Library Storage and Relegation Master Plan 2002-2009

Libraries Storage and Relegation Master Plan 2002-2007

A Introduction The unprecedented growth in the volume of both printed and electronic scholarly information has posed most academic and research libraries across the world with the question of how to best store their physical collections. Library collections are surpassing their primary buildings’ ability to house them. Open stacks are the most favoured means of storage because, among a host of other reasons, they lend themselves to browsing and the opportunity for users to serendipitously find other items. Compact shelving is one method by which open stacks can be expanded (by about one third) but this has its limitations, as users are required to operate some form of mechanism. Additional problems with this type of storage centre on the weight exerted by them and the densely packed collections that they hold. Many large research libraries also utilise some form of remote storage that allows materials to be arranged in such a manner that a higher volume can be concentrated into a similar floor space.

The University of Hong Kong Libraries is no different. We are facing a crisis in our ability to adequately store all of our collections in open, easily retrievable locations that are favoured by our users. The Main Library is crowded and rapidly reaching capacity. A brief walk through the open stacks reveals bulging shelves where books sometimes need to be shelved sideways or are squeezed too tightly leading to their damage. With the exception of the Music and Education Libraries the situation is less dire in the branches. As an example, overall, the Main Library will reach 85% capacity in September 2003 and with no action will be entirely full by the end of 2005. Some materials are already kept in storage areas away from open shelves and users direct access. The first of these can be found in the Main Library Ground Floor compact shelving. The other main remote storage collection can be found in the Hing Wai building in Aberdeen.

B Objective The aim of this plan is to provide a blueprint that will allow the Libraries to maximize their ability to stock the growth in their physical collections for the coming seven years, or as far as physically possible if storage capacity cannot extend this far. While this may appear ostensibly simple, it is not.

There are many problems and complexities to be overcome. We have a large Main Library and six branches each with varying storage needs. The physical dimensions of the open stacks and the available storage areas are finite. The existing storage areas have not been established as high-density storage. A myriad of formats, shapes and sizes need to be considered. Both Chinese and Western language material are to be considered. A variety of classification schemes are in evidence. Some collections are not classified or even catalogued at all. Current storage facilities are arranged as mini collections replicating their places of origin. Resulting from these issues is a significant waste of storage space in both Main Library and Hing Wai storage areas.

C Principles of Relegation and Storage Collections The Libraries currently has two storage areas available. These can be found in the Main Library ground floor and the Hing Wai building’s 14th and 31st floors. While both storage facilities are fitted with compact shelving, neither has been designed as high-density storage facilities enabling extensive storage capabilities employing high-level shelving and automated storage and retrieval systems.

1 In order to maximize space utilization, minimize duplication of effort and gain user support and understanding, while at the same time retaining some degree of flexibility in arrangement, storage and retrieval, the following principles are to be adopted:

