Curating Collective Collections — What’s Your Plan? Writing Collection Management Plans by Sam Demas and Mary Miller (Preservation Strategist, University of Minnesota Libraries) Column Editor: Sam Demas (Freelance Librarian, College Librarian Emeritus, Carleton College & Principal, Sam Demas Collaborative Consulting)

Scenario document and prepare your presentation. A collection management plan articulates Your Provost has received expressions of Happy ending. the overarching collection management strat- egy and the principles and guidelines used in concern from faculty about what is happening What is a Collection ZLWKWKHSULQWFROOHFWLRQV6SHFL¿FDOO\WKH LPSOHPHQWLQJWKHVWUDWHJ\,WLGHQWL¿HVWKH pace and extent of the library moving from “p” Management Plan? VSHFL¿FFROOHFWLRQPDQDJHPHQWSURMHFWVDQWLFL- to e-journals, patron-driven eBook packages, We believe every library should have a pated over the next few years, and describes transferring materials to remote storage, and written collection management plan. the methods for engaging the community weeding materials locally that are available We use the term collection management served in thinking about and participating in through a shared print archiving program the to refer to the set of decisions and activities stewardship of its collections. In essence, the library recently joined. She is aware of these made after items are already part of library plan provides a rational framework for deci- projects because she has declined to push for collections, including: collection consolida- sion-making about our legacy collections in funding for expansion of the library, but is tion, transfer to storage, weeding, preserva- a time of transition. As Ross Atkinson stated anxious to support you in making room to tion, format migration, de-duplication and a about collection development policies, it also develop a learning commons. She wants you range of other activities designed to maintain has a rhetorical function: to make a presentation to the faculty senate in the overall usefulness and integrity of a col- “....should show faculty and students two weeks to provide the big picture. “Help lection, or a set of print collections. Peggy that the reasons the library contains cer- the faculty understand what the library col- Johnson’s apt statement about collection tain materials and not others are part of a OHFWLRQZLOOORRNOLNHLQ¿YHWRWHQ\HDUVDQG development policies applies equally to col- rational, consistent, publicly announced how it will be better for them. Where are we lection management plans. “Libraries with- plan….administrators should be led by KHDGHG"+RZGRWKHVHYDULRXVSURMHFWV¿WLQWR out collection development policies are like the policy to recognize that optimum an overall strategy? What’s your plan?,” she businesses without business plans. Without use is being made of materials funding, asks with some anxiety. a plan, an owner and his employees lack a and….consortial partners should also Fortunately, your staff just completed a clear understanding of what the business is be moved by the policy to view the col- thoughtful process of writing a collection doing now and what it will do in the future, lection development operation as stable management plan. You convene your man- and potential investors have little information and reliable.”2 1 agement and collections teams to review the about the business’s prospects.” Why Having a Plan Matters As we re-select our collections in a collec- tive context, we will be making irreversible decisions to discard large numbers of books News From the Field and journals. The stakes are high if we end up discarding things we should have kept. The v Center for Research Libraries is working with the California Digital Library to systems we rely on are intricate and fallible, develop a Print Archives Preservation Registry (PAPR) system. The system will feature and currently we are under-resourced in col- a searchable database of information about print serial archiving programs, including lection management to accomplish the work titles held, program characteristics (such as retention period, facilities, level of validation, necessary to get this right. In moving towards conditions, accessibility), and availability of titles in digital repositories. http://www.crl. shared collections, what is at stake is long-term edu/archiving-preservation/print-archives/papr survival of the record of scholarship in its origi- v OCLC announced a strategic partnership with Sustainable Collections Services nal print form, the credibility of our profession (SCS), LLC, an organization founded by Rick Lugg and Ruth Fischer of R2 Con- as stewards of this record, relationships we sulting. SCS makes use of the WorldCat Search API to provide decision-support for have cultivated with our local faculties, and collection assessment, de-selection, and shared print projects that leverages WorldCat the notion of collection integrity. Data to help libraries intelligently manage their print monograph collections. http://sus- While the value of focusing on collective tainablecollections.com/ efforts in meeting the challenges of collection v John Berger, Executive Director of the Association of Southeastern Research management is indisputable, it is essential to Libraries (ASERL), announced that ASERL and the four members of TRLN — Duke, DFNQRZOHGJHWKHULVNVDQGGLI¿FXOWLHV,IZH NC