Guidelines for Collection Management
Table of Contents
General Guidelines
- Collection Management
- Function of Collection Management Guidelines
- Goals of the Collection Management Program
- The Materials Budget and its Allocation
- Supplementary Funding
- Considerations in Selection and Deselection
Appendix A
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Definitions of Collecting Levels
A. Comprehensive Level
B. Research Level
C1. Advanced Study Level
C2. Instructional Support Level
D. Basic Information Level
E. Minimal Level
Appendix B
Location-Based Policies
Subject-Based Policies
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General Guidelines
April 18, 1996Collection Management
The Collection Management Department is primarily responsible for building and managing VCU Libraries collections, in concert with the mission of Virginia Commonwealth University and VCU Libraries. Central to the library's mission is the goal of carefully building and managing substantive information resource collections that serve the
University's varied academic programs. Collections may include materials housed in the library or sources located elsewhere to which VCU Libraries provides access.
Collection Management Librarians and selectors from other departments select all library materials except those housed in the reference, special collections and archives, and government documents areas. Staff in these areas select materials for their collections in consultation with Collection Management and in accordance with their individual collection policies.
Because it is essential that library collections serve instructional and research programs, collection management librarians maintain a working liaison with university faculty in the selection and management of resources. The department encourages every academic unit to appoint a member of its faculty as its library representative. The appointee acts as official contact with Collection Management to inform the department about curricular developments and library needs. Collection Management Librarians also consult regularly with individual faculty to solicit their recommendations for additions to the collections and to learn of their teaching and research interests.
Function of Collection Management Guidelines
A collection guideline is an official statement of the library's goals
in building and managing its collections in all subject areas. It is designed
to:
- define the scope of existing collections
- serve as a collection development planning document by guiding selectors in choosing materials most appropriate to support academic programs in each discipline
- provide guidelines and criteria for deselection and preservation decisions
- promote consistency and continuity in collection management through establishing clear objectives for each librarian who assumes selection responsibilities
- enable the library to communicate its rationale for managing its collections to the university community
- equip the library to participate in cooperative collection building and resource sharing arrangements with other libraries by specifying areas of collecting emphasis and de-emphasis
Goals of the Collection Management Program
Consistent with the mission of VCU Libraries, the guiding principle of collection
management is to develop collections that support the university's academic
programs. Selectors therefore choose materials that best serve two primary
university functions:
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Instruction. The collections should include
materials that reinforce and enhance the quality of instruction in all
courses offered at the university. University faculty should be able to
depend upon VCU Libraries resources for preparing courses and student assignments;
students should be able to rely on VCU Libraries resources for course-related study
and the completion of assigned projects.
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Research. Because research is an integral
university activity, VCU Libraries should provide resources and services to assist
faculty and students in the intellectual inquiry and experimentation that
form the research process. Researchers should be able to utilize VCU Libraries to
obtain information essential to their investigations.
Our ability to attain our collection management goals is chiefly dependent upon funding. Our major funding source is annual appropriations by the commonwealth. To manage our state appropriation efficiently, we employ budgeting techniques that enable us to monitor all expenditures.
The materials budget is an important tool in apportioning our financial resources, however limited, as equitably as possible. We endeavor to allocate funds to every academic and clinical program in the university at an amount consistent with both the program's curricular level and the cost of materials and extent of literature in the program's subject area. This method is intended to build our most substantive collections in disciplines offering the doctorate or those where the master's is the terminal degree. In disciplines where a non-terminal master's is the highest degree offered at VCU, collections should be somewhat less broadly-based. We attempt to establish strong instructional support collections for disciplines offering only undergraduate degrees.
Supplementary Funding
Interested donors may supplement our state funding through contributing
monetary grants or endowments to underwrite purchases for the collection.
If donors prefer to support particular subject collections, we work with
them prior to acceptance to define the subject area or areas to which the
grant or endowment will apply. Subject areas should be defined broadly
enough that grant or endowment income does not exceed amounts adequate
to purchase all pertinent materials likely to be available at present or
in the future.
While we welcome recommendations from donors or individuals designated by donating organizations, VCU Libraries retains responsibility for the selection of materials purchased with grant or endowment funds. Librarians select these materials in accordance with VCU Libraries collection policies to ensure that purchased items are of appropriate academic or scholarly quality.
Considerations in Selection and Deselection
Selection is the process of determining which materials to acquire
for the library's collections. Deselection is the removal of materials
from the collections because of their condition (see preservation statement
below) or because they no longer serve instruction and research programs.