1. In as far as possible, open stack collections should not exceed 85% occupancy of their total capacity, the percentage where library collections are considered full. Having reached 85%, library collections require maintenance to ensure even distribution of free space, usually resulting in the need to shuffle collections in order to fully utilize that space. As mentioned above, even though the Main Library has not reached this capacity overall, it is already necessary to shelve books incorrectly leading to their eventual damage. In order to optimise user access to collections for the longest possible period of time, material should be relegated when the overall capacity of the collection from where it comes has reached, or is rapidly approaching, 85%. Libraries will only relegate the volume of material that will enable them to annually stay within their 85% capacity. While this principle is fundamental to good collection maintenance and physical access, it can only be accommodated for a limited period of time, considerably shorter than the seven years proposed for this plan. Appendix 1, Existing and projected shelving space in libraries and storage facilities 2002-2009, reveals that from now until June 2009 a total of 19,676 metres (or approximately 627,000 volumes) need to be relegated across all collections in order to maintain an 85% capacity in the open stacks, yet there is only 11,005 metres of shelving (space for approximately 350,000 volumes) available in existing storage. The projections further reveal that, at the current rates of growth, overall the storage facilities will be fully occupied around February 2007. In order to apply this principle for the duration of this plan it is patently clear that further storage facilities must be acquired or the Libraries must slow the growth rate of physical volumes. Failing this, it will be necessary for the Libraries to forgo this principle in order to house its collections leading to full capacity of all storage and open stacks by early 2009. 2. Collections should not be relocated more than once during the duration of this plan. 3. Collections should be combined and arranged in a single sequence utilising some form of sequential numbering as a locator whenever possible. 4. Material should be sorted and shelved together according to size. The rationale for this is that it eliminates the unused vertical space caused by uneven sized items. The use of the large book sequence in our open stack collections is a limited application of this technique. As the use of a sequential numbering is to be adopted as a locator, greater use can be made of size arrangement, resulting in greater vertical storage density. Most high-density library storage facilities, including those of the Harvard and Yale Libraries, arrange their collections according to size and within containers on large deep shelves that are usually retrieved with the use of a forklift or other mechanical device. While the containerisation option is ruled out, and the need for forklifts is unnecessary, there is still space saving to be gained if materials are organized, to at least some extent, according to their size. This should serve to maximize the number of shelves that can be accommodated in a single bay. The number of size categories varies significantly and can be as many as ten. The number of sizes to be adopted at the HKUL storage facilities requires further investigation. This number may be limited and may vary from Main Library to Hing Wai due to the low shelving (5 shelves of standard height per bay) on the 31st floor at Hing Wai. The difficulty in using this approach is that, in most cases, areas of the storage facility are designated for the respective sizes they will accommodate. Within the limited facilities available to HKUL this would have the potential to waste space, as each annual relegation will yield an unpredictable number of sizes per category. Nonetheless, existing storage material could be organized in this manner and each subsequent relegation could in turn recommence this size ordering. 5. Space-wasting arbitrary allocations of storage space to particular collections/departments will no longer exist.

2 6. Storage space will be made available annually, and material will be relegated annually, according to demonstrated need, namely space availability in existing collections (as per principle 1, 85% capacity) combined with projected annual growth for those collections (see Appendix 1). 7. Duplicates within and across storage facilities will be removed. 8. Material will be selected for relegation only following consultation with academic staff. It should be recognised that different disciplines will have different needs in this regard and that, wherever possible, the Libraries should accommodate those needs. 9. It must be obvious to all library users that relegated material, including partial runs of journals, can be clearly identified as such from Dragon and other sources as appropriate. 10. Guidelines for “de-relegation” (where materials are returned from storage to the open stacks) should be considered for material held in storage that proves to be requested frequently.

D The Main Library Storage Facility The Main Library compact storage facility, situated behind the Circulation counter, currently houses less utilized material from the Main Library, Education Library, Fung Ping Shan Library, Music Library and Special Collections.

Because of greater accessibility and convenience, the Main Library storage area is seen as the preferable option for the destination of relegated material. This area, however, is limited in its capacity and is smaller than the storage space available at Hing Wai. To compare, the following table compares (in metres) the existing capacity, occupancy and availability of the two facilities:

Existing Occupancy of the Storage Facilities Facility Total Capacity Current Occupancy Available Shelving

Main Library 8534 7657 877 Hing Wai 18676 8548 10128

This data reveals that the Main Library storage area is currently 90% occupied with only 877 metres of shelving still available, whereas the Hing Wai storage area is only 45% occupied with approximately 10,128 shelving metres available. In order to maximize use of the Main Library storage facility and to accommodate future growth, certain material should be relocated from this storage facility to Hing Wai.

In order to determine which materials should be given priority to be stored in the Main Library storage facility, the following factors are to be considered:

1. Demonstrated and Projected Usage. Material that has demonstrated greater usage, as well as that which has the potential for higher usage should be retained in the Main Library storage area. For example, due to the Education Library’s size and its need to relegate more recent materials, usage data shows that those monographs relegated to the Main Library compact store have heavier usage than some of the other collections in this area. Main Library monographs previously relegated to the Main Library storage area had shown no circulation activity for the six years prior to their relegation. Relegation of these monographs first occurred in 1989. As usage is to be a major factor for storage in the Main Library storage area, a further analysis of these monographs’ circulation activity could well justify their further relegation to Hing Wai in order to make way for more recent material and for the material

