bluuebunny/crossref_metadata_2025 huggingface dataset:
E‐Commerce Risks in the ‘Open and Competitive Market’
Authors: Tonglet Michele , Johnstone Peter
Published: January 2008

The face of the business market has changed beyond all recognition over the past decade, and while there is much talk of global markets some facts are indisputable. Europe is increasingly becoming a unified market, particularly in the field of financial services. The world economy is also becoming more transparent and open, which should lead to an increase in market opportunities, as well as to increased competition. Capital has become a highly mobile commodity, and with more use of Internet banking facilities and the use of e‐cash this will continue to intensify. New industries are being created through technological advances. In many instances these developments are extremely rapid, and the technology itself frequently allows new market participants to enter with minimal capital investment or established expertise. And the future economic prosperity of the UK will significantly depend on the ability this country has to adapt to the demands of increasingly knowledgeable and mobile consumers. One of the fundamental issues at stake for the credibility of UK business is whether it can sustain a competitive edge while at the same time ensuring that the rights of consumers and service providers are sufficiently well protected according to European and domestic legislation. Until recently the balance between ensuring fair treatment of consumers while promoting business productivity has been achieved within an environment of relatively slow‐moving market forces. The digital age has now arrived and the response from governments must be as rapid as the fast‐moving world in which international commerce is conducted. It is against the background of consumer and business use of computer and communications technology for the commercial exchange of products, services and information that the future of e‐commerce in the UK is discussed in this paper.
Securities Fraud and the Internet: Adapting Existing Regulatory Schemes to Regulation in Cyberspace
Authors: Hurst Thomas R.
Published: January 2008

On 6th September, 2000 the SEC issued a press release accusing 33 companies and individuals of fraudulently using the Internet to make more than $10m in illegal profits by driving up the prices of more than 70 small stocks. The companies and individuals, including a bus mechanic, a car service driver and a self‐chilling can company, boosted the total market value of these stocks by $1.7bn, claimed the SEC, in announcing 11 civil fraud lawsuits filed in federal courts. ‘What used to require a network of professional promoters and brokers, banks of telephones and months to accomplish can now be done in minutes by a single person using the Internet and a home computer,’ SEC enforcement director Richard H. Walker said. Two weeks later, the SEC announced that it had settled an enforcement proceeding brought against a 15‐year‐old stock trader who, operating from a computer in a bedroom in his parents' home, had earned more than $270,000 in profits over a six‐month period by engaging in classic ‘pump and dump’ market manipulation of small over‐the‐counter stocks.
The Role of a Global Supervisor for International Financial Markets
Authors: Alexander Kern
Published: January 2008

The need for international regulation of financial markets became apparent in the mid‐1970s in response to the post‐Bretton Woods liberalisation of financial markets. The elimination of the fixed exchange rate parity with gold resulted in the privatisation of financial risk, which created pressure to eliminate controls on cross‐border capital movements and the further deregulation of financial markets. It became necessary for national regulatory authorities to promote safe and sound banking systems through the effective management of systemic risk in national markets. Similarly, the need for international standards of prudential supervision was also recognised, to prevent solvent banking institutions in one jurisdiction from losing business to less respectable institutions operating in other jurisdictions whose laws permitted cut‐rate financial services and other risky financial practices. The privatisation of financial risk also created the need for financial institutions to spread their risks over many assets and activities, which led, in turn, to a significant increase in short‐term cross‐border portfolio investment that has, in many instances, exposed capital‐importing countries to increased systemic risk due to the volatility of such investments.
International Standards in the Governance of Financial Markets
Authors: Blair QC William , Png Cheong Ann
Published: January 2008

The governance of financial markets is approached at various levels. National regulators are charged with the responsibility for maintaining a system of regulation for the purpose of ensuring stability and confidence in the financial markets. This has to be done according to ascertainable standards. Within the European Union, directives and regulations provide a framework for approximating practices within its member states. At the international level, organisations such as the Bank of International Settlements (BIS), the International Monetary Fund (IMF) and the Organisation for Economic Cooperation and Development (OECD) have developed standards and guidelines with the view to harmonising practices among relevant states.
Nigeria: Curbing Economic Crime in Petroleum Products
Authors: Jack Osimiri Uche
Published: January 2008

Petroleum products are prime commercial sources of energy throughout the world in spite of the impressive efforts of the International Energy Agency (IEA) and European Economic Community (EEC) to find viable alternatives. Energy is the vehicle for economic development and the policy of the Nigerian government is that petroleum should be tapped, developed and optimally distributed for the overall development of society. Owing to several factors, the distribution and marketing of petroleum products have developed hydra‐headed problems constituting a major source of concern and embarrassment to the government, private organisations and individuals.
Preventing and Controlling the Manipulation of Financial Markets: Towards a Definition of ‘Market Manipulation’
Authors: Lomnicka Eva
Published: January 2008

