u t h e n t i c a t i n g E l e c t r o n i c M a i l M e s s ages— Some E v i d e n t i a l Problems", The Modern Law Review 52 (September 1989): 652. 1 0 Brown, 18. 1 1 Ewart e t . a l . , 6. 1 2 Sheppard, 355. 72 while they may de-fine the circumstances under which secondary evidence may be admitted, do not l i m i t or s p e c i f y a d m i s s i b i l i t y . 1 5 Determining which o-f s e v e r a l c o p i e s of a document c r e a t e d i n a t r a n s a c t i o n i s the o r i g i n a l i s d i f f i c u l t because of modern i n f o r m a t i o n s t o r a g e and r e p r o d u c t i o n methods. However, d u p l i c a t e or m u l t i p l e o r i g i n a l s , which are c r e a t e d a t the same i n s t a n t , are a l l c o n s i d e r e d primary evidence. The same a p p l i e s to a carbon copy 14 made s i m u l t a n e o u s l y with the " o r i g i n a l " or top copy. Carbon c o p i e s are c o n s i d e r e d to be " d u p l i c a t e o r i g i n a l s " , because they are c r e a t e d a t the same time. T h i s p o i n t i s e s p e c i a l l y important i n cases when both the o r i g i n a l and the carbon(s) are supposed to show a s i g n a t u r e . Machine c o p i e s or photocopies of paper documents are con-s i d e r e d to be secondary evidence, because r e p r o d u c t i o n f o l l o w s c r e a t i o n of the o r i g i n a l . " There has always been some r e s i s t a n c e to a c c e p t i n g "machine c o p i e s " as evidence. However, as e a r l y as 1898 i n A u s t r a l i a they were d e c l a r e d a d m i s s i b l e i n c e r t a i n c i r c u m s t a n c e s. S e c t i o n 34 of the New South Wales Evidence Act of tha t year allowed them to be submitted as evidence i f i t could be proven i n c o u r t " t h a t the [ f a c s i m i l e impression or copy! was taken or made from the o r i g i n a l w r i t i n g by means o f . . . Ca co p y i n g ! 13 I b i d 360. 14 I b i d 358. • » 15 Ewart e t . a l 25-27. 16 Sheppard, 359. 73 machine...". 1 7 One a u t h o r i t y notes that the word " f a c s i m i l e " means "exact copy", which i s what a photocopier produces, and that the c o u r t s "have r e g u l a r l y accepted f a c s i m i l e s i g n a t u r e s produced by 1 0 rubber or other stamps". I t should a l s o be noted t h a t , l i k e p h o t o c o p i e r s , fax machines produce exact c o p i e s of documents, and so one would think that c o p i e s produced by them would be j u s t as v a l i d as r e g u l a r photocopies. By 1967 the circumstances under which a machine copy c o u l d be admitted were more p r e c i s e l y d e f i n e d . S e c t i o n 2 of the New South Wales Evidence (Reproductions) Act d e f i n e d a machine copy as a copy of the document made by a machine performing a p r o c e s s — (a) i n v o l v i n g the p r o d u c t i o n of a l a t e n t image by chemical means or otherwise Ce.g. photographic p r o c e s s ] ; or (b) t h a t , without the use of p h o t o s e n s i t i v e m a t e r i a l , produces the copy of the document s i m u l t a n e o u s l y with the making of the document Ce.g. carbon c o p i e s ] . 1 ' In the United S t a t e s the lack of simultaneous c r e a t i o n , a d e s i r e to a v o i d copy e r r o r s , and concerns about fraud have led the c o u r t s to t r e a t photocopies i n a more r e s t r i c t i v e f a s h i o n than carbon c o p i e s . The l o s s of e x t r i n s i c elements such as watermarks, ink c o l o u r s , and attached stamps or s e a l s , makes i t d i f f i c u l t to a u t h e n t i c a t e a photocopy, while the ease with which words and images can be covered or changed dur i n g copying makes f o r g e r y r e l a t i v e l y easy. A d i f f e r e n t view i s taken i n the United Kingdom, Quoted i n Brown, 21. Brown, 21-23. Quoted i b i d . , 26. 1 74 however. There, i t has been d e c l a r e d that the f a c t that a document can be a l t e r e d or forged does not i n i t s e l f render i t inadmis-s i b l e . 2 0 In Canada, a photocopy i s g e n e r a l l y c o n s i d e r e d to be an "a c c u r a t e r e p r o d u c t i o n " of the o r i g i n a l document. The r e a s o n i n g behind t h i s i s s i m i l a r to that used i n B r i t a i n . In the words of an O n t a r i o P r o v i n c i a l Court judge, the f a c t and the r e l i a b i l i t y of the p h o t o s t a t i c ' c o p y i n g machine i s a matter of such common ex p e r i e n c e that i t needs no person to vouch f o r i t . . . . That i s not to say that a p h o t o s t a t i c copying machine i s f o o l p r o o f or cannot be tampered with or cannot be so manipulated that i t produced something other than a true copy.... But s u r e l y , these are matters which go to the weight to be a t t r i b u t e d to a p h o t o s t a t i c copy, not to i t s a d m i s s i b i l i t y . 2 ' The reason f o r going i n t o these d e f i n i t i o n s and l e g a l nuances in such d e t a i l i s to demonstrate t h a t , under c e r t a i n c i r c u m s t a n c e s , c o p i e s of documents are as l e g a l l y e f f e c t i v e as the documents themselves. Thus, whether faxes are regarded as c o p i e s , or as o r i g i n a l documents i n t h e i r own r i g h t , they can be a t t r i b u t e d v a l u e as evidence, and are t h e r e f o r e worthy of r e t e n t i o n . If no major problem i s presented by the nature of f a c s i m i l e s on paper, the c i r c u m s t a n c e s of the e l e c t r o n i c t r a n s m i s s i o n and of the e l e c t r o n i c form of the fax, no matter how temporary that form i s , can cause a u t h e n t i c a t i o n problems. O r i g i n a l l y , fax technology was l i m i t e d i n i t s o p t i o n s , so that both senders and r e c i p i e n t s ' v Ewart e t . a l . , 27-2B. 2 1 R_ v_ Lutz (1978), 44 C.C.C. (2d) 143 (per Langdon, Ont. P.C.J. ), quoted i b i d . , 28. See a l s o Evidence Ac t, supra. note 6, s. 4B(2). 75 used d e d i c a t e d machines which would p r i n t out a paper document immediately upon r e c e i p t , and onl y once. I t was there-fore easy to a u t h e n t i c a t e the fax by the sender's s i g n a t u r e . Recent develop-ments i n fax technology have changed t h i s s i t u a t i o n , however. Documents can now be sent and r e c e i v e d v i a computer. The f a c t that a t r a n s m i t t e d document can be r e c e i v e d i n RAM (random access memory) and then t r a n s f e r r e d onto d i s k and s t o r e d u n t i l i t i s needed means t h a t there i s o p p o r t u n i t y f o r the document to be 27 a l t e r e d before being p r i n t e d . Such a l t e r a t i o n s a l s o leave no evidence of having o c c u r r e d — t h e o r i g i n a l s t r u c t u r e of an a l t e r e d e l e c t r o n i c document may as we l l have never e x i s t e d . At the same time, one of the foundations of modern democracy i s the n e c e s s i t y of p u b l i c a c c o u n t a b i l i t y on the pa r t of government and p r i v a t e e n t i t i e s . The onl y way to r e c o n c i l e these two f a c t o r s — t h e use of e l e c t r o n i c i n f o r m a t i o n systems f o r c a r r y i n g out government a f f a i r s and the need f o r a c c o u n t a b i l i t y — i s f o r e l e c t r o n i c i n f o r m a t i o n systems to ensure that a u d i t t r a i l s are maintained. They would demonstrate the r e l i a b i l i t y of such systems and thus help to a u t h e n t i c a t e documents c r e a t e d by them. There are two l i k e l y areas of d i s p u t e concerning a fax document maintained, even f o r a s h o r t time, i n e l e c t r o n i c form. One i s where the sender denies that the document s t o r e d i n the " Reed, 650-1. 