Central University, NC State, and UNC Chapel Hill — have joined forces to brush off the risks and later incur irretrievable launch an expanded collaborative print journal archive. losses on behalf of our community, our stand- ing in the competition for local resources will v At their Constitutional Convention HathiTrust members approved a proposal “to be diminished. Locally, transfer to storage, establish a distributed print archive of monographic holdings corresponding to volumes increasing dependence on each other, and represented within HathiTrust that is collectively supported by the HathiTrust member- weeding and disposition of collections are ship.” http://www.hathitrust.org/constitutional_convention2011_ballot_proposals SRWHQWLDOPLQH¿HOGV&RQVRUWLDOO\LVVXHVRI v California Digital Library shared print manager Emily Stambaugh has posted ownership, enforcement of retention commit- a rich series of UC shared print policies. These include both prospective and retrospec- ments, and funding of long-term stewardship tive shared print agreements and MOU’s, and shared print models, policy and processes. ZLOOEHGLI¿FXOWEXWQRWLPSRVVLEOHWRQDYLJDWH http://www.cdlib.org/services/collections/sharedprint/ particularly if we have the support of our in- v A special issue of Collection Management on shared print repositories will be stitutions. Rather than masking these issues, published in July 2012. It will include a much longer version of this month’s “Curating transparency in acknowledging these factors Collective Collections” column by Demas and Miller. and highlighting the areas in which choices are continued on page 00 genres, and what are you aiming for in future? usage level, dates of publication, languages, Curating Collective Collections What unique or little-held materials do you how widely held) and comparison groups (e.g., from page 00 have in the collection? Have you digitized different libraries, Choice, and HathiTrust) these? What role will the library play, if any, governing the analysis, and then review the being made is our professional obligation. in regional and national archiving and resource resulting “pick lists.” Through an iterative Writing a Collection sharing efforts? process of review of results and adjustment of FULWHULDOLEUDULDQVFDQ¿QHWXQHWKHUHVXOWVHW Management Plan What parts of the collection will receive priority for retention in print form? How risk to address both local needs and collaborative We suggest a small team be appointed to tolerant is your institution? To what extent do collection management objectives. develop a draft plan. Invite all library staff you already rely on other libraries for collection How can you use the iterative nature of to participate by commenting on drafts. An access? What are your operating assumptions this process to inform ongoing development iterative process of drafting and discussion about how other libraries will be taking care of the criteria, policies and principles of the should be paced to ensure that disagreements of collection segments your local library is plan? What rules and comparison groups will and complexities do not paralyze the effort. not prioritizing? What are the key collection you use? Is your circulation system optimally Discussion in appropriate campus forums and QHHGVDQGSULRULWLHVRYHUWKHQH[WWKUHHWR¿YH FRQ¿JXUHGWRSURYLGHGDWDRQWKHQXPEHURI IRUPDODSSURYDOLVWKH¿QDOVWHS years? How do you plan to address these? times an item has circulated and the last time The benefits of writing a plan are the :KDWEHQH¿WVZLOODFFUXHWROLEUDU\XVHUVIURP it circulated? process of thinking through the collection this collection management plan? 5. Bibliographic Records, Discovery management strategy in all its complex detail, and Access — The results of decision support having an agreed plan to guide collection man- 2. Print and Digital: Format Prefer- analysis are as good as the data being analyzed. agement decision-making, and communicating ences and Strategies — HathiTrust, Portico, It is essential that member libraries use stan- collection priorities and strategies to internal LOCKSS and other trusted digital archives GDUGVDQGGHYHORSSROLFLHVDQGZRUNÀRZVWKDW and external audiences. The plan may take a create an opportunity to align shared collec- ensure an acceptable standard of bibliographic dual form, comprising a detailed version for tion management strategies with preservation records, local holdings statements, and item internal library audiences and an overview for and access to the growing corpus of digital records. external audiences. surrogates. What digital repositories meet your criteria as trusted repositories? What is No library’s bibliographic data is perfect. The plan needs to be written at a level that your policy on withdrawing local print copies is useful, but not with so much detail that it will You can sample records to determine the nature and relying on digital surrogates and a shared and degree of variability and the data problems bog down the writer or the reader. Start with print copy stored remotely? What is your more macro-level guidelines for the collection that exist. This will inform your approach to policy on retention of print originals that you normalizing data. OCLC reclamation projects as a whole, and then drill down to more detail scan locally? over time. Brevity and simplicity, hard as and collection inventory will identify