COLLECTION DEVELOPMENT POLICY Policy category Collection Management Approved by University Librarian Responsible Officer Director, Collections Contact officer Manager, Collection Development Commencement date November 2008 Review date: December 2010 Revision no: V.3 Web address: http://www.library.unimelb.edu.au/collections/colle ction_development_policy PART 1 POLICY STATEMENT The Collection Development Policy outlines the University Library’s collections and provides the framework for future collection development. 1.1 Objectives of policy The Collection Development Policy will define for Library staff, Library users, faculty, administration and other interested parties the scope and purpose of the University Library collection to support all strands of the triple helix: teaching and learning, research and knowledge transfer. 1.2 Policy rationale The Collection Development Policy outlines the history and strengths of the University Library’s collection in broad terms and guides future collection development. The policy is a dynamic document and is intended as a tool for decision making, and dependent on strong collaboration between Library staff, academics, students and faculty Library committees. 1.3 Scope The Policy applies to the University of Melbourne Library, including all branch libraries and the Cultural Collections managed by the Library (including Archives and the Grainger Museum). 1.4 Authority statement This policy is governed under the Terms of Reference of the Libraries and Academic Resources Committee (LARC) which requires the University Librarian or nominee to Collection Development Policy 1 make recommendations to the LARC in relation to plans and budgets for the development of Library services as follows: 1.5 In collaboration with the Provost, Faculties, Graduate Schools and related Academic Board committees, to develop appropriate qualitative and quantitative indicators of the quality of the University’s scholarly information services and resources, taking into account national and international recommended practices, and to oversee, monitor and review their use. To monitor the quality of the University’s scholarly information services and resources and ensure these are appropriate to academic teaching and research programs, taking account of international developments and best practice in order to ensure that services and resources are of the highest possible quality and standards. To advise the Academic Board on policy matters access to and use of all scholarly information services and resources including library use and user services To receive reports from the University of Melbourne Archives and the Grainger Museum. Policies and Guidelines Collection Development Process Electronic/Digital Collection Policy Collection Review Policy Donations, Gifts and Bequests Policy Intellectual Freedom and Censorship Policy Specialist and Discipline collection policies More detailed collection development polices have been developed for specialist and discipline areas of the Library’s collections and should be consulted as extensions of this general policy. http://www.library.unimelb.edu.au/collections/collection_development_policy Related policy Cultural collections Policy and the Minimum Requirements for the Management of Cultural Collections PART 2 RESPONSIBILITIES The University Librarian is responsible for this policy and its periodic review. PART 3 PROCEDURES Collections Development Policy 2 3.1 Collection Development Process Library materials are acquired through individual purchase, approval plans, standing orders, deposit and donation. Cooperative purchases through consortiums are increasingly common for the acquisition of electronic resources. Electronic resources are also acquired from suppliers as “packages” (that is, sets of electronic resources purchased as a group). Collection development is the responsibility of the Library’s Collections Program, in particular the managers and staff within the Collection Development Team, together with discipline and liaison librarians from the Scholarly Information Program. Selection is principally undertaken by academic staff and discipline and liaison librarians to ensure that material is relevant to the University’s learning and research needs. Library staff in the Collection Development Team ensure that material is not duplicated and that acquisitions are coordinated and managed in the most cost effective manner across the entire Library system. New title information is provided from a number of sources including library supplier new title services. Requests for new journal subscriptions generally emanate from academic staff. Because these are on-going commitments, the Library negotiates with the relevant faculty before new journal titles are purchased to ensure that there are sufficient funds available. The first priority for the acquisitions budget is the provision of access to texts prescribed for courses offered by the university. Arrangements are in place to ensure reading list material is comprehensively acquired in a timely fashion. Copies are supplied according to a formula for multiple copies. Electronic texts are purchased if available in acceptable models of use and formats. Individual libraries develop collections principally within the Dewey ranges relevant to their specific disciplines. However, libraries may acquire material which falls outside these ranges, both of a general reference nature or which complements the specific discipline in teaching and/or research. Collection policies should define collection boundaries, and seek to minimise duplication with other libraries, particularly those on the Parkville campus. 