23 N a t i o n a l A r c h i v e s and Records A d m i n i s t r a t i o n , N a t i o n a l H i s t o r i c a l P u b l i c a t i o n s and Records Commission, E l e c t r o n i c Records  Issues: A Report to the Commission (Commission Reports and Papers No. 4, March 1990), 4. 76 r e c i p i e n t ' s computer was the one that was sent; the other i s where both p a r t i e s acknowledge that the r e c e i v e d document, whether on paper or i n a computer, i s the same as that which was o r i g i n a l l y sent, but the sender c l a i m s that i t s contents d i f - f e r -from what was 24 i n the " o r i g i n a l " document. What the c o u r t s r e q u i r e i s evidence ( o u t s i d e the document i t s e l f ) t h a t would co n f i r m the i d e n t i t y of the sender and the genuineness of the document's c o n t e n t s . New fax technology p r o v i d e s some ways of g e t t i n g around such e v i d e n t i a r y problems. Some fax machines have e r r o r r e p o r t c a p a b i l i t i e s — t h a t i s , when problems are encountered while a document i s being sent or r e c e i v e d , the machine w i l l i d e n t i f y the problem and p r i n t out an e r r o r r e p o r t . The r e p o r t w i l l i n d i c a t e the pages a f f e c t e d by the 2g m a l f u n c t i o n , and the pages can then be r e - s e n t . "Memory fax" i s another new f e a t u r e of some f a c s i m i l e machines, used when the same document i s to be sent to d i f f e r e n t l o c a t i o n s at the same time. The fax number of each d e s t i n a t i o n i s programmed i n t o the memory of the t r a n s m i t t i n g machine, and then the o r i g i n a l document i s loaded i n t o the machine. The machine w i l l a u t o m a t i c a l l y telephone each r e c e i v i n g machine and tr a n s m i t the document to them. The numbers are r e t a i n e d i n memory, and so can 2A serve as evidence of t r a n s m i t t a l . I b i d . , 650. Quinn, 44. Mackay, 612. 77 Some evidence o f i t s a u t h e n t i c i t y normally can be found i n the fax t r a n s m i s s i o n i t s e l f . Both t r a n s m i t t i n g and r e c e i v i n g machines send messages i d e n t i f y i n g themselves to each ot h e r , "and i t could be argued t h a t , so f a r as the t r a n s m i t t i n g machine i s concerned, 77 these messages amount to a s i g n a t u r e " . T r a d i t i o n a l l y , according to the law of evidence, the contents of the document cannot be used to a u t h e n t i c a t e i t . The i d e n t i f i c a t i o n message, however, i s s i m i l a r to the " r e p l y l e t t e r d o c t r i n e " d i s c u s s e d above i n that i t i n v o l v e s circumstances o u t s i d e the a c t u a l document. But there are three drawbacks to the use of such i d e n t i f i c a t i o n messages as means of a u t h e n t i c a t i o n . The f i r s t , and most obvious, i s the f a c t t h at such messages i d e n t i f y the machine, but not n e c e s s a r i l y the sender; u n l e s s there are some s e c u r i t y arrangements a s s o c i a t e d with the o f f i c e or the machine i t s e l f , anyone co u l d send a document through that machine and the a c t u a l source would not be i d e n t i f i a b l e with c e r t a i n t y . The second problem i s that a f a l s e i d e n t i f i c a t i o n message can be sent by PC-fax by reprogramming the computer's fax c a r d . F i n a l l y , i f an incoming document i s s t o r e d on d i s k before i t i s p r i n t e d out, the r e c i p i e n t has the o p p o r t u n i t y to e d i t both 78 the c ontents and the i d e n t i f i c a t i o n message as d e s i r e d . An a l t e r n a t i v e i s to use a " d i g i t a l s i g n a t u r e " or code, which i d e n t i f i e s the sender, w i t h i n the message i t s e l f . Because i t i s an i n t e g r a l p a r t of the message, any attempt to change the message " Reed, 654. 2 8 I b i d . 78 would be i n c o m p a t i b l e with the s i g n a t u r e . The complexity o-f these codes makes them cumbersome to deal with, but t h i s i s a l s o a 29 guarantee of t h e i r s e c u r i t y . There are fax machines on the market with an e n c r y p t i o n f e a t u r e that allows them to put t r a n s m i s s i o n s i n t o code; however, they are designed to t r a n s m i t o n l y to i d e n t i c a l u n i t s . Other methods of a u t h e n t i c a t i o n are more a d m i n i s t r a t i v e than t e c h n o l o g i c a l i n nature. When s e v e r a l PCs are l i n k e d together i n a l o c a l area network (LAN), one fax machine can serve the e n t i r e system. Such a set-up i s more e f f i c i e n t than having one fax machine f o r every t e r m i n a l , and a d m i n i s t r a t i v e tasks can be c e n t r a l i z e d . Documents t r a n s m i t t e d by fax can be d i r e c t e d to the a p p r o p r i a t e o p e r a t o r ( s ) w i t h i n the LAN. More i m p o r t a n t l y , they can be t r a c e d by the system a d m i n i s t r a t o r using the t r a n s m i s s i o n l o g , which c o n t a i n s data about senders, r e c i p i e n t s , and the d u r a t i o n of each c a l l . Thus, documents sent by f a c s i m i l e can be t r a c e d and i d e n t i f i e d . 3 1 Being a b l e to t r a c e a document using the log can a l s o a i d i n a u t h e n t i c a t i n g the contents of the f a c s i m i l e because, i f the o r i g i n a l i s maintained by the sender as p a r t of normal business i n a secure system, the i d e n t i f i c a t i o n of a document with r e s p e c t to i t s sender would allow a comparison between the o r i g i n a l and the f a c s i m i l e v e r s i o n which w i l l serve to i d e n t i f y the c o n t e n t s . " I b i d . , 656-60. 3" G u i d e l i n e s on F a c s i m i l e Transmission S e c u r i t y (Toronto: Information and P r i v a c y Commissioner, 1989), 3. 3 1 Natraj , 23. 79 An " i n t e r m e d i a r y " can be used d u r i n g the t r a n s m i s s i o n ; there are s p e c i a l communications s e r v i c e s which c o n f i r m that a document has been sent, r e c e i v e d by the s e r v i c e , and then passed on to i t s u l t i m a t e d e s t i n a t i o n . The process, however, i s cumbersome, and o n l y i d e n t i f i e s the source and r e c i p i e n t of the t r a n s m i s s i o n , not TO i t s c o n t e n t s . Some f a c s i m i l e machines come equipped with k e y l o c k s , s i m i l a r to those a v a i l a b l e f o r personal computers. When they are locked, such machines can n e i t h e r t r a n s m i t messages nor p r i n t out incoming documents; thus, only a u t h o r i z e d documents are sent out, and there i s no chance f o r incoming documents to be tampered with. For the system to be e f f e c t i v e , there must be one designated key-holder; while t h i s may not be p r a c t i c a l i f the machine i s meant f o r general use, i t does provide s e c u r i t y . 