This paper is intended as a brief introduction to the topic of financial market manipulation. Although market manipulation is as old as markets themselves, the subject is presently generating a great of interest and discussion. While initially any efforts to prevent and control market manipulation were nationally focused, the advent of global and interconnected financial markets has required a reappraisal of such parochial approaches. In addition, the task has been made all the more difficult as the opportunities for market manipulation (and for disguising it) have increased exponentially with the development of new technologies for communication and trading and of ever more ingenious and sophisticated market practices, often using novel and esoteric financial instruments.
Conflicts Between Public Accountability and Individual Privacy in SEC Enforcement Actions
Authors: Newkirk Thomas C. , Sauer Richard C. , Keyes Robert J.
Published: January 2008

In the USA, as elsewhere in the world, the public interest in effective law enforcement is often in conflict with the public's concern for the privacy of personal financial and other sensitive information. During recent decades, the federal government has compiled increasing quantities of data on its citizens. This has proven necessary to determine who qualifies for various benefit programmes, to monitor compliance with anti‐discrimination statutes and to pursue various other social goals. In addition, improved technology has greatly increased the capability of the government to compile and retrieve information about individuals. This burgeoning governmental information gathering, however, has brought with it an increasing concern over its potential to intrude into the private lives of the citizenry.
Managing the Mob: Techniques to Limit the Risks and Costs of Doing Business in Markets Tainted by Organised Crime
Authors: Reynolds David , Newsham Grant
Published: January 2008

International companies lost some $24bn in 1998 by ignoring or underestimating organised crime, corruption and other non‐conventional risks in emerging markets, according to a survey conducted by risk consultancy Merchant International Group.
Cyber‐Organised Crime — The Impact of Information Technology on Organised Crime
Authors: Rider Barry A.K.
Published: January 2008

Some have argued that organised crime is a problem of the last quarter of the 20th century and in the case of most states is a new phenomenon. Of course, so much depends upon what is meant by organised crime. Groups of individuals formed and managed to perpetrate acts against the law are nothing new. Nor is it novel that the primary motivation of such enterprises is economic gain — spurred on by ‘plain old‐fashioned’ greed and corruption. Banditry, smuggling, racketeering and piracy were just as much a problem for the praetors and the vigils of ancient Rome as they are today for the Italian authorities. What has changed is the criminals' ability to operate beyond the reach of the domestic legal system and, therefore, be able to conduct an enterprise in crime that is not so amenable to the traditional criminal justice system and its agents. Of course, in truth, thinking criminals have always sought to place themselves beyond the reach of the law and it was not just a matter of having a faster horse. Corruption of officials and the patronage of powerful individuals whose interests, for whatever reason, might be at variance with those of the state are tried and tested tools. It has always been recognised that even if as a matter of theory jurisdiction was unfettered, the practicalities are such as to render enforcement parochial. Thus, when Henry II of England was asked towards the end of the 12th century how far his writ ran, he responded ‘as far as my arrows reach’. While developments in ballistic technology might render this a relatively useful approach to dealing with the international criminal, in the vast majority of cases the criminal law in its application, or at least administration, will be confined within domestic borders. Developments in technology, communication, travel and the liberalisation of movement, whether of persons, things or wealth, have all combined to give the criminal enterprise of today the same ability as any other business to move from one jurisdiction to another, or involve in a single act two or more different jurisdictions.
Dealing with Misconduct in the Financial Markets: A Hong Kong Perspective
Authors: Reading John
Published: January 2008

The integrity of the financial markets in the Hong Kong Special Administrative Region (Hong Kong) is maintained by an approach which involves cooperation between government, the banking sector, the Hong Kong Monetary Authority (the HKMA), the Securities and Futures Commission (the SFC) and the industry itself.
Internet Casinos: A Sure Bet for Money Laundering
Authors: Mills Jon
Published: January 2008

Since the end of the Second World War, American society has seen the emergence of technology promising to make life easier, better and longer lasting. The more recent explosion of the Internet is fulfilling the dreams of the high‐tech pundits as it provides global real‐time communication links and makes the world's knowledge universally available. Privacy concerns surrounding the development of the Internet have mounted, and in response, service providers and website operators have enabled Web users to conduct transactions in nearly complete anonymity. While anonymity respects individual privacy, it also facilitates criminal activities needing secrecy. One such activity is money laundering, which is now being facilitated by the emerging Internet casinos industry. These casinos can be physically located anywhere with websites available worldwide. Internet casinos were a target of legislation by the US Congress, but the legislation, the Internet Gambling Prohibition Act, failed to pass. So, at the moment, Internet casinos are a virtually unregulated mechanism for laundering illegal funds.
Corruption and the Financial Sector: The Strategic Impact
Authors: McFarlane John
Published: January 2008