3.2 Electronic Collection Policy Increasingly a wide range of journal subscriptions are only available in electronic form. Since 1999, the University has had a policy that, where both electronic and print formats of journals are available, electronic access will be preferred, contingent upon acceptable licence and archiving conditions. Electronic journals, reference materials and increasingly, electronic books (e-books), provide substantial advantages in terms of access, availability and their ability to be searched. The Library therefore makes a conscious effort to replace print serials with their electronic equivalents. As a result, print serials subscriptions are reducing as more serials become available in electronic format. Increasingly, electronic journals are available in interdisciplinary electronic journal packages. A similar trend is becoming apparent with monographs which are increasingly offered in electronic as well as print format. Where they are available the Library also acquires ebooks in preference to print. This preference for e-books is dependent on suitable purchasing or leasing models and print copies will continue to be acquired when requested by academics or Library staff. The preference for e-books is particularly Collections Development Policy 3 important in those circumstances where the Library needs to provide access to texts that are in high demand and where the alternative would be to acquire large numbers of print copies. At times, print materials may remain the preferred option, for example if: The electronic journal back file content is not owned by the University for use in perpetuity. (Cancellation of print subscriptions is contingent upon satisfactory archiving and ongoing access to purchased electronic information, including publisher commitment to technological migration.) The electronic journal back file is not equivalent in coverage or content to the print back issues, either because issues are missing, or content is selective rather than complete. The image quality of illustrative materials (tables, graphs, photos, illustrations, musical notation, scripts other than English, etc.) in books or journals is inferior and is not adequate for teaching, learning or research, or printing gives unacceptable results. In the case of journals, such instances are reviewed on an annual basis prior to renewal of the print subscription. The book is acquired as an archival copy, for a special collection, or is significant in its own right in print format. A print copy of a book is needed to meet equity and accessibility requirements. Archival Electronic Journal Collections Increasingly, publishers are digitising back runs of print journals. These archival collections of journals are evaluated for completeness, quality, and publisher commitment to digital preservation and perpetual access before purchase. Examples of journals available in secure archival back sets include those of Nature Publishing Group, Wiley, Elsevier, and the American Chemical Society as well as the hundreds of titles available through JSTOR JSTOR titles are mostly the journals of scholarly societies. Journals archived in these collections are the full online equivalent of the print journal. JSTOR has also undertaken to preserve full print sets of the journals it digitises. The library will consider subscribing to archiving services such as PORTICO to ensure there is protection against the potential loss of access to e-literature integral to the library's collection. PORTICO offers a service which provides a permanent archive of electronic scholarly journals to ensure that these materials remain accessible to future scholars, researchers, and students. Ebooks Whenever possible, the Library will seek to purchase or license access to electronic copies of all texts deemed to be in high demand, including course-related material. It also acquires collections of mostly older out-of-print books which have been digitised, to support research by adding depth to the collection. When requested to acquire theses from other universities, PDF files are purchased and placed on a local server for access through the catalogue. Preference is given to purchase of perpetual access rather than to subscription to ebooks, except when the subscription model provides for the continuing updating of texts. The library catalogues and links to free ebooks on the web when their content is relevant to learning, teaching or research at University of Melbourne. Collections Development Policy 4 The library favours ebook access models which overcome the limitations of print books and ebook platforms which are not overly restrictive in allowing printing. Preference is given to acquisition models which minimise the workload for library staff in placing orders and acquiring catalogue records. Digital Collection Policy This policy relates to content that is submitted in a digital format to the University‘s Digital repository, and includes full text research outputs of University staff (UMER), content for the Library’s electronic reserve collection (Readings Online), past exam papers as well as material that is digitised. Our aim is to make as much of this material easily accessible for the purposes of research, learning and teaching. Requests for new collections to be set up in the Library’s Digital repository must be approved by the Manager, Collection Development. UMER (University of Melbourne E-prints Repository) The UMER collection is restricted to deposits of full text electronic research output by academic staff, postgraduate students and (where appropriate) general professional staff of the University of Melbourne. External