3 3 Perhaps the most important f e a t u r e o f f e r e d by today's fax machines, with r e s p e c t to a u t h e n t i c a t i n g f a c s i m i l e documents, i s the t r a n s a c t i o n r e p o r t . The r e p o r t s t a t e s the time, date, and fax number to which the document was s e n t . When used f o r sending c o u r t documents, i t ser v e s the same f u n c t i o n as a r e t u r n r e c e i p t f o r r e g i s t e r e d m a i l , or an a f f i d a v i t . As one observer put i t , "the a c c o u n t a b i l i t y provided by t r a n s a c t i o n r e p o r t s and the recognized r e l i a b i l i t y of today's fax machines w i l l p r ovide the a c c o u n t a b i l i t y Reed, 655. G u i d e l i n e s on Facsimi1e Transmission S e c u r i t y . 4. 80 necessary to meet the l e g a l and c o n s t i t u t i o n a l requirements -for s e r v i c e of p r o c e s s " . 3 4 When an e l e c t r o n i c r e c o r d i s to be a u t h e n t i c a t e d , one must be ab l e to determine the date of i t s c r e a t i o n , the dat e ( s ) of any a l t e r a t i o n ( s ) , and whether the document had i n f a c t been is s u e d by the a p p r o p r i a t e o f f i c i a l ; otherwise, the rec o r d ' s t r u s t w o r t h i n e s s w i l l be questi o n e d . However, such f a c t o r s are a l s o taken i n t o account by re c o r d s management systems which deal with o r d i n a r y paper r e c o r d s . T h e r e f o r e , a c c o r d i n g to the N a t i o n a l A r c h i v e s of the United S t a t e s , "computer—based records pose no g r e a t e r l e g a l problems than do paper or microphotographic r e c o r d s , u n l e s s there are s p e c i f i c s t a t u t o r y or r e g u l a t o r y requirements f o r paper records". 3** Thus, the a u t h e n t i c a t i o n of fax documents, and t h e r e f o r e t h e i r l e g a l v a l u e , appears to depend on the s e c u r i t y of both t r a n s m i s s i o n and storage procedures. In a n c i e n t Greece and Rome, a r c h i v a l documents gained v a l i d i t y and a u t h o r i t y by being r e c e i v e d and s t o r e d a c c o r d i n g to e s t a b l i s h e d procedures i n a designated p l a c e . 3 4 Today, e l e c t r o n i c r e c ords are a u t h e n t i c a t e d by the s e c u r i t y of e l e c t r o n i c s t o r a g e . The two s i t u a t i o n s are p a r a l l e l , as i s the case of the B r i t i s h Columbia Court of Appeal R e g i s t r y , where c o u r t documents r e c e i v e d by fax t r a n s m i s s i o n are, i n a sense, a u t h e n t i -" S o k a s i t s , 538. 3"" Managing E l e c t r o n i c Records. 5-_>. 3 4 Luciana D u r a n t i , "The Odyssey of Records Managers (Part I ) " , ARMA Records Management Q u a r t e r l y ( J u l y 1989): 6, 9. 81 c a t e d by t h e i r r e c e i p t and p r o c e s s i n g i n the r e g i s t r y a c c o r d i n g to standard o p e r a t i n g procedures. Where there are two or more v e r s i o n s o-f the same r e c o r d , each d i f f e r i n g s l i g h t l y i n content and/or form, "the o r i g i n a l i s the v e r s i o n of the document that was accepted by any p a r t i e s t h e r e t o as being the v e r s i o n upon which they agreed to o p e r a t e " . 5 7 T h i s 7 0 p r i n c i p l e a p p l i e s to documents produced e l e c t r o n i c a l l y , as w e l l . The i dea corresponds to the concept from d i p l o m a t i c s that the v e r s i o n of a document which f i r s t produces consequences has the 39 f o r c e of the o r i g i n a l . One can now examine how an o r g a n i z a t i o n d e a l s with fax, and from that d e r i v e some general standards f o r the handling o-f fax w i t h i n the records management and a r c h i v a l c ontext. The example chosen i s a c o u r t r e g i s t r y : t h a t of the B r i t i s h Columbia Court of Appeals. The reasons f o r such a c h o i c e are of two o r d e r s : f i r s t , i f s tandard procedures f o r p r o c e s s i n g fax documents can be a p p l i e d i n such an environment, where s t r i c t adherence to l e g a l and admin-i s t r a t i v e p r i n c i p l e s i s of paramount importance, they should be a p p l i c a b l e anywhere; and second, t h i s p a r t i c u l a r c o u r t r e g i s t r y has J / Brown, 18-19. 38 Reed, 653n: "...the o r i g i n a l of an e l e c t r o n i c document i s t h a t v e r s i o n of i t which i s intended to have l e g a l e f f e c t " . 3 9 D u r a n t i , " D i p l o m a t i c s [ P a r t 13", 19. The o r i g i n a l i s the f i r s t v e r s i o n meant to produce e f f e c t s ; p r i m i t i v e n e s s and e f f e c -t i v e n e s s are both necessary p r o p e r t i e s of an o r i g i n a l . The fax, on the other hand, i s a copy with the e f f e c t s of the o r i g i n a l . It' i s not i t s e l f an o r i g i n a l ; at most, i t may make the o r i g i n a l unnecessary i n c e r t a i n c i r c u m s t a n c e s . 82 gone -furthest i n d e v e l o p i n g and a p p l y i n g such s t r a t e g i e s . The concept o-f "due process" i s -fundamental to the modern j u s t i c e system, and r e f e r s to the requirement that a defendant be n o t i f i e d of any l e g a l a c t i o n taken by a c o u r t of law a g a i n s t him, her, o r , i n the case of an i n s t i t u t i o n , i t . T h i s n o t i f i c a t i o n or " s e r v i c e of process" r e q u i r e s the d e l i v e r y of both the i n f o r m a t i o n concerning the a c t i o n being taken and the document i t s e l f . Sending the s e r v i c e of process by fax does both, and f o r doing so i s as e f f e c t i v e and r e l i a b l e as any p o s t a l system or c o u r i e r s e r v i c e . * 0 There i s a long-standing precedent i n the United S t a t e s f o r s e r v i n g process by e l e c t r o n i c means. For a number of years the s t a t e s of Idaho, Montana, and Utah have permitted the t r a n s m i s s i o n by t e l e g r a p h or t e l e t y p e of l e g a l process f o r s e r v i c e upon defendants w i t h i n s t a t e boundaries.*' A l s o , t e l e x was used dur i n g the procedure of s e r v i n g process on I r a n i a n defendants a f t e r the United S t a t e s - I r a n hostage c r i s i s of 1979. 4 2 F a c s i m i l e t r a n s m i s s i o n was o f f i c i a l l y accepted i n the United S t a t e s as a means of s e r v i n g process i n 1988. That year, a New York c o u r t d e c l a r e d "that s e r v i c e of an order to answer i n t e r — r o g a t o r i e s by fax would meet the r e q u i s i t e s of adequate n o t i c e and an o p p o r t u n i t y f o r the defendant to respond as much as any other S o k a s i t s , 539-40. I b i d . , 532, 549. I b i d . , 544-6. 