This paper discusses how corruption, in its various manifestations, has had — and continues to have — a very serious impact on the economic and political stability of the Asia‐Pacific region.
Fighting Economic Crime — Action Taken in the European Union
Authors: Vlogaert Johan
Published: January 2008

During the 1980s, the fight against economic crime, including money laundering, was already very high on the political agenda in most of the European states. According to different studies, organised crime was controlling major parts of the economy in some Eastern European countries, infiltrating the Western economies and investing, for example, in real estate on the Mediterranean coast and in the major European cities. There was a growing awareness that economic crime has an evident influence on the rise of organised crime and that combating money laundering is one of the most effective means in the fight against this form of criminal activity.
Evidence for the Value of Ethics
Authors: Francis Ronald D.
Published: January 2008

It has become a truism that ethics is now being treated with the importance that it so obviously deserves. One of the singular merits of ethics is the commercial benefit that it confers. It has been argued in various forums that ethics is beneficial: it is the purpose of this paper to examine the forms that the evidence has taken, and to draw a conclusion about that evidence. It will be argued that the evidence supports the conclusion, but not in the most obvious ways.
Some Case Studies of the Bombay Stock Exchange
Authors: Kumar B.V.
Published: January 2008

Corporate governance is the system by which companies are directed and controlled. Boards of directors are responsible for the governance of their companies. The shareholders' role in governance is to appoint the directors and the auditors and to satisfy themselves that an appropriate governance structure is in place. The responsibilities of the board include setting the company's strategic aims, providing the leadership to put them into effect, supervising the management of the business and reporting to shareholders on their stewardship. The board's actions are subject to laws, regulations and scrutiny by the shareholders in general meeting.
Online Securities Fraud
Authors: Smith Russell G. , Grabosky Peter N.
Published: January 2008

Finance is the lifeblood of an economy. Businesses require capital in order to start up, and usually require additional resources to maintain or expand their activities. In some cases, they may simply reinvest their profits. But expansion on a significant scale may require more than this. Thus, businesses may also seek to borrow funds or to solicit investments in return for the investor's share of future profit. One of the basic means by which this latter strategy is pursued in industrial societies is for businesses to solicit investments from the public through the initial public offering of shares, and for subsequent buying and selling of shares by investors who expect the value of the shares in question to rise or fall. Securities markets are thus integral to a nation's economic system.
Guarding the Company against Dishonest Employees
Authors: Hemraj Mohammed B.
Published: January 2008

This paper, which in part includes historical analysis, examines the following questions: (a) Whose duty is it to guard against fraud, misappropriation and defalcation perpetrated by the employees? (b) To what extent are auditors and directors directly responsible for such detection and prevention? The issue will be analysed and explored from cases originating from the UK and Australia.
Going Underground — The Not So New Way to Bank?
Authors: Gilligan George
Published: January 2008

Most people in Western countries are more likely to associate the term underground banking with an automatic teller machine in a subway station, than with complex infrastructures of financial remittance that may be utilised either to by‐pass completely conventional banking facilities and processes, or else to connect with those same conventional banking facilities and processes only at selected points, at selected times and selected places. However, the low public profile of underground banking is in contrast to the increasingly high priority that governments, financial regulators and law enforcement agencies are giving to efforts to counter the facilitative role that underground banking can play in the activities of money launderers, organised crime, terrorist groups and tax evaders. Underground banking systems are playing an increasingly important role in the burgeoning tide of laundered money that is projected by the International Monetary Fund (IMF) to be equivalent to 2–5 per cent of global GDP with organised crime groups estimated to be grossing more than US$1.5trn a year. However, there is significant variation regarding guesstimates of the scale of the activities of organised crime and money laundering in general. For example, Walker applies a ‘crime‐economic model’ upon data collated from international databases and his model estimates a global money laundering total of $2.85trn per year, with these flows heavily concentrated in North America and Europe. These types of disparity in assessment are inevitable until a great deal more data is generated regarding money laundering and other sectors of alternative and/or illegal economies. Walker stresses that his results are very much interim, but they suggest some interesting patterns. For example: of totals of money laundered globally, the USA was the origin of more than 46 per cent and the destination of more than 18 per cent; and on a matrix of attractiveness of jurisdictions to money launderers Luxembourg ranked first with a score of 686, followed by the USA (634) and Switzerland (617), with the traditional homes of underground banking systems such as Pakistan (Hawala system) and China (Fei Chien) ranking in the lowest category (0–9). The methodological problems of measurement are especially acute regarding underground banking systems due to their intrinsically low levels of public visibility. Indeed, many of the dilemmas associated with underground banking are reproduced in other issues of conventional banking, financial regulation, law enforcement and economic governance. It is these dilemmas that are the core focus of this paper.
Australia and Canada: The Role of Policy in Professional Liability
Authors: Hemraj Mohammed B.
Published: January 2008