contributors may be included if they are co-authoring with University of Melbourne authors or are affiliated closely with the University, e.g. emeritus professors or holders of honorary appointments. Formats will include the following: pre-prints working papers published articles (post-prints) books/monographs book chapters online journals research reports inaugural lectures draft or final conference papers data sets theses any other form of research output which can be technically loaded to the repository. This would exclude software programs and websites, for example. The preferred formats are pdf and html, but other formats will be accepted as required by the content, e.g. laTeX. Readings Online The Library makes available copies of journal articles and chapters of textbooks cited on reading lists through Readings Online which can also be linked through from the LMS. Access is limited to University of Melbourne staff and students. The following guidelines apply: Collections Development Policy 5 preference will be given to linking to existing licensed information resources rather than making a new electronic copy and storing locally all copying must comply with the educational copying provisions of the Australian Copyright Act and University policy. Examination Papers The Library makes available end of semester examination papers, provided a department has given permission for the exam paper to be deposited in the Library’s Digital repository. Access is available via: http://www.lib.unimelb.edu.au/collections/exams/ Access is limited to University of Melbourne staff and students. Digitised collections http://library.unimelb.edu.au/digitalcollections The Library holds many important, rare and fragile items in its collections. These items require careful treatment, storage and handling to ensure they are preserved for future generations. Access to many of these items is restricted, and their existence is not always known. The aim in digitising these items is to enable increased access as well as conserving the original artefacts. Through a recently-developed strategic digitisation program, the converting many original and heritage items into digital objects research, learning and teaching that can be accessed by users digitising activities are undertaken in accordance with the Library's Policy. (Link to be provided when up on web) 3.3 Library is to support online. All Digitisation Collection Review Policy and Guidelines A collection review policy is in place within the University of Melbourne Library. This governs the process of identifying the collections that should be housed on campus. For open access collections, the material held on campus should be high use, ensuring that collections are usable and relevant. There are various outcomes that arise when collections are reviewed: material may be transferred to Special Collections, relocated to one of the off-site stores, or deselected and removed from the catalogue. The Library has several off-site storage facilities which have different characteristics. With an existing collection of over three million volumes, with up to 60,000 new print volumes being acquired by the Library each year, and a limited capacity to accommodate expanding collections on-site, collection reviewing is a necessary activity that must take place regularly. If collections are not reviewed and low use material is not moved off-site, then the library’s spaces become overcrowded and it becomes increasingly difficult for students and academics to find material. Collection reviewing is particularly appropriate in large undergraduate collections where copies of outdated material can be mistaken for current editions Student feedback from surveys – University of Melbourne Library Client (Insync) and Quality of Administrative and Support Services for Students (QASSS) - show that the Collections Development Policy 6 quality of the collections and the ability of students to find what they are looking for are of prime importance. 3.3.1 Definitions Reviewing: Discipline and liaison librarians review materials (all formats) currently housed on open access library shelves using a number of criteria, for the following reasons: Optimizing space and shelving for the collection; the library receives around 55,000 new print monographs and 5,000 print serial volumes every year. Removal of damaged, redundant and obsolete material from the open shelves to ensure a high proportion of recent, relevant material is available. Open Access: Items on open access in the University of Melbourne Libraries are located in any of the branch libraries listed in the catalogue. All library users may freely access the material for use within the branch library, and most items are available for loan. Deselection: Library materials that are deselected are no longer owned by the University of Melbourne. They may be discarded or sent to the CARM Centre consortium collection. Relocation: Library materials that are relocated to an off-site store may be sent to the University of Melbourne Library Store, to the space leased at CARM by the University or to the CARM Centre consortium collection. With the exception of books ceded to the CARM Centre consortium collection, any of these materials may be returned to open access if their anticipated demand changes. Items ceded to the CARM Centre consortium collection can be borrowed through the document delivery system but cannot be permanently returned to the University Library collection. Materials identified as more suitably located in other collections within the Library may be relocated with the agreement of the relevant librarians, and in consultation with other stakeholders as appropriate. Criteria may include rarity, condition, provenance, age, subject matter. Discard: Items that are discarded are mostly superseded or duplicated copies of textbooks that are no longer in demand. 