In making selection and deselection decisions, librarians attempt to insure that library collections as a whole are balanced in several important respects:
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Current and retrospective coverage. Though our emphasis is on the acquisition of current resources in all subject fields, we endeavor to acquire retrospective
works and backfiles as needed to strengthen and round out collections,
particularly in disciplines where retrospective materials are of special
importance.
Formats. Information resources are produced in an increasing variety of formats. Collections no longer consist exclusively of print monographs and serials, though these materials remain important. Significant instructional and research tools also include, among other formats, microforms, videocassettes, compact discs, CD-ROM and other microcomputer software, and databases on magnetic tape or accessible through the Internet. VCU Libraries strives to build collections that incorporate all forms of scholarly communication. In each subject field, however, we attempt to establish a collection consisting of every appropriate format in a quantity proportional to its value for practitioners of the discipline.
Ownership and access. While no library can afford to purchase all resource materials useful to students and scholars of every discipline, libraries can inform patrons of instructional and research materials that can be obtained elsewhere. Consequently library collections are composed of resources owned and housed locally supplemented by materials accessible from other institutions. VCU Libraries endeavors to purchase materials basic and essential to each discipline in the university curriculum for its own holdings. Budgetary constraints necessitate that we depend upon resources in other locations to augment these holdings. Therefore an integral part of our collection management program is an attempt to select access tools and provide services, including formal resource-sharing arrangements, that enable our users to identify and obtain materials held at other sites.
Ideological balance. To help foster a university environment characterized by a spirit of open inquiry and discussion, VCU Libraries selects materials so that collections as a whole reflect a variety of viewpoints and provide balanced coverage of issues. VCU Libraries subscribes to the American Library Association's Library Bill of Rights, which pledges us not to exclude materials because of the origin, background, or views of their creators.
Gifts
Materials donated to the library have long been an important component
of our collection management program. Gifts often provide needed duplicates
of highly used titles or supplement deficient retrospective holdings. Thus
VCU Libraries actively solicits and accepts gifts in appropriate circumstances.
Whenever possible Collection Management Librarians or archivists discuss gift collections with donors prior to accepting them. If the gifts appear to be highly duplicative (particularly in the case of serials) or unsuitable for an academic library, we suggest alternative recipients. We inform all donors that librarians or archivists will determine which items will be added to our collections. Rejected items may be returned to donors upon request or placed in the library's booksale. VCU Libraries does not provide appraisals of donated materials.
Librarians and archivists select gifts for addition to the collection in consideration of the gifts' physical condition and usefulness. In all cases we employ selection criteria stated in our collection policies. Ordinarily we designate added gifts for inclusion with other materials in established VCU Libraries locations. We create separate locations only if the materials are of unique importance or in a format that cannot be readily housed in any existing collection. Instituting a separate location requires the approval of the University Librarian.
Organization
of Subject Policies
To establish the framework for building appropriate collections,
Collection Management Librarians formulate specific collection management
policies for all instructional programs. Each guideline contains the following
information:
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Purpose. A description of the academic program, including degrees offered and instructional
and research emphases.
General collection guidelines. An explanation of the parameters of collection building, including:
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Language.
Chronology.
Geography.
Publication date.
Treatment of subject.
Types of materials and formats.
Area resources. Mention of pertinent subject collections at other locations in the Richmond area.
Related subject guideline statements (where necessary).
Subjects and collecting levels. A conspectus separating each discipline into specific subject categories and corresponding Library of Congress classification ranges. For each category there are two codes. The first indicates the academic level or collecting intensity of the present VCU Libraries collection. The second describes our desired collecting intensity consistent with the curricular level of the program. These codes are defined in Appendix A.
Methodology. A list of major bibliographic sources consulted in determining our current collecting intensity.
Collection
Evaluation
The ongoing evaluation of collections is an important component of
a comprehensive collection management program. Collections must grow and
change to reflect evolutions in both the scholarship of each discipline
and the curricular needs of the institution. Systematic evaluation of the
collections by means such as use and user studies, shelf list counts, citation
analyses, list checking, and other methods is imperative to insure that
available resources continue to be of maximum benefit to students and faculty.
Likewise serial subscriptions must be regularly reviewed.
Collection assessment may result in the acquisition of additional materials for subject collections judged inadequate to support current academic programs. In the case of serials, titles of diminished scholarly significance or instructional relevance may be replaced by more useful subscriptions. Assessments may also identify materials to be moved among VCU Libraries locations, deselected (withdrawn), or preserved. The following criteria guide librarians in these decisions:
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Curricular
or program changes. Revision, expansion, or reduction of academic
programs may necessitate that materials be transferred from one VCU Libraries library
to another or, if they are no longer germane to the curriculum or of intrinsic
scholarly significance, withdrawn.