83 method allowed f o r s e r v i c e of n o t i c e II 43 The r u l i n g was i n c o r -porated i n New York's C i v i 1 Practice Law and Rules the same year. It d e c l a r e d t h a t s e r v i c e of c o u r t papers may be done e l e c t r o n -i c a l l y , provided that a telephone number has been designated by the r e c e i v i n g p a r t y f o r such purposes. The sender would r e c e i v e a s i g n a l from the machine of the r e c i p i e n t , i n d i c a t i n g that the t r a n s m i t t e d document had been r e c e i v e d . A copy of the document would then be sent to the o t h e r p a r t y by r e g u l a r mail or c o u r i e r . * * S e v e r a l o t h e r American s t a t e s now allow c o u r t documents to be f i l e d by f a c s i m i l e t r a n s m i s s i o n . For example, s i n c e 1 January 1990, Idaho has allowed fax f i l i n g i n a l l a p p e l l a t e and t r i a l c o u r t s , provided that documents r e q u i r e no f i l i n g fee and are no 45 longer than ten pages. Canadian c o u r t s have a l s o begun a c c e p t i n g documents f i l e d by fax. In 1989 the B r i t i s h Columbia Court of Appeal i n i t i a t e d an experiment to determine the v i a b i l i t y and a c c e p t a b i l i t y of f i l i n g documents i n the c o u r t r e g i s t r y by fax, i n order to improve c o u r t access and reduce a d m i n i s t r a t i v e c o s t s . The c o u r t r e g i s t r y d e c l a r e d that i t would accept most Court of Appeal documents sent by f a c s i m i l e t r a n s m i s s i o n to the r e g i s t r y . However, the Court of Appeal i t s e l f r e t a i n e d the o p t i o n of d e c l a r i n g that a fax copy does not have the f o r c e of an o r i g i n a l and r e f u s i n g to accept such a I b i d • > 546-7 New York C i v i 1 P r a c t i c e Law and Rules. R. 2103(b)(5). 45 Don J . D e B e n e d i c t i s , "Idaho Courts OK Fax", ABA J o u r n a l (May 1990): 19. 84 document. In such a case, the' o r i g i n a l document ( t h a t i s , the document used by the sender f o r the t r a n s m i s s i o n ) must be made a v a i l a b l e f o r production i n c o u r t . 4 ' Almost a l l s t a t u t e s and r e g u l a t i o n s which a u t h o r i z e the s e r v i c e of c o u r t documents by fax i n s i s t on sending the o r i g i n a l of each document by m a i l . While t h i s procedure may seem i n -e f f i c i e n t — " W h y not accept the fax i n p l a c e of the o r i g i n a l , and thus save time, money, and paper?", one might ask — i t has been pointed out that not even decades of using photocopy technology have led to photocopies being r o u t i n e l y accepted i n l i e u of o r i g i n a l s . 4 7 The one e x c e p t i o n i s i n B r i t i s h Columbia, which w i l l be d e s c r i b e d i n d e t a i l s h o r t l y . At f i r s t g l a n c e t h i s l i m i t a t i o n i s q u i t e p u z z l i n g , e s p e c i a l l y s i n c e at l e a s t one author has 10 admitted that "the faxed [document] w i l l be f u l l y e f f e c t i v e " . One problem with a c c e p t i n g c o u r t documents by fax i s i n cases 49 where the o r i g i n a l s i g n a t u r e s are r e q u i r e d . I t i s a l s o argued that m a i l i n g a document a f t e r f a x i n g i s necessary because of the p o s s i b i l i t y of t r a n s m i s s i o n e r r o r , n o n - r e c e i p t of pages, or the r e c e i p t of pages out of o r d e r . M a i l i n g assures the r e c e i p t of an i n t a c t copy, " o b v i a t e s the problems c r e a t e d by the r a p i d d e t e r i o r a -4 6 " F a c s i m i l e P r o j e c t , Court of A p p e a l — P r a c t i c e Notes", The  Advocate 47(4) ( J u l y 1989): 652; " F a c s i m i l e F i l i n g P i l o t P r o j e c t E v a l u a t i o n Report" (Vancouver: B r i t i s h Columbia Court of Appeal R e g i s t r y , 1991): 1 and passim. 4 7 D e B e n e d i c t i s , 20. 4 8 S o k a s i t s , 555. 4 9 D e B e n e d i c t i s , 20. 85 t i o n o-f [thermal] f a c s i m i l e paper", and ensures the r e c i p i e n t that the t r a n s m i s s i o n had, i n f a c t , been made.'" Another r e l e v a n t -factor i s that, as i t has been d i s c u s s e d , with PC-fax a t r a n s m i t t e d document may be r e c e i v e d and then s t o r e d i n memory. The f a c t that a document may not be immediately p r i n t e d out upon r e c e i p t i m p l i e s the p o s s i b i l i t y o-f a l t e r a t i o n or even e r a s u r e , e i t h e r a c c i d e n t a l or d e l i b e r a t e . It i s i n such c a s e s — the s e r v i c e of process v i a P C - f a x — t h a t follow-up m a i l i n g i s a l s o seen as necessary. "The r i s k of sending a t r a n s m i s s i o n when there i s no immediate p r i n t o u t , i f there i s no follow-up m a i l i n g , would r e s u l t i n the p o s s i b i l i t y of n o n - r e c e i p t while the sender has been informed o t h e r w i s e " . " The i n s i s t e n c e on m a i l i n g a f t e r f a x i n g seems to imply that the main purpose of fax i s not so much to exchange documents and in f o r m a t i o n as i t i s to allow the prompt ac t i o n of s e r v i n g n o t i c e . If t h i s i s so, then the content of the fax t r a n s m i s s i o n i s , i n a sense, i r r e l e v a n t , provided that the s e r v i c e i s a c t u a l l y completed by a l a t e r m a i l i n g . T h i s , i n turn, i m p l i e s t h a t the fax t r a n s -mission need only i n c l u d e , say, the f i r s t page of a multi-page document along with a c o v e r i n g l e t t e r . Although t h i s would a l s o George F. C a r p i n e l l o , "A Cautious Approach to S e r v i c e By Fax", Albany Law Review 53 (1988): 156-7. C a r p i n e l l o seems to imply that the thermal fax copy can be d i s c a r d e d once the mailed copy i s r e c e i v e d ; i f so, he i s not taking i n t o account the f a c t t h a t , i f a c t i o n i s taken on the b a s i s of the t r a n s m i s s i o n , the fax a c t s as the o r i g i n a l document with res p e c t to the t r a n s a c t i o n and so cannot be disposed o f . S o k a s i t s , 557-8n. 86 save money, time, and paper, however, such a c t i o n must be con-s i d e r e d an abuse o-f due p r o c e s s , s i n c e s e r v i c e o-f process, as mentioned e a r l i e r , r e q u i r e s communication o-f both the a c t of s e r v i c e and the document. A l s o , such an a c t of s e r v i c e would be o n l y i n c o m p l e t e l y documented, and might t h e r e f o r e be c o n s i d e r e d inva1 i d . When process i s served, the defendant must be a b l e to r e c o g n i z e and understand the process documents, even i f there are i n a c c u r a c i e s . In other words, the documents need not be p e r f e c t , o n l y r e c o g n i z a b l e and understandable so as to be able to accomplish t h e i r purpose. T h i s f a c t would seemingly lessen the weight of one of the main o b j e c t i o n s to s e r v i c e of process by fax: the pos-s i b i l i t y of e r r o r . There are s e v e r a l other f a c t o r s which f u r t h e r reduce t h i s p o s s i b i l i t y . The r i s k t h a t the documents would be sent to the wrong d e s t i n a t i o n would be remote i f the p a r t i e s i n v o l v e d had p r e v i o u s l y been i n communication—a l i k e l y s c e n a r i o i f t h e i r r e l a t i o n s h i p has progressed as f a r as l i t i g a t i o n — b e c a u s e they would l i k e l y have exchanged fax numbers a l r e a d y . A l s o , even i f the faxed documents are m i s d i r e c t e d , the cover sheet sent with them p r o v i d e s the sender's number, so t h a t the p a r t i e s can be n o t i f i e d and the problem r e s o l v e d . If the process i s sent to the c o r r e c t d e s t i n a t i o n but a r r i v e s i n a g a r b l e d or incomplete form, i t can be 52 r e t r a n s m i t t e d . I b i d . , 540-1. 