3.3.2 Responsibility for Collection Reviewing Collection reviewing programs are undertaken by the Library staff as part of routine collection management. Staff have specialist knowledge and expertise in their subject areas, including information on the use of the collection. Accordingly responsibility for reviewing is allocated thus: 1. Discipline and liaison librarians select material proposed for review according to Policy which follows, and which has been endorsed by the University Libraries Committee as part of the overall Collection Policy. 2. Academic staff are given the opportunity to review lists of last copy items identified by discipline and liaison librarians for deselection. 3.3.3 Collection Reviewing Guidelines Last copy retention Management of the only copy of a title is the responsibility of the library or collection which acquired it. The decision to retain an item in the collection or to Collections Development Policy 7 relegate it to storage will be made by the relevant Discipline Librarian or delegate. If there are duplicate copies across the system, the primary responsibility for managing the last copy lies with the most relevant discipline library. If there is uncertainty about the primary responsibility, agreement should be reached between the respective librarians before disposal of duplicate copies is allowed. If the matter is not resolvable, it should be referred to the Director, Collections. Disposal Register The Library will keep an assets disposal register (“The Library Disposal Register”) to record items withdrawn for disposal from its general collections, in compliance with University Financial Planning’s auditing policies. 1. Guidelines – monographs Discipline and liaison librarians will select monograph material for review, taking into account the following factors: Relevance / Currency Material from all disciplines will be considered for relocation to Store or deselection. Nature of item The following categories of material will regularly and routinely be relocated or discarded: Superseded textbooks, school textbooks and secondary compilations Duplicate and multiple copies Non-scholarly, popular treatments Language Material in languages not currently used at the university will be considered for relocation or deselection. Usage Material which appears to have been consistently used based on loans and interlibrary loan records, photocopy and re-shelving records and local staff knowledge, will be retained. Items seldom or never used will be considered for relocation or deselection. Physical condition/Damaged items Items in poor physical condition as a result of consistent usage will be regularly and routinely discarded, if library staff deem them unrepairable. Decisions regarding replacement of damaged items will be made by library staff, taking into account whether they are available within a reasonable timeframe and expense. Repair or rebinding of materials may be undertaken as a result of the collection reviewing program. Collections Development Policy 8 Poor physical condition of little-used material may suggest the costs of repair or re-binding and retention are unjustified. Special Collections will be consulted when items are considered to be of potential significance. Subject Where discipline or liaison librarians are aware that the University is not currently teaching or researching in a particular subject area, the collection may be reviewed and relocated to off-site storage. 2. Guidelines – serials Discipline or liaison librarians will select serial, journal or periodical titles for review, taking into account the following factors: 2.1 Current subscription status of serial titles Studies have suggested that back issues of cancelled or ceased titles are less likely to be consulted than the back issues of titles of equivalent age to which a current subscription is maintained. Therefore back sets of titles to which the library currently subscribes will be retained. However, if an electronic archive copy of a title is available, consideration will be given to relegation to storage of the print volumes. If a title has been cancelled or ceased publication, the future of the complete set will be reviewed. 2.2 Nature of title Titles containing research findings, historical information, statistics or similar prime source material, will usually be retained. Titles with directory information, newsletters and other ephemeral publications will be considered for review. 2.3 Usage Usage will be determined from loan records, photocopy and interlibrary loan requests, and re-shelving required. Titles seldom or never used will be considered for relocation or deselection. 2.4 Completeness of set A very incomplete serial or journal set may be relocated or deselected. 2.5 Physical condition A set which is unbound or in poor physical condition may be relocated or deselected. If there is evidence of high usage, microforms or electronic access will be considered. 2.6 Subject Where discipline or liaison librarians are aware that the University no longer teaches or undertakes research in a particular subject area, holdings will be reviewed for their relevance and may be relocated. 2.7 Holdings in other libraries Collections Development Policy 9 A title not held elsewhere in Australia will be retained, as a matter of principle, in support of scholarship and research. A title not held elsewhere in Victoria will be retained unless the case for disposing of it is very strong. 