Physical condition. Materials in a state of physical decay should be moved to the Secured Area (see the Secured Area Guidelines) or withdrawn. See Preservation section below.
Usage. Materials in collections for a long period of time with no evidence of recent usage are candidates for withdrawal. Items of scholarly, historical, or archival value should be retained, however.
Risk of loss. Materials containing subject matter historically vulnerable to theft or mutilation may be considered for inclusion in the Secured Area.
Cost. High-cost materials may be housed in the Secured Area for their protection. Serials whose prices increase substantially may decrease in value to the library; they should be considered for cancellation.
Duplication. Duplicate copies of most items can be withdrawn, except for titles in high demand or at an established risk of theft. Where VCU Libraries owns multiple editions of one title, retaining only the most recent edition may be sufficient. Care should be taken, however, to retain at least a representative selection of superseded editions of important scholarly texts. All critical editions of literary works should be retained.
Preservation
VCU Libraries endeavors to extend the useful life of all materials in its collection,
in many cases soon after their acquisition. Measures such as the binding
of most print serials and soft-cover monographs as well as the secure packaging
of audio-visual products and computer diskettes help prevent degradation
of these items. Efforts to maintain proper temperature, humidity, and dust
controls also form part of a sound preservation program.
Preserving aging but still useful materials is a collection management responsibility equal in importance to selecting new materials. Retrospective sources can retain their value to the library and their utility to patrons only if they are maintained in serviceable condition.
The identification of deteriorating materials in need of preservation treatment can occur at several points during routine processing or use (cataloging, marking, circulation, or shelving, for example). But periodic review of the collections by selectors is the most thorough means of discovering and correcting preservation problems.
The choice of a preferred preservation method is a decision made by Collection Management Librarians in consultation with the library's preservation staff. The Preservation unit determines treatment for routine problems, such as loose covers or a few missing pages. Collection Management addresses the disposition of materials requiring more extraordinary preservation measures. Collection Management Librarians may choose to preserve damaged or worn items from a range of options provided by Preservation, such as binding, placement in a protective enclosure, or deacidification. Alternatively, they may decide to replace items in exceptionally poor condition either by purchasing a new print copy or edition or by acquiring data in microform or electronic formats. Materials that cannot be replaced can be transferred to the Secured Area for their protection. Materials for which no replacement is necessary may be withdrawn or returned to their former location until they become unusable.
When determining which preservation option to choose, librarians must consider the artifactual value of an item, its importance to the collection, its past and potential use, and its availability in other libraries or alternative formats. The comparative costs of repair or replacement must always enter into every preservation decision. Librarians must also weigh potential preservation costs when selecting retrospective materials or adding brittle or otherwise decaying gifts to the collection.
Appendix A: Definitions of Collecting Levels
A. Comprehensive Level. A collection in which the library endeavors, so far as it is reasonably possible, to include all significant works of recorded knowledge for a necessarily defined and limited field.
B. Research Level. A collection that broadly comprises major source materials useful for dissertation and independent research. It is intended to include important reference works and a wide selection of specialized monographs, as well as extensive holdings of journals and major indexing and abstracting services in the field. A collection at this level supports doctoral and other original research.
C1. Advanced Study Level. A collection adequate for imparting knowledge about the primary and secondary topics of a subject area. It includes a significant number of seminal works and journals on the primary and secondary topics in the field; works that provide in-depth discussions of research, techniques, and evaluation; and fundamental bibliographic and reference tools pertaining to the subject. This level supports all courses of undergraduate study and master's degree programs.
C2. Instructional Support Level. A collection that provides coverage of the primary topics of a subject area. It includes a broad collection of basic monographs, key journals on primary topics, selected journals and seminal works on secondary topics, and fundamental bibliographic and reference tools pertaining to the subject. This level supports undergraduate and advanced undergraduate courses.
D. Basic Information Level. A selective collection of materials that serves to introduce and define a subject and to indicate the varieties of information available elsewhere. It may include dictionaries, encyclopedias, selected editions of important works, historical surveys, bibliographies, handbooks, and major periodicals.
