Hesburgh Libraries Collection Development Policy

PURPOSE OF COLLECTION DEVELOPMENT POLICY

The University Libraries Collection Development Policy is intended to guide the selection of materials to be added to the collections, whether by purchase, through gifts, or through blanket orders and approval plans. As a statement of University Libraries policy, it is used in the allocation of funds and in the effort to obtain additional funding from endowments, gifts, or grants. It is a source of information for those both within and outside the Notre Dame community on the strengths of our collection and it identifies those areas of lesser collecting interest. It thereby assists in resource sharing and cooperative collection development arrangements with other libraries.

COLLECTION DEVELOPMENT AT NOTRE DAME:
GOALS, METHODS, AND FUNDING Top

The primary purpose of collection development in the University of Notre Dame Libraries is to provide the information resources in print and other media necessary to carry out the University's teaching programs and to support the research of its students and faculty. The collections also seek to support the work of staff engaged in University business, and the general cultural and intellectual formation of students. The Libraries, in addition, accept responsibility for the building and maintenance of particular collections in certain limited areas where we are traditionally strong, in order to serve as a regional or national resource for scholars.

The Libraries, in carrying out their collection development activities, adhere to the principles expressed in the following statements from the American Library Association's Library Bill of Rights: "Books and other library resources should be provided for the interest, information and enlightenment of all people of the community the library serves. Materials should not be excluded because of the origin, background, or views of those contributing to their creation. Libraries should provide materials and information presenting all points of view on current and historical issues. Materials should not be proscribed or removed because of partisan or doctrinal disapproval."

Selection of materials for the collections is carried out cooperatively by members of the Teaching and Research Faculty, Subject Librarians, and Subject Liaisons assigned to the various subject areas. Subject Librarians or Subject Liaisons have responsibility for coordinating collection development in each subject area, and for monitoring each book fund. Single purchases costing more than $500 must be approved by the Head of Collection Development. Local purchase of microform or other collections held at the Center for Research Libraries (CRL) must also be approved by the Head of Collection Development.

Acquisitions are financed chiefly by an appropriation from the University to the Libraries and by income from a number of Library endowments, supplemented by gifts and grants. Books in English currently published by several hundred North American university and trade publishers in a broad range of academic subjects are received automatically by the Libraries and reviewed for retention by Subject Librarians/Liaisons, and any members of the teaching faculty who choose to do so. There is a much more limited approval plan for German language books in the humanities, emphasizing books in theology, philosophy, medieval, and classical studies. Both approval plans are financed from general Library funds, subsidized by appropriate subject endowments. Restricted endowments, supplemented in some cases by departmental allocations, finance limited approval plans for Argentina, Brazil, Chile, Russia, Ireland, Israel, Poland, and for French, Spanish, and Small Press literature. Library funds from the University appropriation are allocated to academic departments and certain Library units for the purchase of books that will not be received on the approval plans. In addition, income from endowment funds restricted to particular subjects by the donor is available, and is used especially for retrospective purchasing and the purchase of expensive items. Gift and grant funds may also be used for this purpose, at the discretion of the Director of Libraries. Planning expenditures from the restricted endowment funds is assigned to an appropriate Subject Librarian or Subject Liaison who works with concerned members of the teaching and research faculty.

Subscriptions and continuations are also covered by Departmental allocations, and funds may be transferred among a Department's book, continuations and subscription accounts, subject to annual guidelines issued by the Collection Development Committee. In all cases provisions must be made to insure that the cost of commitments is covered. Requests for new subscriptions or continuations are channeled through the Subject Librarians/Liaisons, and submitted to the Head of Collection Development. Their cost must be covered by the transfer from the appropriate book fund, or by cancellation of existing subscriptions. The Collection Development Committee annually recommends to the Director of Libraries on the funding of new subscriptions, and the method of handling these may change from year to year.