prob- they are to achieve in treating a complex set of 3. Collective Collections Context — Man- lems with records, provide a reliable control inter-dependent decision-making strategies, are aging local collections in the context of collab- number to match with other institutions, and YLUWXHV6WULYHIRUD¿YHWRWHQSDJHSODQZLWK orative programs provides economies of scale, HQVXUHWKDWWKHUHLVDKLJKGHJUHHRI¿GHOLW\ a shorter version for external audiences. potential expansion of the scope of resources between records and what is actually on the available to a library, and a strong rationale for shelf. Consider using the new OCLC MARC We have all experienced investing consid- ¿HOGSURWRFROIRUGLVFORVXUHRIUHWHQWLRQ erable effort in writing collection policies that local action. It also provides political cover for the inevitable pushback from some patrons. A commitments, condition, and completeness of then sit on people’s bookshelves gathering dust. archived materials. How do we make the collection management successful collective collections program will plan a dynamic document that is used and provide the essential cooperative service layer, How accurate and complete are your re- updated? Taking the time to systematically including friction-free, instantaneous delivery cords, and what limitations will affect collec- update the plan will be the biggest challenge of digital texts, print on demand, and speedy tion management decisions? How accurate are for many libraries. A wiki format might be delivery of print originals when needed. the holdings statements for journals and other useful in supporting continual updating and What are your goals in joining a shared materials in series? Can you rely on the books sharing. print archiving program? What is the archiving that you commit to retain actually being on the model (e.g., central storage vs. “archiving in VKHOIDQG¿QGDEOH":KDWNLQGRIFRS\OHYHO Elements of a Collection SODFH´ DQGWKHFROOHFWLRQSUR¿OHRIWKHFRQVRU- usage data do you have access to? Management Plan tium: i.e., journals only, unique materials, last 6. Retention: On Campus, In Storage, What follows is an overview of issues in- copy repository, publisher-based collections of and Transfer To Special Collections — Each herent in responsible collection management, journals? discipline? area studies, etc.? library needs to establish a framework for life- along with questions meant to initiate conver- Does your shared print program include cycle management: what will be retained on sations. These will in turn generate further a policy-making role for faculty of member central campus in open stacks, what will be topics for discussion, research, and decisions. institutions, e.g., serving on an advisory transferred to special collections, what will be Collection management work is intricate and board? What are the policies on optimal or transferred to storage, what will be reformatted, the elements are highly inter-dependent and minimum number of copies retained, retention and what will be withdrawn? overlapping. You needn’t address all these is- commitment, validation of copies, use of “best General criteria for retention are essential. sues in a written plan, but they are well worth copies,” etc.? 0RUHGHWDLOHGGLVFLSOLQHRUVXEMHFWFODVVL¿FD- thinking through with colleagues. 4. Decision Support Software — The tion criteria may be added over time as they 1. Collection Values, Situation and emergence of decision support software are developed. Key issues in formulating Outlook — Begin with a statement of values (e.g., OCLC’s Collection Analysis, SUNY retention policies include: space considerations and goals informing collection management Geneseo’s GIST, and Sustainable Collections and availability of off site storage; last copy activities. Then try to articulate an overarching Services FDQVLJQL¿FDQWO\UHGXFHWKHODERUDQG guidelines; when and if digital surrogates are strategy for management of the collections that cost of decision-making for retention, weeding, a preferred or acceptable format; and retention provides a framework within which the follow- transfer to storage, preservation, and transfer to JXLGHOLQHVIRUVSHFL¿FJHQUHVDQGRUIRUPDWV LQJVSHFL¿FHOHPHQWVRIWKHSODQDUHFOHDUO\ special collections. They dramatically improve VXFKDVQHZVSDSHUV¿OPVVRXQGDWODVHVDQG tactical implementations of the strategy. support for collaborative collection manage- reference materials. What are your key collection goals and ment and shared print archiving by helping to Retention on campus in open stacks: Have priorities for the long term? What mix of situate local decision-making in a regional and you done collection analysis to identify collec- print and digital materials do you currently national context. tion strengths and weaknesses? What usage have in books, monographs and other key Librarians set the criteria or rules (e.g., continued on page 58 will become more prevalent for monographs inform, educate and engage the larger commu- Curating Collective Collections with the advent of eBooks at scale and with nity in major collection management decisions from page 00 the growth of print archives. Some key con- and programs. It is advisable to start with the siderations in weeding are: how widely to library staff. Next you need the support of criteria will you use and what usage data do consult with users to ensure mistakes are not the administration and