E. Minimal Level. A subject area in which few selections are made beyond very basic works.
Appendix B: Selection Guidelines for Electronic Publishing
VCU Libraries Digital Library
April 10, 1996The Digital Library within VCU Libraries embodies a variety of initiatives and software products. One component of the Digital Library consists of material from the VCU Libraries collections or material that has been solicited by VCU Libraries that is not in a computer format (eye-readable text, tape recordings, slide images, etc.) and is converted to a digital product through scanning, reformatting, etc. Because the process of converting material to digital form is very labor-intensive and expensive with implications for long-term maintenance, VCU Libraries has developed guidelines for selecting projects to be digitized. The VCU Libraries Administration exercises final approval over projects that are candidates for digitizing.
The guidelines for selection are broad and provide latitude for discretion. Not every project will meet all the criteria. The guidelines are designed to provide general assistance in making guideline decisions for what is appropriate for digitizing and the conditions required for implementation. The selection of projects must at all times be informed by the principles of good collection management and archival practices. As such, the criteria for digitizing supplement the VCU Libraries Collection Guidelines.
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1. VCU Libraries has the legal right to digitize and distribute the material.
- The number and level of staff that are required, including technical staff for advice, planning, and ongoing maintenance
- The hardware required to digitize and store the material
- The software that is needed to digitize and make the material accessible
- The physical space required to process the material
- Plans for future updates or maintenance of the information
- Plans for securing, backing up, and refreshing the storage medium
Comment: VCU Libraries respects the copyright and ownership of material. If material is not in the public domain, VCU Libraries must have explicit and proper permission from the copyright owners to undertake a project; moreover, distribution of material should respect individuals' right to privacy. In all cases, the permission of the legal owner must be secured before proceeding with digitizing. Examples of suspect material might be documents that have been previously published, letters written to the donor of a collection, images from unknown sources, etc. However, important or useful projects may be undertaken even though usage restrictions must be imposed if the collection is particularly important, it is in danger of deterioration, etc.
2. Digital Library projects directly support the curriculum and/or research
of the students and faculty of Virginia Commonwealth University.
Comment: Projects must be central to primary curricular and
research missions of the University. Administrative and staff projects
are considered out of scope of the VCU Libraries Digital Library project.
3. A high level of demand exists for the material.
Comment: Particularly in the early stages of the Digital Library,
it is important to support projects that will have a significant impact
on the University community. Projects that affect a great many people will
have a higher priority because of the significant costs associated with
digitizing.
4. The project enhances access to the library's collection.
Comment: Projects will be considered that make it easier or
faster to access the library's collection, thus adding value to the material.
The ability to use collections from outside the library, including by users
not in the VCU community, will be considered an asset to a project.
5. Digitizing protects and preserves endangered material.
Comment: Projects will be considered when the material is fragile
or rare and is subject to deterioration through frequent or careless handling.
6. The material represents a unique contribution.
Comment: Material that has not been previously converted to
digital form by another institution or publisher are good candidates for
consideration.
7. The material has enduring value.
Comment: Material with an expected long and useful life are
good candidates for digitizing because of the time and expense required
to convert them. However, material with a current topical interest may
be considered if it is anticipated that it will be of utility to future
scholarship.
8. VCU Libraries has the staff and resources to implement and maintain the project.
Comment: All costs must be projected when proposing a project.
These might include:
9. The project enhances the ability of VCU Libraries to attract gifts, grants,
or endowments.
Comment: The potential for a project to generate revenue or
to support itself will be considered during the evaluation.
10. The project is to be accomplished within existing VCU Libraries or national/international
standards and practices.
Comment: Projects will be evaluated on how well they integrate
with the current VCU Libraries environment or with accepted external standards. Projects
using open hardware standards and off-the-shelf software that promise a
long life and greater functionality are more likely to be approved.
Proposal Presentation
In developing projects for review, it is most useful if the points
in the guideline are addressed in a narrative to the University Librarian. A typical
process for presenting a proposal might be:
- Develop an idea for a project
- Validate the idea with colleagues who have an interest or responsibility in this area so as to gather support and identify resources for the project
- Secure the support of the supervisor and appropriate Assistant University Librarian and seek assistance in developing the proposal
- Prepare the proposal for the University Librarian, basing the document on the guidelines with specific reference to the size of the collection and scope of the project, the resources required, the amount of time the project is expected to take, and how tasks are going to be assigned
Not all digitizing projects need go through a formal approval process. Reformatting activities that are limited in scope, documents digitized as decorative or design features in home pages, "sampler" images that are intended to describe a collection, and similar projects that are easily accomplished with delegated resources need not be presented to the University Librarian for approval.