The Collection Development Committee is a elected/appointed group of Subject Librarians, Subject Liaisons, Technical Services and Reference librarians and includes, ex-officio, the Head of the Collection Development Department. It is currently chaired by the Deputy Director. It reviews requests for major collections and other expensive purchases; advises on fund allocation matters; reviews and approves collection development policies; and coordinates collection development projects.

The Acquisitions Department is responsible for processing the orders which are submitted through the Subject Librarians/ Liaisons. Such processing entails searching University Libraries' holdings to prevent duplication, placing the orders with particular vendors, charging funds, keeping accounting records, maintaining an on-line record of orders in process, recording the receipt of serial issues, and preparing incoming materials for cataloging. The ALEPH acquisitions system is utilized in ordering, paying invoices, and in fund accounting. Subject Librarians/ Liaisons have on-line access to this system.

TYPE AND FORMATS OF MATERIALS COLLECTED Top General Policy: The University Libraries collect primary and secondary publications, bibliographic and reference sources in the format best able to support the educational and research needs of Notre Dame students and faculty in all academic fields relevant to University programs.

Specific policies governing particular types and formats of materials:

Books/monographs are normally collected in clothbound editions except when items are available only in paperback editions. Textbooks, workbooks, study guides, etc., translations of English titles into foreign languages, or of foreign titles translated into non-English languages are collected only by exception. Books of a very popular nature or self-help books are collected only when justified by some educational consideration.
Journals/periodicals/annuals are normally acquired only through subscription; individual issues or reprints of articles are rarely purchased.
In addition to collecting journals that support the teaching and research programs of the University, the University Libraries will acquire periodicals of more general interest to the academic community. Among the factors that will be weighed in the selection of general interest periodicals are: the substantial nature of articles in the periodical and their intellectual content; degree to which the periodical reflects thoughtful assessment of contemporary trends in society; inclusion of the periodical in indexing and abstracting services; strength of demand combined with lack of ready availability elsewhere; and cost. There will be no attempt to collect periodicals specifically for recreational reading or for hobbyists; these may, however, be acquired as gifts.
Monographic series may be acquired as individual titles, or by establishing a continuation order.
The need to purchase all volumes in the series is the primary requirement for establishing a continuation order. Further justification in the form of cost savings or difficulty in learning of the publication of new volumes may be required. Normally, continuation orders are established for works in parts which the Libraries wish to acquire.
Newspaper subscriptions will be carried by the University Libraries in order to support teaching and research, to provide sources of national and international news and general intellectual and cultural awareness for faculty and students. There will be no specific attempt to collect, using University funds, the home town newspapers of the student body, although gifts will be acceptable.
Non-United States newspapers will be collected in direct support of teaching and research, and to provide some limited coverage of major regions of the world by outstanding newspapers. Newspapers of a cultural, business, political, organized labor, or social orientation will be considered on a title by title basis. A few newspapers of permanent research value at Notre Dame will be collected in microform; paper copies of others will be acquired only for current awareness purposes.
Microforms are acquired when the desired material is available only in microform, or when it is significantly less expensive and sufficiently usable in that format. If dissertations must be acquired because of the importance of the particular title, the scarcity of other research material in the subject or the Libraries' commitment to comprehensive collecting in the subject, microform is preferred. Microform is also acquired for the preservation of certain titles when rebinding is not feasible.
Large collections of source material are frequently acquired in microform. Attention should be given to providing appropriate housing and equipment for such purchases; adequate bibliographic access should also be examined, with collections having machine readable cataloging being particularly favored. Microform subscriptions in lieu of binding are placed for those serials which: a) are difficult to bind because of format or heavy usage; b) typically have many missing issues; c) are subject to regular mutilation. If microform copies cannot be acquired from an existing source, the Libraries may arrange to have the serial microfilmed, with appropriate copyright permissions.