an appropriate faculty you have? How will your retention guide- made, criteria and methodology, the impact on governance group, e.g., library committee. OLQHVUHÀHFWGLVFLSOLQDU\GLIIHUHQFHVLQWKHXVH technical services, and timing. Once you have a collection management of literature and the different ways in which SODQGHYHORSDSXEOLFUHODWLRQVSODQVSHFL¿F disciplines value their literature? Involvement of faculty in developing goals and criteria for weeding projects is a to particular projects that will ensure effective Retention in storage: Are there indexed safeguard against making regrettable errors communication. Even with a careful commu- collection segments (e.g., newspaper or journal and undermining faculty trust in the library. nication plan there will be at least occasional runs) that are particularly suitable for storage? $WZRVWDJHSURFHVVLVDGYLVDEOH¿UVWLGHQWLI\ questions, complaints and criticisms. It is Are these materials already included in another candidates for weeding, and then invite faculty important to know how to manage these so shared print archive? Are there collection seg- to review them. WKH\GRQ¶WÀDUHLQWRFULVHV ments (e.g., poetry and literature) that are not particularly suitable? How can you mitigate What are your goals in weeding? What Conclusion the loss of direct physical access by improving criteria will you use? Are you weeding in a col- How likely is this scenario to have a happy intellectual access to stored materials (e.g., laborative context and taking into account the ending on your campus? We have not been able added subject headings, scan or purchase tables holdings of other libraries, or going it alone? WR¿QGYHU\PDQ\ZULWWHQFROOHFWLRQPDQDJH- of contents and indexes, etc.)? How do you Given “bibliographic indeterminacy,” how do ment plans that come close to what we believe differentiate between materials to be stored in you identify true duplicates? Does technical is necessary to convince a library staff and its an on campus ASRS facility and those stored services have the staff capacity to process the community that we know what we are doing.3 more remotely? Will last print copies be ac- materials withdrawn and do librarians have the What’s your plan? cessible in the open stacks or held in storage? time for de-selection? Have you budgeted and planned for careful records maintenance? The authors will be putting their ideas about Are the service guarantees (e.g., delivery time, writing collection management plans to the test provision for on site consultation, provisions 8. Disposition of Withdrawn Materials in our own work over the next few years. We for digital reproduction, etc.) adequate to meet — It is essential to have a written policy state- invite you, dear reader, to do the same and let user needs? ment, approved by the institution, covering us know about your results. Collectively we Transfer to special collections: What crite- this fraught topic. How much and what kind can build a body of experience and develop ria will be used to identify general collections RIHIIRUWZLOO\RXLQYHVWLQWU\LQJWR¿QGD templates to guide the writing of coherent and materials for transfer to special collections good home for withdrawn materials? Among convincing plans for managing our legacy col- or to a “medium rare” location? How can the options are: an ongoing book sale within lections as system-wide resources. transfer to special collections de designed to WKHOLEUDU\GRQDWHWRDERRNVDOHWREHQH¿WD piggy-back on retention, weeding and inven- ORFDOQRQSUR¿WVHOOWRORFDOERRNGHDOHUVRU tory projects? on the Web, donate to a program like Books for Africa, sell through vendors such as Better 7. Weeding — Often politically fraught, World BooksDQGRURIIHUWRIDFXOW\DQGRU weeding is very much a function of local students. collection values and priorities, local circum- Endnotes stances (space, funding, programs), and local Will you recycle materials for which you 1. Johnson, Peggy, “Fundamentals of clientele. It is important to clarify the issues FDQQRW¿QGDJRRGKRPH"+RZWUDQVSDUHQW Collection Development and Management, around weeding, establish a set of criteria and will this process be? To avoid eruptions of ALA, 2009, p. 72. goals tailored to your collection and com- misguided concern, how will you make the 2. Atkinson, Ross, 1986. The language of PXQLW\DQGDVVHVVWKHFRVWVDQGEHQH¿WVRI community aware of what you are doing and WKHOHYHOV5HÀHFWLRQVRQWKHFRPPXQLFDWLRQ weeding. why it is a responsible course of action? of collection development policy. College & Research Libraries 47, no. 2: 140–49. Criteria commonly used include: use, rel- 9. Education, Outreach, and Commu- 7KHEHVWH[DPSOHVZHFRXOG¿QGZHUH evance to the collection, condition, accessibil- nication — While transparency is advised, University College London-Bloomsbury LW\LQGLJLWDOIRUPDQGRUZLWKLQDFRQVRUWLXP many libraries seem to fear the consequences “Collection Management Policy,” “WEST: and number of archived copies held regionally of communication and discussion around these Collections Model,” and an internal report or nationally. Linking weeding to availability issues more than the potential consequences of “Retention Committee Final Report” at the of digital surrogates and print archives is a not informing the community. As stewards of University of British Columbia. key strategy for journals and newspapers, and community resources, we have an obligation to