3 covered by the following factors. While it may be argued that all monographs (or journals for that matter) from a particular collection, e.g. Main Library, should be kept in one storage facility, this is neither physically possible nor good practice when attempting to provide ready access to material that is likely to have higher demand. Irrespective of their storage location, monographs can still be accessed via Dragon, making them at least virtually accessible. As usage must be the principal factor for storage in the Main Library, the most likely candidates for heavier usage should be kept there even at the expense of dislocating collections across the two storage facilities. 2. Monographs vs Journals. Most users who need a monograph generally require the whole or at least a significant proportion of that monograph. Because of the range of articles to be found in a bound journal, most users only require one or two articles from that bound journal. As the physical retrieval of bound journal volumes is largely for a limited amount of information, a document delivery service could be provided for articles contained in journal collections. Such a service would be less possible for monographic and other non-journal material. Relegated journals should therefore be stored at Hing Wai with an electronic document delivery service provided from that site. Furthermore, as the access to electronic journals grows and improves, we have witnessed a marked decline in the use of print journals. 3. Materials that accompany items held in the Main Library open stack collections. These include items such as accompanying computer discs and maps. It would be futile to separate these items from their parent source. 4. Small collections that have been relegated from the smaller of the branch libraries. Because of their limited space, both the Education and Music Libraries must relegate material that often still has a degree of demand higher than other relegated material. Furthermore as these collections are relatively small they can be readily accommodated, thereby minimizing disruption to some user groups. 5. Material that is complex to retrieve. Some collections are difficult to use without some degree of knowledge of the publications. For example, some Special Collections materials would prove difficult to retrieve for those lacking familiarity with those publications. Similarly the FPS 杜 collection is difficult to retrieve. 6. Fragility and preservation. Materials that are fragile and require special attention in their handling and transport could be well served in a closed facility. While the Hing Wai storage facility provides a suitable preservation environment for such materials, the need to physically transport this material to another campus may prove damaging to their longevity.

These six factors should be considered in decreasing order of priority.

As a result, the following collections are to be relocated from Main Library compact storage to Hing Wai: 1. All monographs currently residing in Main Library compact storage that have not circulated in the past 6 years AND whose publication date is pre 1975 (approximately 50,000 volumes or ca 1400 metres) 2. All journals (ca 1952 metres) 3. Certain little used Special Collections materials, primarily newspapers (502 metres) 4. Miscellaneous collections including old reference books, AV materials and pamphlets (130 metres).

In addition to this, the thread-bound material located at Hing Wai (Fung Ping Shan Du collection - approximately 700 metres) should be relocated to the Main Library storage facility.

Resulting from this the following material is to reside in the Main Library compact storage: 1. Remaining Main, Education and Music Library monographs currently held in Main Library compact storage

4 2. Main Library monographs to be relegated from open stacks over the coming years (usage) 3. Education Library monographs to be relegated from open stacks over the coming years (usage) 4. Music Library monographs to be relegated from open stacks over the coming years (usage) 5. Main Library and Fung Ping Shan Library accompanying materials plus their future growth 6. Thread-bound material namely the FPS Shan (already in Main Library storage) and FPS Du (to be relocated from Hing Wai) collections and their growth in the coming years (fragility/usage) 7. Certain Special collections materials, namely the tourism collection, accountancy books and geo-technical reports plus any future growth of this material (complexity and usage).

Following this redistribution of material in the storage collections, a more equitable distribution of shelving is available across the two facilities. This will allow a more evenly distributed pattern of growth for both facilities while also allowing the Main Library storage to accommodate more potentially heavily used, specialised and fragile material into the coming years.

E The Hing Wai Storage Facility The Hing Wai remote storage facility currently houses less utilized materials from the Dental Library, Fung Ping Shan Library, Law Library, Medical Library, Reference Department and Special Collections.

In order to accommodate material to be housed in the Main Library compact storage area, certain materials will need to relocate from Main Library compact storage to Hing Wai. These include: 1. All monographs currently residing in Main Library compact storage that have not circulated in the past 6 years and whose publication date is pre 1975 2. All journals 3. Certain little used Special Collections materials, primarily newspapers 4. Miscellaneous collections including old reference books, AV materials and pamphlets.