Microfiche is generally preferred over film, especially for serial titles or collections. Silver halide is generally preferred, as is 35 mm when microfilm must be acquired. Opaque microforms are no longer acquired. The supervisor of the Microtext Center countersigns all order request for microforms, so that equipment needs and particular formats can be monitored.
Audio materials including both music and spoken word recordings are collected and housed in the Renner Family Audio Learning Center. Recordings requested by faculty members in support of teaching and research, recognized classic recordings, and recordings to fill gaps in sets or series are given preference in acquisitions.
Sound quality is the prime criterion for collecting sound recordings other than the spoken word. Compact disc is the preferred format, with cassette tape being the next most preferred format. LP discs and albums are selected if other formats are unavailable or of poor quality. Reel-to-reel copies are purchased only to replace other reel-to-reel copies.
Video materials which are expected to be of significant long-term value in support of teaching or research are collected, with an effort made not to duplicate Educational Media holdings. The VHS (Video Home System) is the preferred format.
Machine readable materials are collected when that format is most effective in support of teaching and research and when the Libraries can provide adequate facilities for their use. CD-ROM, laser discs, floppy discs, and data tapes which can be mounted on the University computers may all be collected, according to priorities established by subject collection development policies and availability of funds. Trials for these materials must follow these guidelines.
Software may be collected by the Libraries only if it is necessary to provide access to materials owned by the Libraries.

GENERAL POLICIES ON THE USE OF ACQUISTIONS FUNDS Top

Allocation. The University Libraries attempts to distribute its funds in such a way as to ensure a solid foundation for a collection serving a variety of users in a variety of disciplines, while allowing some freedom of choice among disciplines in meeting immediate and sometimes unanticipated needs. Thus we allocate some, but not all, of the acquistions budget to academic departments and Library units. These allocations are based generally on the size of the department, the number of graduate programs, the extent of approval plan coverage in the field, and the relative cost of materials. Although in general the unit allocations are intended for current purchasing only, they also, when possible, enhance budgets in those areas deficient in meeting existing or planned program requirements. On the whole, however, the latter must depend largely on endowments or other special fundding from the University or from donors.

Approval Plans. The University Libraries accepts the responsibility for acquiring promptly currently published materials of academic significance in all those areas where the University has programs or substantial research interests. We regard the maintenance of regularly monitored approval plans in those areas as the most satisfactory way of fulfilling this responsibility. These plans, however, must be carefully tailored not only to the most essential local requirements but also to the funds available.

Serials. The University Libraries recognizes the importance of serials to the educational and research programs of the University, as well as the substantial and growing financial commitment the serials collection entails. We also acknowledge different degrees of importance and disparate cost factors between disciplines in the case of serials. Therefore we attempt to maximize each discipline's freedom to decide on the optimum deployment of their allocation between serials and books. A special form for requesting a serials subscription must be submitted to the Head of Collection Development.

In the light of recent serials price escalation and technological advances that are making alternatives to ownership of some serials more and more viable, we are committed to exploring such alternatives and financing those which are reasonable, economically and in the adequacy of support they provide to the Libraries' users.

Electronic resources. The University Libraries recognize the importance of these new media in support of education and research at the University, and the desirability of acquiring them. Whenever possible their acquisition should be part of a regular selection process for materials in their respective fields. However, because of their often substantial cost and interdisciplinary nature, purchasing them entirely from departmental allocations is difficult, and so we try to make special funds available whenever possible. The Collection Development Committee, in any case, is responsible for approving the purchase of electronic resources to insure that adequate software, hardware, and training for use is provided. A special form for requesting such purchases must be submitted to the Committee.

Preservation. The University Libraries believe that preserving our collections for continued use by the University Community, and, in some areas, by the scholarly community at large is a natural extension of our collection development responsibility, and requires the allocation of sums for regular binding of serials, for repair and rebinding, for preservation quality microfilming as well as other preservation methods when indicated. This responsibility to preserve our research level collections should be reflected in our collection development policies.

Special Purchase Requests. The Collection Development Committee may have modest amounts of funding available to purchase items too expensive to be covered by funds available to the requester. A form is available to request consideration by the Committee of these one-time purchases.