87 The Commercial and F e d e r a l L i t i g a t i o n S e c t i o n o-f the New York S t a t e Bar A s s o c i a t i o n c o n s i d e r s the p r o v i s i o n s -for dual s e r v i c e o-f process to be unnecessary, and the wording o-f some p a r t s of the r u l e to be vague and open to d i s p u t e . ' 3 In p a r t i c u l a r , i t q u e s t i o n s why i s i t c o n s i d e r e d necessary to mail another copy, a f t e r f a x i n g a document, i n order to complete the s e r v i c e , " i n view of the r e l a t i v e r e l i a b i l i t y of fax technology".' 4 In f a c t , the requirement f o r dual s e r v i c e causes i t s own problems. The date of completion of s e r v i c e becomes u n c e r t a i n : i s i t the day of the t r a n s m i s s i o n , the day of sending the mailed copy, or the day of the l a t t e r ' s r e c e i p t ? T h i s i s important i f there i s a p e r i o d of time p r e s c r i b e d by law f o r some purpose which i s measured from the date of s e r v i c e . T h i s would seem to cance l out two of the advantages of fax s e r v i c e : speed and convenience. Or, as one a u t h o r i t y s u c c i n c t l y put i t , "Common sense would suggest that the whole purpose of fax s e r v i c e i s to make s e r v i c e complete upon f a x i n g " The one-year f a c s i m i l e f i l i n g p i l o t p r o j e c t a t the B r i t i s h Columbia Court of Appeal i n Vancouver was e s t a b l i s h e d i n May 1989. Fax f i l i n g of any document up to a maximum of twenty pages was permitt e d , provided t h a t n e i t h e r b i n d i n g nor the pro d u c t i o n of New York S t a t e Bar A s s o c i a t i o n , "New York's New Fax Law: An I n v i t a t i o n to L i t i g a t i o n " , Albany Law Review 53 (1988): 143 and passim. 5 4 I b i d . , 145-6. " New York C i v i l Practice Law and Rules, commentary C. 2103:2 (1989). 88 m u l t i p l e c o p i e s was r e q u i r e d . The r e g i s t r y e s t a b l i s h e d a dedicated •fax l i n e , over which documents had to be sent i f they were to be accepted. Upon r e c e i p t , the faxed document i s processed by r e g i s t r y s t a f f as i f i t had been r e c e i v e d over the counter l i k e any oth e r document—stamped with the date of r e c e i p t , numbered, entered i n the index, and so f o r t h . A f t e r t h i s i s done, the sender r e c e i v e s , by fax, a c o n f i r m a t i o n of r e c e i p t , c o n s i s t i n g of a cover sheet (which s t a t e s i f there are any f i l i n g fees due) and the f i r s t page of the f i l e d document. The sender i s not to send another copy of the- document by r e g u l a r m a i l ; r a t h e r , the c o n f i r m a t i o n of r e c e i p t i s to be kept by the sender on f i l e together with the o r i g i n a l document. The sender i s merely r e q u i r e d to produce the o r i g i n a l i f the c o u r t deems i t necessary. F i l i n g fees are to be paid w i t h i n one week, or before the scheduled c o u r t date, whichever i s e a r l i e r . " S e r v i c e of documents between p a r t i e s by f a c s i m i l e i s a l s o covered by the Court of Appeals experiment. Any acknowledgement of a document which has been sent by one party to another by fax s h a l l be d e c l a r e d by the r e g i s t r a r as proof of s e r v i c e . Any z o b j e c t i o n to such s e r v i c e i s to be made to the p r e s i d i n g judge i n chambers.^ 5 6 " F a c s i m i l e P r o j e c t , Court of A p p e a l — P r a c t i c e Notes", 652-3; " F a c s i m i l e F i l i n g P i l o t P r o j e c t E v a l u a t i o n Report", 1. ^ " F a c s i m i l e P r o j e c t , Court of A p p e a l — P r a c t i c e Notes", 653. According to Rule 26(9) of the B r i t i s h Columbia Rules of Court, i f one party to a c o u r t a c t i o n i s e n t i t l e d to i n s p e c t documents i n the possession of the other p a r t y , i t may request that c o p i e s of those documents be d e l i v e r e d upon payment of the c o s t s of r e p r o d u c t i o n and d e l i v e r y . However, there i s no mention of how such c o p i e s are 89 The r e g i s t r y conducted a survey i n 1990' to determine the r e a c t i o n o-f the p r o v i n c i a l l e g a l community to the fax f i l i n g experiment. The response was g e n e r a l l y f a v o u r a b l e , i n s p i t e of the f a c t that o n l y f i v e f i r m s had used the new s e r v i c e , a c c o u n t i n g f o r l e s s than f i v e p ercent of a l l f i l i n g s . Of the f i r m s that d i d not use fax f i l i n g , over n i n e t y percent s t a t e d that they had been e i t h e r unaware of the p r o j e c t , or unable to use the s e r v i c e (presumably they dad not have access to a fax machine). Never-t h e l e s s , the vast m a j o r i t y of respondents to the survey supported e i t h e r the c o n t i n u a t i o n or the expansion of the fax f i l i n g s e r v i c e . Almost t h r e e - q u a r t e r s of them agreed that fax was more e f f i c i e n t than c u r r e n t f i l i n g methods, and even more s t a t e d that they would 58 make use of an expanded fax f i l i n g s e r v i c e . In the f i n a l a n a l y s i s , fax f i l i n g was seen by the l e g a l community as a p o s i t i v e step, being more e f f i c i e n t than using the r e g u l a r mail system and hence a means towards improving access to the c o u r t s . There was a preference f o r the expansion of the s e r v i c e to the Supreme Court r e g i s t r i e s , with t h e i r higher volume of r e c o r d s and t h e r e f o r e g r e a t e r o p p o r t u n i t i e s f o r use. The one area where there was no consensus was again with r e s p e c t to whether 59 or not o r i g i n a l s must a l s o be f i l e d by m a i l . However, there have to be d e l i v e r e d . S i n c e the t r a d i t i o n under common law i s to allow a n y t h i n g which i s not s p e c i f i c a l l y f o r b i d d e n , i t would appear that sending those c o p i e s by fax should be allowed. ^ " F a c s i m i l e F i l i n g - P i l o t P r o j e c t E v a l u a t i o n Report", 2. 5' I b i d . . 3. 