The term ‘policy’ as used by the judges is mainly concerned with whether third parties should be allowed to recover economic loss suffered by them as a result of professional negligence. The answers to the question of recovery of economic loss in negligence are not easy, as judges seem to be divided on this issue. Some judges feel that in some cases beyond physical damage and reliance, economic loss should be recoverable in negligence, while others fear indiscriminately opening the floodgate of liability.
Manipulation
Authors: Pickholz Marvin G. , Pickholz Jason
Published: January 2008

The last decade of the prior millennium witnessed many revolutionary, not evolutionary, changes in the way business is done and information is exchanged globally. The Internet has changed and speeded up the ways we exchange and use information and the time necessary for doing so. This revolution has the potential to reshape the world we live in; to draw us closer together in a global community; and to allow businesses to sell products and services and to raise capital on a global basis simultaneously. Instantaneous satellite transmission of television news coverage informs us of critical events, including financial developments, in distant lands. E‐mail allows us to establish business and personal relationships and communicate ideas rapidly with foreign individuals. And we have also seen increased interest among businessmen and others in investing capital in foreign nations and in the securities of companies publicly traded in foreign or international markets. The Internet allows investors to create ‘chat rooms’ to exchange information and ideas about issuers.
Obtaining Foreign Assistance to Prosecute Money Laundering Cases: A US Perspective
Authors: Springer James P.
Published: January 2008

This paper provides a detailed analysis of the various means available to US authorities for obtaining foreign evidence and other types of international assistance in money laundering cases. The means analysed here include mutual legal assistance treaties (MLATs) and similar processes; multilateral treaties; tax information exchange agreements (TIEAs) and tax treaties (for a narrow range of money laundering offences); court‐sponsored procedures for taking foreign depositions, including letters rogatory; the use of unilateral compulsory measures, such as subpoenas, for obtaining foreign evidence, and the use of FinCEN and Interpol resources. The initiatives of the G7, the Financial Action Task Force and the OECD regarding international cooperation in money laundering matters are also briefly treated.
Human Rights and the Restructuring of Financial Services Regulation in the UK
Authors: Johnstone Peter , Haines Jason
Published: January 2008

The Serious Fraud Office (SFO) has been provided with the statutory authority to demand the attendance of suspects at its offices and also to demand that information is supplied, irrespective of whether or not the suspect has been charged with a criminal offence. It has been held that the provisions of Art. 6 of the European Convention on Human Rights (ECHR) do protect the defendant from self‐incrimination, and the UK government has been successfully challenged at the European Court of Human Rights (ECtHR) over these issues. The powers conferred on the SFO remain in place, but these must now be viewed in the context of the Human Rights Act 1998, which became law in the UK in October 2000; unless the powers of the SFO are reviewed by Parliament, it would seem to be the courts who will take responsibility in the UK for ensuring that the rights of suspects are upheld.
International Cooperation in the Fight Against Money Laundering
Authors: Jurith Edward H.
Published: January 2008

The USA has had many infamous criminals. Willie Sutton, one of the more notorious ones, allegedly stated that he robbed banks ‘because that's where the money is’. His logic is easy to follow. Today's criminals, like Sutton, also seek to profit from lucrative activities. That is why they are involved in drug trafficking and other high pay‐off crimes. Given that the author's responsibilities as the Acting Director of the US Office of National Drug Control Policy have to do with illegal drugs, these remarks will focus on the money laundering aspects of drug trafficking.
Assessing Certification Authorities: Guarding the Guardians of Secure E‐commerce?
Authors: Backhouse James
Published: January 2008

Electronic commerce denotes the use of electronic means, usually the Internet, for creating and often fulfilling contracts without the use of face‐to‐face encounters. In recent years many countries have passed legislation to render to the electronic signature the same significance in contract formation as the traditional hand‐written signature. The general desire is to promote user trust and confidence in the process of authentication in the information age. Leading the charge to transform their traditional business into e‐commerce is the financial services industry, although many other sectors have begun to develop their electronic marketplace with gusto. What this means for money laundering is that wealth may be rapidly moved around the globe and so layering and integration become child's play. Online brokers, bankers and intermediaries of all varieties already accept instructions from clients using traditional user name and password type authentication. But the flawed nature of this type of authentication is rapidly forcing the adoption of public key cryptography with digital signatures and digital certificates. Unless a financial services institution can be absolutely certain about the identity of the online client, it is taking very great risks to accept instructions on their behalf. Recent advances in public key cryptography provide an enabling platform for the secure transaction of business.
The Hiding of Wealth: The Implications for the Prevention and Control of Crime and the Protection of Economic Stability
Authors: Wright Rosalind
Published: January 2008