Collection Improvement Proposals. The Libraries recognize the importance of strengthening our collections by purchasing retrospectively materials which we were not able to buy at the time they were published. We attempt to make some money available for the systematic and planned improvement of collections in very specific ways. A form is available to submit such proposals to the Collection Development Committee.

SPECIAL CONSIDERATIONS Top

Duplication. Library materials are duplicated or acquired in multiple copies according to the following criteria:

Demand, present or anticipated, is sufficiently heavy to justify duplication. Demand may be caused by class use, topical subject matter, classic nature of the title, an author who is part of the Notre Dame community, or has some other local significance, especially favorable and widely publicized reviews, or reserve book use. A book which is missing after a Circulation Department search but not yet declared lost may be ordered as an "added copy" if it is needed.
Condition of the existing Library copy indicates frequent use and treat of deterioration.
Basic reference or bibliographic material that is essential in more than one location.
A binding copy periodical subscription may be required in very rare instances. Normally, however, a microform subscription will be preferred for the second copy. Convenience alone is not a sufficient justification for duplication. Criteria for duplication in other locations include degree of relevance to more than one program, amount of use anticipated, or restrictions on circulation in first location. In all cases, high cost of materials will mitigate against their duplication.

Recommendations for duplication are the responsibility of the Subject Librarian/Liaison. However, duplication of serial subscriptions must be approved by the Collection Development Committee.

Gifts. Gifts, both individual items and collections, can be valuable additions to the collections. The Head of the Collection Development Department should be consulted in cases of unusual gifts or large collections, and no conditions as to retention or treatment are accepted. Subject Librarians/ Liaisons review gift volumes for retention. Subject collecting policies, as well as need for duplicate copies, value of the items, their physical condition, etc. are considered in retention decisions, but types of materials that would not normally be purchased may be accepted as gifts.

Replacement. Material which has been lost or damaged is replaced on the advice of the Subject Librarian/Liaison. These requests usually are generated on the basis of patron search requests, inventory results, or the appearance of a deteriorated copy on the bindery decision shelf. The following criteria are considered in the decision to replace a volume:

Continued value of the material.
Demand for the material.
Extent of coverage of the subject in the existing collection.
Availability of newer or better material in the field.
Cost and appropriateness of replacement rather than rebinding.
Reserve book use.

Reserve Materials. In cooperation with the teaching faculty the University Libraries aid students in completing class assignments by providing easily accessible reserve materials.

As a general rule monographs may be purchased for reserve reading at a ratio of one book for every 10-15 students, if anticipated use warrants. Fewer copies of a book will be purchased if the book appears on the reading list, but is not required reading.

It is the responsibility of the Reserve Book Room staff to order reserve books for Hesburgh Library, using the Reserve allocation, and branch librarians to order for their branch, in response to the reserve lists submitted by members of the faculty.

Weeding. Although the departmental libraries weed their collection periodically, usually prior to transferring items to Hesburgh Library, most systematic weeding in Hesburgh has been done in anticipation of conversion of records to machine readable format, or at the time of the cancellation or cessation of a serial. Withdrawal of holdings of back volumes should be seriously considered when 1) they are duplicate copies; 2) the holdings represent less than three years; 3) the holdings are scattered (less than three consecutive years) and represent less than half of a total back run of a title. Care must be taken however to avoid inadvertent withdrawal of volumes that are unique, that constitute the whole of a short run, or have valuable physical qualities. In general, the following factors are important in considering withdrawal of a title: 1) relevance of title to University's teaching and research programs; 2) existence of abstracts and indexes to title; 3) availability of title, especially at CRL or Indiana libraries; 4) circulation of volumes; and 5) physical condition of volumes. In all cases, the University Libraries' mission as a research library, responsible for preserving even infrequently used materials in areas where we collect or have an identifiable retrospective collection, mitigates against large scale weeding of materials.

