Policy and Procedure Statement 2.2.1
Guidelines for Writing Collection Development Policy
Statements for
September 2007
I. GENERAL INTRODUCTION
A. Scope and Intended Audience
Collection Policy Statements are documents written by collection development librarians that relate and document the collection building practices of the University Libraries in the past and set forth the Intention of the Libraries for the future. These documents are addressed primarily to the members of the collection development staff, but they also provide useful information to others. These documents relate to the best judgment of collection development librarians of the library resources required to support the curricular, instructional and research programs of the University. Thus these documents serve firsts of all to record existing policies of the Libraries, described with a common terminology and a standard documentary format, which will endure and remain accessible in spite of personnel changes. Secondarily these documents serve the Libraries as program statements wherein the commitments of the Libraries are set forth; in this light they also serve as a major documentation for budgetary needs and requirements.
B. Purpose
A collection development policy statement is a practical guide set forth to help the process of selection. The policy establishes the subject, format, geographical, chronological, language and other selection parameters. It does so by using a commonly accepted format and terminology, so that the policy is readily intelligible not only to its author, but also to colleagues both within the Libraries and without. The policy statement assists in making the concrete choices involved in individual selection, in the formulating of approval plan profiles, in the acquisition of gift and out-of-print materials and in the “reselection” of materials carried out in collection renewal, maintenance and management programs. Because these separate profiles are also records of sustained collection development activity, they are useful documents for public service personnel, for they should reveal with considerable confidence what the library user can expect the collection to provide. Finally, because these policies take cognizance of the existence of other library resources which the library user might reasonably be expected to utilize, these documents can serve as a rough guide to research for the discerning faculty member.
C. Organization and Arrangement
The divisions of subjects or areas among policy statements are made to
respond to internal Library utility, rather than by other sub arrangements of
disciples that may be utilized in the University. Policy Statements do
not correspond to academic department, nor do they correspond entirely to the
arrangement of the Library of Congress classification system. In the
interest of a common vocabulary of collection development among
D. Authorship
Individual policy statements are written by the librarian who serves as the primary selector for a given subject, destination or format. The primary selector exercises major, continuing responsibility for the total growth and maintenance of the collection and is the person to whom requests or questions about a collection would be addressed. The primary selector, in writing a policy statement, naturally is required to consult with secondary selectors who may have a continuing interest in a portion of the collection. However, the progress of preparing policy statements must not be unduly delayed by repeated or overly detailed consultations. Policy statements dealing with closely related subjects will be scheduled simultaneously whenever possible, in order to assist the processes of consultation among selectors.
E. Research and Investigation
No single process or procedure can be set forth to guide the individual collection development librarian in the means, measure, or method of background research required in the preparation of a policy statement. Four areas of information are needed to prepare a statement: subject familiarity, knowledge of the existing collection, the needs and requirements of the user community, the universe of existing, potential resources. An experienced selector will have a store of background information in each of these areas, but will also be cognizant of certain specific matters in which the writing of a policy statement can be the occasion for the acquisition of additional depth and background. Subject familiarity can be gained by using general treatments and guides to the discipline and its literature and by checking standard indices and bibliographies. Knowledge of the collection is gained by using such tools as the North American Title Count, the OPAC , the lists of current subscriptions to sets, series, and journals, and most of all by spending time in the stacks. Finally the expert opinion of a researcher who has used the collection intensively can be invaluable. User needs can be assessed by detailed study of the curriculum and enrollments, by assessing the personal and directed research of the faculty and by gaining familiarity with the major trends and movements within the field. User needs are also determined by the relative strength of a program, the number, level and kinds of degrees conferred and the nature of funded research projects, centers or grants. The selector will recognize that not every trend, program or interest can be satisfied equally or in the specific way that the individual library user may prefer. The universe of potential, existing resources in a field is the most difficult to determine. It may be defined as the hypothetical collection that would result if a library had successfully carried on collection development over a long period at the 5 level. The NCIP verification studies are designed to measure an existing collection against such a yardstick. A selector might also examine printed catalogs of famous collections or might visit such collections. Lists of journals found in comprehensive reference resources are also useful in this regard.
F. Review and Editing
The need for editing should be lessened to the extent that policy statements adhere to the matrix provided. Collection development coordinators for library departments will coordinate the project. They will designate the policies to be written, assign these policies to their authors and set a reasonable timetable for the completion of the draft and final versions. The review and editing process is the responsibility of the subject coordinators of collection development.
II. THE POLICY STATEMENT MATRIX
Appendix A consists of a matrix for the composition of collection development policies. The matrix can be accessed on a disk and the statement can be composed thereon. Alternatively, the matrix can be printed off-line, and used by the selector in traditional ways. These compositions can then be loaded onto a disk by the secretarial staff.
III. COLLECTION LEVEL DEFINITIONS
The definitions below are from the
1. Minimal Level
Few selections are made, but basic authors, some core works, or a spectrum of ideological vies are represented.