In July, a London solicitor was sentenced to seven years' imprisonment for laundering £30m, being the proceeds of drugs and other uncustomed substances which one of his clients had smuggled into the country. The judge who sentenced him observed this was the largest money laundering operation he had come across. In fact, in 1998, the operator of a bureau de change in Notting Hill Gate in west London was sentenced to 14 years in prison for laundering an even larger sum. It was the fact that the defendant was a solicitor, that the amounts were so huge and that he used the respectable front of a London solicitor's practice for what used to be called ‘receiving’, or ‘fencing’ the proceeds of crime, that makes this case so notable.
The Exclusion of Evidence Illegally or Improperly Obtained: An Unsatisfactory Answer to an Unstated Question
Authors: Davies G.L.
Published: January 2008

The law with respect to the exclusion, in a criminal trial, of evidence which is relevant and otherwise admissible against an accused because it was illegally or improperly obtained is far from clear. More importantly, in the author's opinion, it does not best give effect to its stated purposes; and it may permit a result which is inconsistent with one of them. Those stated purposes are:
To Bribe or Not to Bribe — A Less than Ethical Dilemma, Resolved?
Authors: German Peter M.
Published: January 2008

Bribery of public officers has been an offence under Canada's criminal law since its codification in 1892. That offence and a collection of other little‐used provisions are intended to serve as a bulwark against the corruption of Canadian public officials. Until recently, however, the bribery of a foreign public official was not accorded similar, or any, treatment in Canada's criminal law. This void existed despite passage of the Foreign Corrupt Practices Act (FCPA) in the USA in 1977. The American legislation passed unanimously in both Houses of Congress, part of the post‐Watergate attempt to cleanse America government of unethical behaviour and illegal conduct. It also came after a large number of high‐profile companies admitted to bribing foreign officials in order to obtain large government contracts.
The Recovery of Criminal Proceeds Generated in One Nation and Found in Another
Authors: Cassella Stefan D.
Published: January 2008

It is now common for criminals to generate proceeds of crime in one country and to transfer those proceeds to another country. For example, drug traffickers who generate enormous profits from the sale of cocaine and other controlled substances in the USA will employ professional money launderers to move the money from the USA to financial institutions abroad.
Market Manipulation: An International Comparison
Authors: Carroll Wayne J.
Published: January 2008

Market manipulation is a general term covering a number of practices deemed harmful to the capital markets. Conduct that can lead to a violation of the market manipulation provisions extends from active trading to merely spreading information about a particular security or company. Market manipulation comes in many forms, whose number is limited only by human ingenuity.
The Prosecution of Computer Crime
Authors: Bell R.E.
Published: January 2008

Criminals have always exploited technological advances and therefore the advent of the gun, the telephone and the car created new opportunities for crime. Similarly, the increasingly widespread use of computers in society has led to computer‐related crime.
Transparency versus Privacy: Reflections on OECD Concepts of Unfair Tax Competition
Authors: Dwyer Terence , Dwyer Deborah
Published: January 2008

High‐taxing European treasuries face grave problems as they try to finance redistributive welfare states having low birth rates and declining labour tax bases in an age of globalising investment. Their problem is not much different to the problem faced by the Roman Emperors (though Constantine humanely disclaimed the previous use of the scourge and the rack and contented himself with incarceration of insolvent taxpayers). In those days wealth was buried as gold in the grounds of the villa; in our day it may be buried in overseas parent or subsidiary companies. The reality remains that capital and business income can be made less visible to the tax collector than landed property. The solution of the late Roman Empire was to visit corporal punishment on the taxpayer. The solution now being urged by the OECD in Paris is that small or developing countries with offshore financial centres be pressed into service as subsidiary tax enforcers to boost OECD coffers. The OECD approach is multifarious, involving the criminalisation of tax avoidance and the elimination of various forms of tax competition from these centres in all geographically mobile service industries, including financial, but also distribution services, shipping, service industries and company headquartering. The OECD initiative is already drafting similar action on competition in e‐commerce, with manufacturing industry having been flagged in the 1998 OECD report.
Taxation, Money Laundering and Liberty
Authors: Rahn Richard W.
Published: January 2008

Money laundering is agreed to be a terrible crime. Government officials and their allies in the press seem on almost a monthly basis to demand new powers to deal with this menace. Exactly what is the crime?
The Crime of Forgery
Authors: Hemraj Mohammed B.
Published: January 2008

Forgery is not an oft‐discussed subject. Detailed discussion of forgery by banks and other financial institutions all over the world is a taboo, ‘for fear of sowing the seeds of fraudulent schemes in other ingenious heads’. This is obvious. For once a loophole is identified and discussed, it has to be permanently plugged and sealed, which the bankers perhaps find an arduous task as it costs money and leads to the necessity of cumbersome and time‐consuming procedures being adopted. This paper will analyse the offence of forgery, the definition and the modus operandi of forgery and a sample of forgery cases in the UK and the USA.
The Criminal Liabilities of Directors to the Creditors of the Company: Section 458 Companies Act 1985
Authors: Scanlan Gary
Published: January 2008