2.8 Electronic vs print journals Decisions on whether to replace a print journal subscription with an electronic subscription will be made after consultation with academic staff and reference to the Electronic Collection Policy. 3. Superseded formats and editions Earlier editions or formats of print and other material will be considered for deselection. Print versions of items available electronically will also be considered for relocation or deselection. 4. Non – print materials The criteria for review above will be applied to all formats of library material (CDROMs, audio visual, computer software, realia, etc.) where appropriate. Superseded formats may require reformatting or replacement. 5. University of Melbourne Library Store The Library Store exists to house materials that are low-use but are still required by University researchers and students. Only one copy of each edition of a monograph and one run of a serial title will be held in the Library Store. If demand for particular items located in Library Store changes, items can be returned to open access. Material located in the Library Store is identified on the catalogue ‘copy availability’ screen by the location name ‘UniM Store’. 6. CARM Centre The CAVAL Archival and Research Materials (CARM) Centre is a storage facility jointly founded and co-owned by the University of Melbourne and other major research libraries of Victoria. CARM is a purpose built high-density storage facility for lower use research material, to ensure the availability of this material for current and future generations of scholars. Material identified for deselection is routinely checked for eligibility for the CARM cooperative collection. Items sent to this collection are not ‘owned’ by the University of Melbourne and cannot be returned to open access. However, they can be ordered by staff and students for borrowing through the document delivery service. In addition to contributing to the CARM consortium collection, the University of Melbourne Library also leases space at the CARM Store to accommodate its own collections. This space is in addition to the University’s Library Store facility. Items in these collections remain the property of the University Library and can be requested for return to the Library as well as being available for loan to requestors. 7. Cooperative relationships and partnerships These include: Collections Development Policy 10 3.4 Go8 (Group of Eight) The University may participate in Go8 consortium purchases of electronic resources which provide appropriate economies of scale. CAUL (Council of Australian University Librarians) provides a mechanism for consortium purchase of electronic resources, CEIRC. ALIM (Asian Libraries in Melbourne) is a joint Melbourne-Monash Protocol initiative with the objective of promoting cooperation in the use of Asian studies resources acquired by the two universities. CAVAL (Cooperative Action by Victorian Libraries) The University of Melbourne is a member of the CAVAL consortium of the Victorian University Libraries and the State Library of Victoria. CAVAL facilitates staff and students borrowing under the CAVAL program from Victorian universities. CARM (CAVAL Archival & Research Materials Centre) The University of Melbourne is a founding member of this CAVAL initiative. CARM provides a state of the art purpose-built high-density storage facility for joint storage of low-use research materials to ensure their retention and preservation. University Library Australia National Borrowing Scheme Melbourne participates in the University Library Australia National Borrowing Scheme organised by CAUL. The scheme allows staff and students to borrow from other Australian academic libraries participating, thus broadening the collections base available to them. University Library Australia National Borrowing Scheme Melbourne participates in the University Library Australia National Borrowing Scheme organised by CAUL. The scheme allows staff and students to borrow from other Australian academic libraries participating, thus broadening the collections base available to them. BONUS+ is a resource-sharing project that enables the lending of selected library material among the staff and students of participating universities: Deakin University; Edith Cowan University; La Trobe University; Massey University; Murdoch University; Queensland University of Technology; University of Ballarat; University of Melbourne; University of Newcastle; University of Technology Sydney; Victoria University. Donations, Gifts and Bequests Policy and Guidelines Guidelines for Donors Financial donations The University of Melbourne welcomes gifts and bequests of money that support our libraries. Funds received will be used in developing our collections, including the purchase of invaluable but prohibitively expensive items. Donors can specify how the donation is to be spent (e.g. for a particular collection). All donations to the University of Melbourne of $2 and over are tax deductible. Donors are invited to contact: Collections Development Policy 11 The Advancement Office Level 3, 45 Barry Street The University of Melbourne Victoria 3010 Australia Tel: +61 3 8344 1751 http://www.unimelb.edu.au/alumni/giving/ Donors may also wish to consult the Australian Taxation Office website. Gifts of published material The Library welcomes gifts of published material that meet criteria that support the learning, teaching and research endeavours of the University and build on our historic collections. As there are always costs associated with the preservation, repair, cataloguing and storage of gift collections, financial support to meet these costs is always