2. Basic Information Level
A selective collection of materials, this level serves to introduce and define a subject, and indicate the varieties of information available elsewhere. It may include dictionaries, encyclopedias, access to appropriate bibliographic databases, selected editions of important works, historical surveys, bibliographies, handbooks, and a few major periodicals. The collection is frequently and systematically reviewed for currency of information.
The emphasis at the introductory basic information level is on providing resources that introduce and define a subject. A collection at this level includes basic reference tools and explanatory works; historical descriptions of the subject’s development; general works devoted to major topics and figures in the field; and selective major periodicals.
At the advanced basic information level, basic information about a subject is provided on a wider range of topics and with more depth. There is a broader selection of basic explanatory works, historical descriptions, reference tools, and periodicals that serve to introduce and define a subject. This is sufficient to support students in basic courses as well as supporting the basic information needs of patrons in public and special libraries.
3. Study or Instructional Support Level
A collection that is adequate to impart and maintain knowledge about a subject in a systematic way but at a level of less than research intensity. The collection includes a wide range of basic works in appropriate formats, a significant number of “classic” retrospective materials, complete collections of the works of more important writers, selections from the works of secondary writers, a selection of representative journals, access to appropriate machine-readable data files, and the reference tools and fundamental bibliographical apparatus pertaining to the subject.
At the study or instructional support level, a collection is adequate to support independent study and most learning needs of the clientele of public and special libraries, as well as undergraduate and some graduate instruction. The collection in systematically reviewed for currency of information to assure that essential and significant information is retained.
3a. Study or Instructional Support Level, Introductory
This sub-division of a level 3 collection provides resources adequate for imparting and maintaining knowledge about the basic or primary topics of a subject area. The collection includes a broad range of basic works in appropriate formats, “classic” retrospective materials, all key journals on primary topics, selected journals and seminal works on secondary topics, access to appropriate machine readable data files, and the reference tools and fundamental bibliographical apparatus pertaining to the subject.
This sub-division of level 3 supports undergraduate courses, including advanced undergraduate courses, as well as most independent study needs of the clientele of public and special libraries. It is not adequate to support master’s degree programs.
3b. Study or Instructional Support
Level, Advanced
The advanced sub-division of level 3 provides resources adequate for imparting and maintaining knowledge about the primary and secondary topics of a subject area. The collection includes a significant number of seminal works and journals on the primary and secondary topics of the field; a significant number of retrospective materials; a substantial collection of works by secondary figures; works that provide more in-depth discussions of research, techniques, and evaluation; access to appropriate machine readable data files; and reference tools and fundamental bibliographic apparatus pertaining to the subject.
This level supports all courses of undergraduate study and master’s degree programs as well as the more advanced independent study needs of the patrons of public and special libraries.
4. Research Level
A collection that includes the major published source materials required for dissertation and independent research, including materials containing research reporting, new findings, scientific experimental results, and other information useful to researchers. It is intended to include all important reference works and a wide selection of specialized monographs, as well as a very extensive collection of journals and major indexing and abstracting services in the field. Pertinent foreign language materials are included. Older material is retained for historical research and actively preserved. A collection at this level supports doctoral and other original research.
5. Comprehensive Level
A collection in which a library endeavors, so far as it is reasonably possible, to include a significant works of recorded knowledge (publications, manuscripts, other forms), in all applicable languages, for a necessarily defined and limited field. This level of collection intensity is one that maintains a “special collection”; the aim, if not the achievement, is exhaustiveness. Older material is retained for historical research with active preservation efforts.
APPENDIX A
COLLECTION DEVELOPMENT POLICY STATEMENT
Department:
Subject:
Written by:
Date Drafted:
Date Revised:
I. PURPOSE OR SCOPE OF COLLECTION
A. Curricular/Research/programmatic needs
B. History of the collection/Existing strengths and emphases
II. FACTORS INFLUENCING COLLECTION POLICY
A. Anticipated future trends
B. Relationships with other resources
1. On campus branch or format
collections, if any
2. Regional or network resources, if any
C. Relationships to resources treated in other policy
statements
III. ANALYSIS OF THE SUBJECT FIELD
A. Chronology of the subject: emphases/restrictions
B. Languages of resources collected:
exclusions/emphases/translations
C. Geography of the subject: emphases/restrictions
D. Format of the resources collected: restrictions if any
E. Date of publication of resources collected: emphases if any
IV. LEVELS OF COLLECTING INTENSITY
(Use conspectus divisions and/or compilations thereof followed by the RLG collection intensity level. Notes, if any, should be uniformly brief.)
Conspectus Subject Level Note Call # ranges
V. COLLECTION MANAGEMENT ISSUES
Specific policies, if any, on replacement, de-selection, out of print
acquisition, preservation, etc.
Page Editor: Birdie Beckwith
birdie@msu.edu
February 2001