The directors of a company owe certain duties to the company itself as a legal entity distinct from its members. They also owe duties to its shareholders in prescribed circumstances, and to a lesser degree to the company's creditors. This paper, inter alia, examines the circumstances in which breach of the duties owed by the directors of the company to its creditors may give rise to criminal responsibility. Central to this analysis is an exposition of the concept of fraud and its associated concept of dishonesty generally and an analysis of the interpretation by the courts of the nature and ambit of s. 458 of the Companies Act. Finally consideration will be given as to how this offence may be affected by the proposals of the Law Commission in its Consultation Paper No. 155 as to the future role of fraud and dishonesty in offences.
Good Compliance — A Singapore Banking Industry Perspective
Authors: Liang Tan Sin
Published: January 2008

The author was commissioned by the Association of Banks in Singapore (ADS) to redraft the ABS's Guidelines on Prevention of Money Laundering to replace its earlier guidelines after the revision of the money laundering laws under the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act (SCA) and the Mutual Assistance in Criminal Matters Act (MACMA). While asked to redraft the guidelines (ABS Guidelines) within the legal framework of the new anti‐money laundering regime, the task was also to redraft the ‘know your customer’ rules which would constitute the best practices in Singapore's banking industry for combating money laundering activities. The purpose of this paper is not ‘good compliance’ from the regulator's or a bank's perspective but from the banking industry's perspective in Singapore for the combating of money laundering.
INTRODUCTORY NOTE
Authors: Th. B.
Published: January 2008

The Oxford English dictionary defines a document as ‘something written … which furnishes evidence or information upon any subject’, and documentation as the ‘preparation or use of documentary evidence and authorities’. In other words, anything in which knowledge is recorded is a document, and documentation is any process which serves to make a document available to the seeker after knowledge. This process will be the chief concern of the Journal of documentation. Librarianship and the organization of information services, bibliography and cataloguing, abstracting and indexing, classification and filing, photographic and mechanical methods of reproduction: all these things and many others are the channels of documentation which guide knowledge to the inquirer. All, as opportunity serves, will receive attention in these pages. Nor will this attention be limited by national boundaries or by the artificial segregation of the sciences and humanities. Of all these things the present first number offers some testimony. Yet the times are not propitious for universal undertakings: only a quiet beginning is now attempted, to be amplified later if approved.
THE ORIGIN AND HISTORY OF ASLIB
Authors: HUTTON R.S.
Published: January 2008

The stimulus given by the last war to the study of foreign industrial practice probably had much to do with laying the foundations on which, by the well‐timed action of a few enthusiasts, the first Aslib Conference was based.
DRAFT PLAN FOR THE PUBLICATION OF SCIENTIFIC PAPERS
Authors: PIRIE N.W.
Published: January 2008

Our present habits in scientific publication are comparatively recent and have sprung from the interaction of many different factors that have operated differently in different countries. At first a book was the principal medium, but it was backed up by copious letter writing. Letter writing remained necessary in any field that was moving rapidly but, as the number of scientists increased, it became unwieldy and was replaced by a set of privately owned journals that supplemented and copied to some extent the already well‐established Proceedings of the learned societies. By 1800 many journals were being published and many more appeared during the next fifty years. The papers seem as a rule long‐winded by modern standards, but this is always necessary when a subject is so young that there is still legitimate uncertainty about the significant facts in a set of observations. As each science develops there develops with it a more or less standardized type of paper, and this now represents an uneasy compromise between an attempt to give so much information that anyone repeating the work will never be in doubt whether he is observing the phenomenon described or a new one, and the terseness that appeals to a worker in a neighbouring field who wants the conclusions with just enough experimental detail to gauge the reliability of the author. The essential incompatibility of these two aims is probably more apparent in biochemistry and the biological sciences than it is in pure chemistry and physics, but to some extent it pervades the whole of science.
A BIBLIOGRAPHY OF THE BULLETIN (. . .) OF THE ACADEMY OF SCIENCES OF THE U.S.S.R.
Authors: BESTERMAN THEODORE
Published: January 2008