appreciated. Offers of gifts with significant resource implications must be approved by the Director, Collections. To build the depth of the collection, the Library is keen to acquire rare, unusual and ephemeral materials that are not already held. There are, however, some materials that we cannot use: Duplicates of titles already in our collections - please check our Library catalogue Superseded editions of textbooks or reference works Materials that have been stored for a long time and that show signs of mould, or are in poor condition Science and technology materials published more than four years ago Copies of much that is found in a typical private scholar's library or professional texts or general working collections. Condensed versions (e.g. Reader’s Digest condensed books) Gifts may not be able to be accepted if the donor wishes to place limitations on their use or disposal. Any restrictions placed on the Library in accepting donations must first be agreed to in writing by the Director, Collections. In cases where it is necessary to decline a donation, the reason will be explained to the prospective donor. It is Library policy that gift material becomes the property of the University of Melbourne. Such gifts will be integrated into the existing collections, and cannot be claimed back at a later date. They are subject to the same conditions of use as existing collections, including retention, location, use and disposal. Assessment of Gifts The Library reserves the right to decline or dispose of gift material. As shelf space is limited, all individual titles are carefully reviewed for their usefulness. Funds for cataloguing are used firstly for high-use materials, so it can be the case that donations may not be catalogued immediately. Further Information To discuss your gift, please contact the relevant discipline liaison librarian. For material published prior to 1900, please contact the Curator, Special Collections. Collections Development Policy 12 Please note that we can only accept material by prior arrangement. Cultural Gifts Program Under Subdivision 30-A of the Income Tax Assessment Act 1997, a tax deduction for the market value of a gift may be available to donors offering important collections or individual titles to the University of Melbourne. Each gift needs to be valued by two valuers chosen from a list of those appointed for the purpose by the Commonwealth Government. In addition, a Transfer of Ownership must be completed, transferring ownership from the donor to the University. The Library obtains valuations of donations made, thus securing taxation benefits for donors. More information on the Australian Government’s Cultural Gifts Program Cultural Bequests Program This is a program aimed at private collectors who may wish to bequeath nationally significant cultural items or collections to the University. Such bequests are encouraged, not only by being made exempt from capital gains tax and by making the agreed value of the gift tax deductible against the income of the donor's estate, but by also allowing the donors to retain custody of the item(s) during their lifetime. To discuss the Cultural Gifts and Cultural Bequests programs, please contact the Cultural Collections Coordinator 3.5 Intellectual freedom and censorship policy Free access to ideas and full freedom of expression are fundamental to the educational process. Academic libraries have a responsibility to ensure that the selection and availability of information resources are governed solely by professional considerations. The policy also affirms the library’s commitment to intellectual freedom. The University of Melbourne Library purchases materials that represent a wide variety of viewpoints. Selection of materials may involve resources which could be considered controversial by some individuals or groups. These materials are acquired to support approved teaching and research programs of the University and to represent all aspects of controversial issues, as well as the diverse needs of the University community. The acquisition of, or access to, such material does not imply approval or endorsement of the content by the Library. Library users are entitled to rely upon the Library for information in all fields of human activity. The Library does not add or withdraw, at the request of any individual or group, material which has been chosen or excluded on the basis of stated selection criteria. No information resources should be censored or removed because of disapproval of the author’s political, social, moral or other opinions. Selection guidelines protect the library from pressure to acquire or provide access to inappropriate materials. Collection development and management in the library are guided by: The ALIA Statement on Free Access to Information adopted in 2001. The International Federation of Library Associations and Institutions (IFLA) Collections Development Policy 13 Glasgow Declaration on Libraries, Information Services and Intellectual Freedom (2002, revised 2004) In determining what materials are acceptable, the Library's final guide is the relevant law of Australia. If materials have not incurred penalties under Australian law, such materials cannot be excluded from the Library to satisfy individual or sectional interest. PART 4 Revision no Version 3 REVISION HISTORY Approved/ Removed Date Under 3.1 – Collection boundaries 19 April 2010 Under 3.3.3 Last copy retention 18 June 2010 Under 3.2 Digital Collections; Ebooks 8 September 2010 Under 3.3.3 – Disposal Register 17 December 2010 Collections Development Policy Document Collection Development Policy Revision approved by Collections Committee 14