90 been no c h a l l e n g e s to the v a l i d i t y of c o u r t documents f i l e d by fax, or of the procedure i t s e l f . ' 0 I t would thus seem that arguments a g a i n s t r e l y i n g e x c l u s i v e l y on fax are l o s i n g weight. Dn completion of the fax f i l i n g experiment i n May 1990, the Court of Appeals r e g i s t r y decided to expand the s e r v i c e to s e l e c t e d Supreme Court r e g i s t r i e s — c o m m e n c i n g perhaps i n 1991 and c o n t i n u i n g f o r one year. It was thought that t h i s l i m i t e d expansion of the s e r v i c e would allow b e t t e r e v a l u a t i o n of the s e r v i c e without r i s k i n g the a d m i n i a t r a t i v e d i f f i c u l t i e s t h a t a complete implementa-t i o n might cause." In the meantime, fax f i l i n g at the Court of Appeal c o n t i n u e s . In a d d i t i o n , some other g u i d e l i n e s suggested by the O n t a r i o Information and P r i v a c y Commissioner c o u l d a l s o be a p p l i e d . One of them i s that any fax machine which i s used to send or r e c e i v e documents whose a u t h e n t i c i t y must be assured should be placed i n a secure area, and used o n l y by a u t h o r i z e d persons. Other g u i d e l i n e s r e f e r mostly to f e a t u r e s a l r e a d y d i s c u s s e d and are a p p l i c a b l e i n a l l s i t u a t i o n s : c o n f i r m fax numbers p r i o r to t r a n s -m i s s i o n , make use of cover s h e e t s , ensure that the date and time of t r a n s m i s s i o n , the sender's name, l o c a t i o n , and fax number are p r i n t e d on each page, and monitor the t r a n s m i s s i o n l o g . ' 3 '° J e n n i f e r Jordan, R e g i s t r a r , B r i t i s h Columbia Court of Appeal, telephone i n t e r v i e w with author, 27 February 1991. 6 1 " F a c s i m i l e F i l i n g P i l o t P r o j e c t E v a l u a t i o n Report", 4-5. 6 2 Jordan, 27 February 1991. ' 3 Guide 1ines on F a c s i m i l e T r a n s m i s s i o n S e c u r i t y , 7-9. 91 Now that i t has been e s t a b l i s h e d that f a c s i m i l e s are accepted as r e c o r d s i n the l e g a l and a d m i n i s t r a t i v e environments as well as i n a r c h i v a l theory, a t t e n t i o n should be turned to the question brought up at the end of Chapter 3: namely, i n what form should fax documents be preserved? I t has to be remembered t h a t , depending on the medium on which they are recorded, they may be c l a s s e d as e i t h e r paper or e l e c t r o n i c r e c o r d s . Those r e c e i v e d i n paper form can be t r e a t e d l i k e any other such r e c o r d . The o n l y d i f f e r e n c e would be i f thermal paper i s used: i n that case the copying procedures d e s c r i b e d i n Chapter 2 should be a c c e p t a b l e . D e a l i n g with PC-fax records i s not so s t r a i g h t f o r w a r d . O r g a n i z a t i o n s have to decide on the f o r m a t — e l e c t r o n i c or hard c o p y — i n which to preserve r e c o r d s r e c e i v e d and used i n e l e c t r o n i c form. In the end, the c h o i c e may be based on user needs and l e g a l requirements, r a t h e r than on theory.'* It i s not o n l y important to decide i n what medium to preserve end products of e l e c t r o n i c t r a n s m i s s i o n s , i t i s a l s o important, i n cases where e l e c t r o n i c by-products of t r a n s m i s s i o n s e x i s t along with paper end products, to decide whether to keep the i n f o r m a t i o n i n both forms.'^ The d e c i s i o n should be based, at l e a s t i n p a r t , on the u s e f u l n e s s of doing so. Would i t p r o v i d e any advantage to r e t a i n e l e c t r o n i c by-products along with the end products them-s e l v e s ? Numerical i n f o r m a t i o n i n d i g i t a l form can be manipulated E l e c t r o n i c Records G u i d e l i n e s . 61. I b i d . , 105. 92 and used aga i n , and i s there-fore more u s e f u l i n that form than i n hard copy. However, re c o r d s c o n t a i n i n g such data are not going to be sent i n f a c s i m i l e form, even PC-fax. Fax i s a means of t r a n s -m i t t i n g the form of documents as w e l l as the data contained i n them. I t would t h e r e f o r e make more sense to send, say, s t a t i s t i c a l data from a census i n manipulable d i g i t a l form than to send them as a f a c s i m i l e . W ritten records and images, however, are not usable i n d i g i t a l form, and t h e r e f o r e i t would not be advantageous to keep them i n that form. Thus, a t f i r s t g l a n c e , there i s l i t t l e reason to r e t a i n the e l e c t r o n i c v e r s i o n of a f a x . " However, the a r c h i v a l value of records depends on p r e s e r v i n g the c o ntext of t h e i r c r e a t i o n and use as w e l l as on p r e s e r v i n g t h e i r c o ntent. To t h i s end, p o l i c i e s c o u l d be developed by r e c o r d -c r e a t i n g agencies which would help i d e n t i f y when i t i s important to preserve an e l e c t r o n i c document's "system f u n c t i o n a l i t y " . ' 7 T h i s term r e f e r s p r i m a r i l y to the maintenance of o r i g i n a l c o n f i g u r a t i o n s and software documentation; however, i t c o u l d a l s o be a p p l i e d to the maintenance of the o r i g i n a l p h y s i c a l form ( i . e . e l e c t r o n i c form vs. hard copy). Whether an o r g a n i z a t i o n keeps i t s records i n e l e c -t r o n i c or paper form can r e f l e c t how i t performs i t s f u n c t i o n s ; the t e c h n o l o g i c a l environment i n which i t operates; and the resources t h a t are a v a i l a b l e to i t f o r e s t a b l i s h i n g and m a i n t a i n i n g an e l e c t r o n i c communication and r e c o r d s system, and w i l l t h e r e f o r e I b i d . , 83. I b i d . , 64. 93 c o n t r i b u t e to the e v i d e n t i a l value of t h a t o r g a n i z a t i o n ' s a r c h i v e s . N e v e r t h e l e s s , the c o s t s of m a i n t a i n i n g e l e c t r o n i c i n f o r m a t i o n must be kept i n mind. The magnetic media on which the e l e c t r o n i c i n f o r m a t i o n i s s t o r e d tend to d e t e r i o r a t e . To preserve the data, numerous p r e c a u t i o n s must be taken: p e r i o d i c t r a n s f e r of data to new media, monitoring of d e t e r i o r a t i o n , and the use of e n v i r o n -mental c o n t r o l s . An a d d i t i o n a l problem i s that of m a i n t a i n i n g both AA the computer hardware and the software needed to read the data. In theory, one should not c o n s i d e r such c o s t s to be an o b s t a c l e . However, the expenses of a r c h i v e s compete with other e x p e n d i t u r e s which d i r e c t l y and v i s i b l y f u r t h e r the mission of an o r g a n i z a t i o n . T h e r e f o r e , the c o s t s of m a i n t a i n i n g records i n e l e c t r o n i c form have to be c o n s t a n t l y j u s t i f i e d . "Given that some p r o p o r t i o n of the budget of an o r g a n i z a t i o n can reasonably be spent on a r c h i v e s , c h o i c e s of types of r e c o r d formats and s e r v i c e s are t a c t i c a l " . 6 9 One " t a c t i c a l " reason to keep even n o n - s t a t i s t i c a l fax records i n e l e c t r o n i c form i s the best evidence r u l e . While i t i s true that the r u l e i s no longer as s t r i c t as i t once was, i t s acceptance i s s t i l l a matter of t a c t i c a l prudence. I t i s o b v i o u s l y d e s i r a b l e to produce i n c o u r t the best a v a i l a b l e evidence. Not o n l y would any other evidence be l e s s p e r s u a s i v e to a judge or j u r y , but f a i l u r e to p r o v i d e the best evidence p o s s i b l e would r e f l e c t p o o r l y E 1 e c t r o n i c Records Issues, 4. E l e c t r o n i c Records Guide1ines. 98. 