This most complicated of all periodicals was first published as the Bulletin scientifique [A], ten volumes of which were issued from 1836 to 1842. It was then divided into two parts, the Bulletin de la classe historico‐philologique [B] and the Bulletin de la classe physico‐mathématique [C]; both were published from 1842 to 1859, the former in sixteen volumes, the latter in seventeen. The two sections were then re‐united as the Bulletin [D], thirty‐six volumes of which appeared in 1859–94(?). The journal was then given a Russian title, . . . [E] and called the fifth series; twenty‐five volumes appeared in this form in 1894 to 1906. A sixth series [F], under the same title with several secondary variations, in twenty‐one volumes, was issued in 1907 to 1927. The seventh series was again divided into two parts, humanistic [G] and scientific [H]; the former appeared from 1928 to 1930, in three unnumbered volumes, the latter from 1928 to 1935 in eight unnumbered volumes. The humanistic series then ceased, but the scientific one was subdivided into four parts, devoted to biology [I], geology [J], chemistry [K], and physics [L]; these began publication in 1936 and are in progress, except the part devoted to chemistry, which was merged in another journal published by the Academy. In the following year (1937) other sub‐sections were added, devoted to mathematics [M] and to geography and geophysics [N]. In the meanwhile a new main class devoted to social sciences [O] had been added in 1931 to the humanistic and the scientific. Later further new classes were created, a chemical one [P] in 1940, a literary and linguistic one [Q] in 1940, and a technological one [R] in 1937; these are all in progress.
THE LIBRARY REHABILITATION PROGRAMME OF THE AMERICAN LIBRARY ASSOCIATION
Authors: MILLER LYDENBERG HARRY
Published: January 2008

The question before us is the programme of the American Library Association and I shall try to stick to that. I must ask permission, however, to widen the base slightly and now and then to mention similar related activities in other fields even if not carried out exclusively by the Association.
OUTLINE OF A BAUDELAIRE BIBLIOGRAPHY
Authors: CRAIG ALEC
Published: January 2008

For adequate bibliographical information about Baudelaire's works one must go to collected editions by no means readily available in Great Britain. Information concerning the extensive literature about Baudelaire is still farther to seek. For the English reader the bibliography in Arthur Symons's study mentioned below has not been superseded, although important editions of Baudelaire's works have been issued and much written about him since 1920.
LA BIBLIOTHÈQUE NATIONALE, 1940–4
Authors: CHABRIER MADELEINE
Published: January 2008

Le 10 juin 1940, alors que les armées allemandes, qui étaient reparties à l'attaque sur un large front, quelques jours auparavant, approchaient rapidement de Paris, la Bibliothèque Nationale fermait ses portes au public. Les collections les plus précieuses des quatre grands départements (Manuscrits, Imprimés, Estampes et Médailles) ainsi que celles des bibliothèques Mazarine, de l'Arsenal, de Versailles, du Conservatoire ou de l'Opéra (toutes ces bibliothèques étant rattachées à la Bibliothèque Nationale) avaient été mises sous caisses dès la fin d'août 1939 et évacuées en province dans deux châteaux réquisitionnés à cet effet: le château d'Ussé en Touraine, d'abord, puis à partir du 22 mai 1940 celui de Castelnau, dans le midi de la France. Ces deux dépôts avaient été organisés par le conservateur honoraire du Cabinet des Estampes, Monsieur P.‐A. Lemoisne, secondé par des gardiens.
A SURVEY OF THE PRESENT STATE OF ENGINEERING BIBLIOGRAPHY
Authors: STOCK ALFRED R.
Published: January 2008

The subject of this survey is one of great concern to the writer and to many technical people engaged in research laboratories and industry, and is one which we should greatly wish to see placed on a more satisfactory basis in this country. There is overlapping which is deplored by some, but thought by others to matter little. Some feel that reform is certainly needed and, to be effective, must be of a far‐reaching nature, perhaps achieving a joint abstracting system which might be provided by complete co‐operation of all the institutions and issued under their joint names. Others think that the Government, through the Department of Scientific and Industrial Research, should organize an exhaustive abstracting service, and there is much to be said for this course in view of the fact that successful and paying series of bibliographies, such as Building science abstracts and Water pollution research summary, are already published by H.M. Stationery Office. At the moment of writing, such government publications have the advantage that they do not suffer from the war‐time paper restrictions.
MUSIC PUBLISHERS' NUMBERS
Authors: DEUTSCH O.E.
Published: January 2008

On the invitation of the Editor I am publishing in the JOURNAL OF DOCUMENTATION a selection of lists of music publishers' numbers, with an indication of the date of issue of their publications so numbered.
A MODIFIED HOLMSTROM SYSTEM OF DOCUMENTATION
Authors: CLEMENT ARCHIBALD G. , ROBERTSON ROBERT H.S.
Published: January 2008