Rare Books. There is only a small allocation designated for Rare Books and Special Collections, so it is chiefly gift funds that are used to build our collections according to the guidelines described in the separate Rare Books policy. Materials collected in support of University programs may become part of the Rare Book Collection because of their age, rarity, or unusual format.

Center for Research Libraries. Notre Dame is a member of the Center for Research Libraries (CRL), a cooperative member-based research library which acquires, stores, preserves, provides bibliographic access to, and lends a collection intended to complement and supplement the collections of its research library members. As a member we have access to all items held by CRL, we can petition for the acquisition of materials, and can vote on proposed purchases. We also have unlimited borrowing privileges at CRL. For these reasons, our CRL membership must be a factor in our collection development decisions. In the case of expensive items or collections, Notre Dame will not duplicate CRL holdings unless the amount of anticipated local use or the nature of the material warrants it.

ORGANIZATION OF THE COLLECTION DEVELOPMENT POLICY Top

The University Libraries' Collection Development Policy is organized into chapters corresponding to the academic departments and Library units whose work the collection supports. There are, in addition, a few policies covering subjects with no separate program at Notre Dame, interdisciplinary fields, and special collections.

The individual policies do not normally include assessments of collection adequacy. However, there exists for several subjects a detailed conspectus describing not only current collecting intensity, but also collection strength in many subdivisions of the subject. These documents, following the Conspectus used by the Research Libraries Group, are a result of Notre Dame's participation in the North American Collections Inventory Project libraries' collections nationally. Those subjects covered by an existing Conspectus mention that fact in their policy, and the Conspectus may be examined by contacting the appropriate Subject Librarian/Liaison.

Most of the subject policies provide the following information:

Description of the academic programs supporting the clientele served.
Name of the responsible Subject Librarian or Subject Liaison, with office and telephone number.
Guidelines followed in collecting, according to: language of materials; time periods covered; treatment of subject (scholarly, popular, etc.); type of material (books, journals, microtext, electronic, etc.).
Coordination. This includes descriptions of the relationships with and dependency on other parts of the collection, as well as any collection development agreements with other libraries.
Indication of the collecting level in each of the relevant subfields of the subject:

Level 0: Out of scope --the Libraries do not collect in this area

Level 1: Minimal level --few selections are made beyond very basic works

Level 2: Basic information level --general materials that serve to introduce and define a subject, and to indicate the variety of materials located elsewhere, are collected.

Level 3: Instructional support level --Materials adequate to maintain broad general knowledge of a subject and sufficient to support undergraduate and most graduate instruction are collected. Includes a wide range of basic monographs, a selection of representative journals, and a good collection of reference and bibliographic tools pertaining to the subject.

Level 4: Research level --Major published source material, including materials containing research reporting, new findings, scientific experimental results, are collected. Includes all important reference works, wide selection of specialized monographs, and extensive collection of journals, and major indexing and abstracting services.

Level 5: Comprehensive level --the Libraries try to include all significant works of recorded knowledge, in all applicable languages, for a necessarily defined and very limited field. This is a "special collection"; its aim is exhaustiveness.
Special considerations. This refers to descriptions of particular characteristics of the collection, what is excluded from the collection, and plans for future collecting in the field.

While most of the subject policies follow an outline suggested by the divisions described above, other policies especially those for interdisciplinary fields and special collections have adopted formats more suitable to their particular characters.

The Collection Development Policy also includes a list of subject librariens/liaisons, and an index by subject.

POLICY REVIEW AND REVISION Top

Amendments to the Collection Development Policy will be presented to the Collection Development Committee whenever any significant changes in policy or practice occur. The University Libraries' Collection Development Policy will be regularly reviewed in order to assure that its provisions continue to reflect the current requirements of academic programs, the state of collections, and the allocation of resources. The Subject Librarian or Subject Liaison responsible for each subject collection will initiate the review of the subject's collection development policy and submit the revised policy to the Collection Development Committee for approval.

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Hesburgh Libraries Collection Development Policy