These materials will join the existing collections already at Hing Wai. In addition the following materials will be relegated to Hing Wai as the need arises: 1. Journals from all collections, 2. Monographs from Medical, Law, Dental and Fung Ping Shan Libraries and Special Collections.

The following table depicts (in metres) the proposed capacity, occupancy and availability of the two facilities following the proposed redistribution:

Proposed Occupancy of the Storage Facilities Facility Total Capacity Proposed Initial Available Shelving Occupancy

Main Library 8534 4373 4161 Hing Wai 18676 11832 6844

As already mentioned, this redistribution will enable a more evenly distributed growth across the two facilities. However, as illustrated in Appendix 2, Projected shelving space in storage

5 facilities 2002-2009 following redistribution of storage facilities and annual relegation, the existing growth can only be accommodated until the end of 2006 for the Main Library storage facility and until mid 2007 for Hing Wai. It is clear that without slowing the existing growth rates, further storage facilities must be acquired by this time. Failing this, it will be necessary for the Libraries to forgo the principle of 85% occupancy (a situation which would lead to disorderly stacks, significant user disruption and damaged books) in order to house its collections leading to full capacity of all storage and open stacks by early 2009.

F Material for Relegation – Options for Consideration As a fundamental principle, the user community is to be consulted on all material that is to be selected for relegation. Some options that may be suggested follow.

Monographs In its criteria for relegation to compact storage, the Libraries’ Collection Development Policy states for the Main Library: “Books with non-circulating records for a determined number of years (currently 6 years)” will be relegated to storage. This policy has not been fully implemented for some years. Currently 86,364 monograph volumes are kept in Main Library storage. If implemented this would result in the further relegation of approximately 84,000 volumes, freeing up the equivalent of approximately 2,400 linear metres of shelving.

In the case of branch libraries, the Collection Development Policy provides for the relegation of monographs with non-circulating records for a determined number of years (Dental Library - 5 years, Education Library - 3 years, Law Library - 5 years, Medical Library - 8 years, Music Library - 5 years).

Journals The Main Library journals collection is 81% occupied and can sustain growth up to 85% only until the September 2003. The Collection Development Policy states that “Pre-1971 bound serials” are to be relegated to storage. This aspect of the policy was implemented in 1985. Since that time the growth in the serial collection has been profound. The Libraries’ strategy to cease unnecessary duplication between print and electronic, in favour of the electronic, may have some effect on slowing down the serials growth process but this is a longer-term approach whose impact will not be felt for some time.

Older Journal Volumes The previous serial relegation conducted in 1985 allowed the current 15 years of serials to remain in open stack. Earlier volumes of bound volumes were relegated based on the assumption that these were less likely to be used than the more recent issues. If a similar method were to be adopted in 2002, we would expect to relegate pre 1987 bound serials. However the strategy to cease duplication between print and electronic, in favour of the electronic, may have a slowing-down effect on the rate of print serials growth. For the purposes of illustration, two options are examined. Firstly, relegating pre 1986 bound serials, in other words 1971-1985, would result in 2008 metres (or approximately 64,000 bound journal volumes) being freed up for future years growth. Alternatively relegating pre 1981 bound journals, i.e. 1971-1980, would free up 1339 metres (or approximately 42,000 bound journal volumes).

Ceased or Cancelled Journals Journals that have ceased publication or have been cancelled could be sent to storage however the volume of these is undoubtedly lower than either of the options above. Further investigation is necessary to determine shelving gains from this option.

6 Print for Online Versions The Libraries’ electronic collections are considerable and growing. All material, for which electronic versions exist, might be considered for relegation. Further investigation is necessary to determine shelving gains from this option.

It is clear that relegation will be necessary on an on-going basis. It would be poor practice to relegate large quantities of materials when the need to do so is unnecessary. Appendix 1 illustrates the time frames for necessary relegation for the Main Library and the branches based on 85% occupancy, projected growth rates and existing shelving capacity. Relegating material well in advance of reaching the 85% capacity will be discouraged.