94 on that p a r t y and i t s case. 7" For example, i f the only copy of a PC-fax r e c o r d a v a i l a b l e to a c o u r t i s a hard copy v e r s i o n , and the p a r t y s u b m i t t i n g i t has to e x p l a i n that the document r e c e i v e d and used i n the course of business i n e l e c t r o n i c form had been d i s c a r d e d f o r reasons of c o s t , t h i s might damage that p a r t y ' s case i n the eyes of the c o u r t . Although not a l l j u r i s d i c t i o n s accept machine-readable r e c o r d s as evidence, t h a t i s sure to change, 7' and o r g a n i z a t i o n s — a s w e l l as a r c h i v i s t s and r e c o r d s managers—have to be prepared. Perhaps the main problem with keeping e l e c t r o n i c r e c o rds i s that they are system-dependent—that i s , they can be read only with the a i d of the computer hardware and software that was used to 7? c r e a t e them. There are two aspects to system dependency i n machine-readable r e c o r d s . One i s t h e i r dependency on c o n s t a n t l y changing computer technology. Both hardware and software evolve r a p i d l y , and j u s t as q u i c k l y are made o b s o l e t e by other advances. Users have no c o n t r o l over such developments, nor over the a v a i l a b i l i t y of systems. I t i s i n t h i s d i f f i c u l t c o ntext that the a r c h i v i s t must provide and preserve access to i n f o r m a t i o n . The o t h e r aspect i s the dependency of e l e c t r o n i c r e c o rds on documenta-Sheppard, 354. 7' Naugler, 38; Bruce I. Ambacher, "Managing Machine-Readable A r c h i v e s " , i n Bradsher, ed., Manaq inq A r c h i v e s and Archiva1  I n s t i t u t i o n s , 129. 7? They can be t r a n s f e r r e d to another system, but the process i s very complicated and i s not r e l e v a n t here, because we are d e a l i n g with r e c o r d s preserved by t h e i r c r e a t o r r a t h e r than those t r a n s f e r r e d elsewhere. 95 t i o n . The term "documentation" r e f e r s to the d e s c r i p t i o n o-f how the c o l l e c t i o n , o r g a n i z a t i o n , p r o c e s s i n g , and p r e s e r v a t i o n o-f data are c a r r i e d out using a given computer software system. Without such a d e s c r i p t i o n , the data remain v i r t u a l l y u n i n t e l l i g i b l e . Software documentation i s t h e r e f o r e necessary to maintain the u s e f u l n e s s of e l e c t r o n i c r e c o r d s ; however, i t i s a l l too common f o r such i n f o r m a t i o n not to be t r a n s f e r r e d to i n a c t i v e storage along with the r e c o r d s . 7 3 If an o r g a n i z a t i o n d e c i d e s that n e i t h e r t h e o r e t i c a l nor l e g a l c o n s i d e r a t i o n s j u s t i f y the c o s t of m a i n t a i n i n g r e c o r d s i n e l e c -t r o n i c form, one way to a v o i d e v i d e n t i a r y problems would be to e s t a b l i s h a standard procedure f o r the r e g u l a r t r a n s f e r of such records onto paper. If the circumstances of i t s c r e a t i o n demon-s t r a t e a r e c o r d ' s r e l i a b i l i t y , as was shown e a r l i e r , the same should apply to i t s t r a n s f e r to a d i f f e r e n t medium. What i s needed i s evidence that t h i s i s done a c c u r a t e l y and " i n the usual and o r d i n a r y course of b u s i n e s s " . Procedures f o r copying e l e c t r o n i c data onto paper should be d e s c r i b e d i n an o p e r a t i o n s manual or a management d i r e c t i v e , and a r e c o r d that those procedures were / f o l l o w e d i n the p a r t i c u l a r t r a n s f e r should be maintained which can be presented i n c o u r t as s u p p o r t i n g evidence. It would be more p r a c t i c a l , however, i f the o r g a n i z a t i o n decided from the beginning on the most a p p r o p r i a t e medium on which to r e t a i n any given document. Fred D i e r s ' concept of an "informa-E l e c t r o n i c Records Issues, 3. 96 t i o n media matrix", i n which a l l media are judged according to t h e i r s u i t a b i l i t y before they are used w i t h i n an o r g a n i z a t i o n , i s r e l e v a n t here. Records a n a l y s t s have to a p p r a i s e each category of r e c o r d s i n terms of u n i t c a p a c i t y (number of documents t h a t can be s t o r e d per f o l d e r / d i s k / e t c . ) , requirements f o r p h y s i c a l space, r e t r i e v a l speed per u n i t , a c c e s s i o n r a t e (number of times per day t h a t a document i s r e f e r r e d t o ) , u n i t i n c r e a s e r a t e , and so on. The c a p a c i t i e s and l i m i t s of each medium with r e s p e c t to those c r i t e r i a , are a l s o analyzed — i n c l u d i n g the c o s t s of m a i n t a i n i n g the r e q u i r e d equipment. The most a p p r o p r i a t e medium f o r each record category i s then chosen. 7* Thus, i f an o r g a n i z a t i o n i s c o n s i d e r i n g using PC-fax i n s t e a d of r e g u l a r f a c s i m i l e , based on the savings on paper and s t o r a g e space, i t must a l s o c o n s i d e r the c o s t s of e i t h e r r e t a i n i n g PC-fax records i n e l e c t r o n i c form or c o n v e r t i n g them to paper. I t may be that those long-term c o s t s w i l l outweigh the short-term s a v i n g s . J u s t because a given medium r e p r e s e n t s " l e a d i n g edge technology" does not mean that i t w i l l a u t o m a t i c a l l y s o l v e an o r g a n i z a t i o n ' s i n f o r m a t i o n management problems. 7' As i t has been e s t a b l i s h e d that fax documents c r e a t e d on paper are no d i f f e r e n t from o r d i n a r y paper r e c o r d s , they can be a p p r a i s e d i n the same manner as other paper r e c o r d s . The same i s true f o r fax documents c r e a t e d and maintained i n e l e c t r o n i c form. Thus, although f a c s i m i l e t r a n s m i s s i o n i s i n some ways a unique communica-7 4 D i e r s , 20-23. 7 5 I b i d . , 21 , 23. t i o n technology, t h i s a r c h i v e s theory have account. does not mean that to be reworked i n 97 rec o r d s management and order to take i t i n t o 98 CONCLUSION In t h e i r p r o f e s s i o n , a r c h i v i s t s have to keep up to date with changes i n communication technology, because they deal d i r e c t l y with the products o-f such technology. To carry out t h e i r work e f f e c t i v e l y they have to be a b l e to apply a r c h i v a l p r i n c i p l e s i n the face of such changes. T h i s d i s s e r t a t i o n has examined one example of communication t e c h n o l o g y — f a c s i m i l e t r a n s m i s s i o n — a n d t r i e d to determine how i t s p r o d u c t s — f a x ..documents—should be handled from an a r c h i v a l p o i n t of view. A review of the h i s t o r y of the technology r e v e a l e d that f a c s i m i l e t r a n s m i s s i o n has been i n e x i s t e n c e f a r longer than one would judge from i t s r e l a t i v e l y r e c e n t success, and demonstrated the need to come to g r i p s with the consequences of i t s adoption by records c r e a t o r s . The d i s c u s s i o n s of the v a r