As we have both been confronted with the task of documenting large masses of ill‐sorted information on such general and widely different subjects as fuller's earth, seaweed, peat, raw materials, co‐operation, and Scotland, we have tried to devise a system of arrangement of the material which is quick to compile and easy to use both by ourselves and by others. We do not have the services of a special librarian, and have to document our notes in odd moments. We would not have had time to look up the index numbers of the Decimal System for innumerable entries, many of which are only a few lines in length. The choice then seemed to be between the Kaiser and the Holmstrom systems. The Kaiser system appeared rather artificial and difficult to apply to a very varied mass of material, but Holmstrom's system offered a method of self‐indexing which would lend itself to subsequent decimal classification if need be.
FILING PRACTICE IN THE CIVIL SERVICE
Authors: JEFFERIES K.S.
Published: January 2008

The filing and indexing of unpublished papers in government departments is a job given in the great majority of departments to a special section known as ‘the registry’, and a description of the practice in government departments reduces to a description of ‘registry procedure’.
THE INDEXING AND FILING OF CORRESPONDENCE IN THE LABORATORIES OF J. LYONS & CO. LTD.
Authors: SHAW MARIAN
Published: January 2008

In a technical or research department of a large organization extremely important information is often contained in the correspondence, whether this is in the form of interdepartmental memoranda or of letters from out side firms or organizations. It is essential to be able to find a document at a moment's notice from the time it enters the building and is in circulation among the staff, to the time when it is filed, and the contents must be indexed in such a way that the information is always immediately available. In our laboratories the correspondence section is considered to be as much a part of the information service as the library, and is in fact under the supervision of the Librarian. It is found that the work of the two sections overlaps to some extent, and a sight of the correspondence which has led up to a library query is often an invaluable aid to supplying the information required. It is recognized that every organization has its own peculiar problems and difficulties, and that no one system will suit everybody, but it is hoped that this brief description of the system which we use will assist others with similar problems.
UNIVERSITY MICROFILMS—A MICROFILMING SERVICE FOR SCHOLARS
Authors: POWER EUGENE B.
Published: January 2008

The year 1938, not so distant in point of time, but early in modern microfilm history, saw the establishment of University Microfilms as the first commercially operated microfilm service to serve the needs of scholars and libraries. Other laboratories had been established earlier at the National Archives, the Library of Congress, and the University of Chicago, but each of these had the benefit of outside funds for equipment and overhead expenses and each was primarily concerned with servicing its own collections. University Microfilms sought to provide effective microfilm service at rates comparable with those of subsidized laboratories.
THE REVISION OF THE DECIMAL CLASSIFICATION
Authors: POTTER ESTHER P.
Published: January 2008

In 1876 Melvil Dewey published the first edition of the Decimal Classifica tion. Through the years the great advances in all fields of knowledge have necessitated thirteen revisions. Work on the fifteenth or Standard Edition is now in progress. When it appears, probably late in 1947, it will be a com plete revision and will restore Melvil Dewey's original conception of the classification as one primarily concerned with the classification of books.
THE PLANNING OF UNIVERSITY AND COLLEGE LIBRARIES
Authors: POVEY K.
Published: January 2008

University and college libraries have the common quality of being academic institutions whose responsibilities consist wholly or partly in catering for students under instruction. There are nevertheless considerable differences between the functions, and consequently between the architectural requirements, of a university library, restricted in its ambitions only by the possible future needs of a mixed academic society, and those of a college library, with its smaller size and more limited scope. Disregarding youth and poverty as irrelevant to the present purpose, these limitations of scope and size may result either from a less advanced or a more specialized curriculum, or from a combination of both conditions. But in spite of this contrast it would be misleading to treat the needs of colleges as wholly divergent from those of universities, because the possibility of development ought to be kept constantly in view. The recent history of modern university libraries in the British Isles can be summarized as progress from collegiate architecture and administration to a status nearly resembling that of the great national libraries, under the almost universal handicap of want of foresight on the part of the original planners.
ESSENTIALS IN THE PLANNING AND EQUIPMENT OF A UNIVERSITY LIBRARY
Authors: BONSER W.
Published: January 2008

In the period between the two wars, Oxford and Cambridge and most of our provincial universities and colleges have either built new libraries or large additions to existing ones. But the library of Birmingham University has remained—as has the university itself—in two sections which are 2½ miles apart. The main library, including the books of the Faculty of Arts, remain in the Edmund Street building (of 1880) in the City Centre, and are housed in a number of classrooms. The science and commerce books are at Edgbaston, and in premises which, when built in the first decade of this century, were quite inadequate both in design and in the accommodation provided.
MUSIC PUBLISHERS' NUMBERS
Authors: DEUTSCH O.E.
Published: January 2008

Part II and last MECHETTI. Vienna FOUNDED in 1795 by Carlo Mechetti as a dealer; since 1807 in partnership with his nephew, Pietro; the publishing firm styled Carlo Mechetti & Neffe in 1809; after Carlo's death in 1811, Pietro became sole owner; he was succeeded in 1850 by his widow, Therese; c. 1855 the firm was taken over by A. Diabelli & co. (cp. Peter Cappi).