G Arranging the Storage Collections Due to the limitations associated with the existing storage facilities, the physical arrangement for these provides the greatest challenge. What lies foremost in the minds of the Taskforce is the need to maximize the usage of the limited space available while at the same time providing for optimal retrieval. As the storage facilities are not accessible to users, some degree of flexibility is possible.

Three of our Principles for Storage Collections relate to storage arrangement. To recap, these are: 3 Collections should be combined and arranged in a single sequence utilising some form of sequential numbering as a locator whenever possible; 4 Material of a similar size should be sorted and shelved together; and 5 Space-wasting arbitrary allocations of storage space to particular collections/departments will no longer exist.

It is therefore recommended that each storage facility be arranged in one single sequence grouped by size per storage facility. It is further recommended that each sequence integrate, where applicable, journals and monographs, Western and East Asian languages BUT that non-print formats, Special Collections, accompanying and fragile materials be filed separately.

This option almost entirely removes the compartmentalization mentality and the need for allocating estimated space for future growth of these compartments as is evident in the existing arrangement. There are, however, significant resource implications attached to this and the degree to which it may be implemented could depend on the cost involved.

Specifically, it must be asked at what point should the sequential system be adopted? Should all relegated material be allocated this numerical sequence or should it only be assigned to those materials placed into storage in the future. Materials that are currently in storage are organized according to some classification scheme within an existing collection. These materials are readily locatable and would continue to be if they retained their sequence but were compacted adjacent to each other. Subsequent to this, future materials may be processed and provided with the sequential numbering system. While this would provide a clumsy and almost impossible system for users, it would still make retrieving of material possible by library staff. The cost of processing material already in storage may be a factor in this decision.

H Improving Access to Stored Collections As the volume of materials relegated to storage grows the Libraries needs to improve user access to those collections, especially those located at Hing Wai. Specifically, the following should be considered:

7 1. The turnaround time for physically retrieving materials from storage must not increase. While this is generally not an issue with material stored in the Main Library storage area, it does become a problem when physically retrieving material from the Hing Wai storage facility. Currently the Libraries work on a 24-hour turnaround for fulfilling such requests but in most cases, certainly following the introduction of the online request form, most requests are fulfilled on the same day. With the growing volume of material to be housed at Hing Wai, this turnaround time should not increase and further resources may be needed for this service. 2. As noted in D2 above, access to the journal collections to be stored in Hing Wai, could be improved through a photocopying and desktop delivery system. Implementing such a system is potentially costly requiring both technological and human resources.

As a guideline, the following turnaround times should be strived for and appropriate resources should be allocated to enable their realisation. Monographs requested prior to noon to be delivered that same afternoon, those requested after 12 Noon to be delivered the next morning. Journal articles requested prior to 3pm to be delivered electronically that same day and those requested after that hour to be delivered electronically by 11am the next day.

While it is recognised that a working group has been established to look at library access issues, including these, the Taskforce takes this opportunity to give further authority to the task of that group.

In addition to gaining efficient physical access to remote collections, library users should also be able to readily identify from Dragon where any library item is held i.e. its location. Currently, for journals at least, there is no discernible way of identifying from Dragon that a pre 1971 journal is held in the compact storage area. It is assumed that the user is aware that the pre 1971 journals are held in compact storage. As any Reference librarian will attest, this is a false assumption. It must be obviously clear to all library users that any relegated material can be clearly identified as such from Dragon.

I Future Coordination As previously indicated this plan is intended as a blueprint for the future. As such it is limited in its ability to predict any trends or unknown variables that may impact on the storage of library materials. Annual review of the data in this report and the coordination of all Libraries’ relegation needs must be further administered. This task must be assigned to an individual who will take carriage of the recommendations in this report and who will make any necessary modifications into the future. This coordinator must also have a library wide perspective on the issues of storage and must act in an equitable way that meets the Libraries’ broader storage concerns.

Acknowledgements The Taskforce acknowledges the previous work undertaken in this area. In particular that of Tina Yang and William Ko, whose earlier report provided much useful data.

Peter Sidorko Lucinda Wong Tina Yang August 2002