i o u s t r a n s m i s s i o n and r e c o r d i n g techniques developed over the years and the uses to which they have been put not onl y served to lay the groundwork f o r the r e s t of t h i s study; they a l s o i n d i c a t e d p o s s i b l e sources of fax documents. A r c h i v i s t s may encounter them not onl y among rec e n t r e c o r d s , but a l s o i n o l d e r fonds. i n p a r t i c u l a r those a s s o c i a t e d with news agencies and with the agencies c o l l e c t i n g m e t e o r o l o g i c a l data. If a r c h i v i s t s are aware of t h e i r e x i s t e n c e and the c o n s e r v a t i o n problems a s s o c i a t e d with them, fax documents can be i d e n t i f i e d and earmarked f o r s p e c i a l c o n s e r v a t i o n measures. Before such measures are implemented, however, the f i r s t t h i n g to be determined i s whether f a c s i m i l e s are re c o r d s a t a l l , or 99 whether they have to be c o n s i d e r e d non-record m a t e r i a l or ephemera. "Records" have been de-fined here as documents c r e a t e d or r e c e i v e d i n the conduct of a p r a c t i c a l a c t i v i t y and preserved f o r s p e c i f i c purposes. At the same time, the very u s e f u l n e s s of "non-records" as a category was questioned, s i n c e documents c r e a t e d o u t s i d e the scope of o f f i c i a l a c t i v i t y c o u l d be maintained f o r the purposes of the c r e a t o r , and t r a n s i e n t r e c o r d s which are not meant to be preserved need not be c o n s i d e r e d . Even i f one d i d accept non-rec o r d s as a category, fax documents should not a u t o m a t i c a l l y be i n c l u d e d ; a d e t a i l e d comparison of f a c s i m i l e s with telephone messages bore t h i s out, while the manner of t h e i r t r a n s m i s s i o n and the impermanent nature of some of them proved to be, i n the l i g h t of a r c h i v a l theory, i m m a t e r i a l . If f a c s i m i l e s are i n f a c t r e c o r d s , i t had then to be d e t e r — mined whether they are " t r a d i t i o n a l " paper r e c o r d s , or machine-readable ( e l e c t r o n i c ) r e c o r d s . A u t h o r i t i e s a c t u a l l y d i s a g r e e on how to d e f i n e the l a t t e r , whether to c o n s i d e r only the means of t r a n s c r i p t i o n and the medium of storage, or a l s o the means of tr a n s m i s s i o n or i n p u t . In the former case, f a c s i m i l e s would be con s i d e r e d e i t h e r paper or e l e c t r o n i c r e c o r d s , depending on the medium—paper, or magnetic d i s k or t a p e — o n which they are recorded. In the l a t t e r case, a l l f a c s i m i l e s , whether paper or PC-fax, would be c l a s s e d as e l e c t r o n i c r e c o r d s , because they are the end-products of the e l e c t r o n i c t r a n s m i s s i o n of i n f o r m a t i o n . In the end, t h i s study s i d e d with Fred D i e r s , who emphasizes the common pla c e of a l l f a c s i m i l e s w i t h i n the i n f o r m a t i o n media matrix, and 100 argues that the means o-f s t o r i n g i n f o r m a t i o n i s the - f i r s t d e f i n a b l e element of that matrix. Thus, fax documents i n a l l t h e i r forms span both c a t e g o r i e s , and cannot be c l a s s i f i e d e x c l u s i v e l y as e i t h e r paper or e l e c t r o n i c i n nature. S i n c e paper f a c s i m i l e s are no d i f f e r e n t from o r d i n a r y paper documents (with the exception of thermal paper f a c s i m i l e s , which d i f f e r o n l y with r e s p e c t to c o n s e r v a t i o n c o n s i d e r a t i o n s ) , they can be a p p r a i s e d along with such r e c o r d s . The reasoning i s analogous f o r f a c s i m i l e s c r e a t e d and maintained i n machine-readable form. Once fax documents were d e f i n e d as records on the b a s i s of a r c h i v a l theory, the next step was to determine how they are t r e a t e d i n p r a c t i c e . T h i s i s s u e was approached by examining the circumstances i n which such matters are decided, r e s p e c t i v e l y , i n the context of the law, and i n the context of o r g a n i z a t i o n s . The l e g a l value of f a c s i m i l e records was examined, the c o n c l u s i o n being that documents r e c e i v e d by f a c s i m i l e t r a n s m i s s i o n are l e g a l l y as e f f e c t i v e as the " o r i g i n a l s " used to t r a n s m i t them. The main o b j e c t i o n to t h i s p o i n t w i t h i n the l e g a l p r o f e s s i o n — h o w to take i n t o account the problems of a u t h e n t i c i t y and s e c u r i t y i n h e r e n t i n fax t r a n s m i s s i o n — w a s answered by d e s c r i b i n g the ways i n which fax t r a n s m i s s i o n can be made secure, and fax documents a u t h e n t i c a t e d . F i n a l l y , a model f o r the handling of f a c s i m i l e s was presented i n the form of the f a c s i m i l e f i l i n g p r o j e c t i n s t i t u t e d by the B r i t i s h Columbia Court of Appeal, on the l o g i c a l assumption that i f such a system can f u n c t i o n where adherence to l e g a l p r i n c i p l e s i s the 101 prime c r i t e r i o n -for a c c e p t a b i l i t y , i t should be ab l e to f u n c t i o n i n any a d m i n i s t r a t i v e environment. The f i n a l matter to be decided was the form i n which f a c s i m i l e documents should be preserved, e s p e c i a l l y with regard to those c r e a t e d by PC-fax. I t was concluded t h a t , while i t i s d e s i r a b l e to r e t a i n machine-readable fax re c o r d s on magnetic media, i n order to maintain both image q u a l i t y and the complete context of t h e i r c r e a t i o n and use, there are p r a c t i c a l l i m i t a t i o n s to t h i s course of a c t i o n : namely, the c o s t s of p r e s e r v i n g a very f r a g i l e medium and of m a i n t a i n i n g the hardware, software, and documentation needed to have access to the documents. In order to avoid these c o s t s , an o r g a n i z a t i o n c o u l d e s t a b l i s h a standard procedure f o r the r e g u l a r t r a n s f e r of such records to a more manageable medium such as paper or f i l m . However, i t would be more u s e f u l f o r the o r g a n i z a t i o n to choose the most a p p r o p r i a t e medium f o r each type of record when i t s i n f o r m a t i o n system i s f i r s t designed. Throughout t h i s study, a r c h i v a l p r i n c i p l e s as they e x i s t today have been used to analyze f a c s i m i l e technology and fax documents. What t h i s study has demonstrated i s that a thorough comprehension of the r e l e v a n t concepts, and a b a s i c understanding of the t e c h -nology i n v o l v e d , should enable a r c h i v i s t s to deal with new docu-mentary forms. Although fax i s i n some ways a unique communication technology, no fundamental changes i n a r c h i v a l theory and p r a c t i c e are r e q u i r e d to understand i t s p l a c e i n a r c h i v e s . 102 BIBLIOGRAPHY STATUTES B r i t i s h Columbia. Revised S t a t u t e s o-f B r i t i s h Columbia • 1979, 116, "Evidence A c t " . . 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