Scholarly Information Resources and Access Policy

Document Number	000317

Purpose of the Scholarly Information Resources and Access Policy

To provide a clear guide to the University community of the Library's collection development and information access directions.
To ensure a framework by which the University community's information resource needs for teaching, learning and research are met.
To allocate fiscal resources to ensure that the University is at the forefront of sustainable development, as new modes of access to, or physical formats of, information resources become available.
To allow for the provision of general collections and Archives to cement the University's significance in the development of information resources for the region and the nation.

Access and/or Ownership

The development of electronic resources has meant that we may have access to information in an intangible manner - i.e. we are purchasing access to intellectual assets, but they do not have physical formats. This requires a change in the way we manage our resources, and in how we monitor and apply funds so that a balance is maintained between providing access to information, and building a physical collection.

Library Management's responsibility is to reflect on the implications of emerging ways of delivering information, and to develop and enable policy which best delivers information for the individual needs of students and researchers, in a financially sustainable manner from year to year. This reflection and policy development is supported in practice by :

the Information Resources and Access Policies developed by the Faculty Librarians with their individual Faculties,
the Acquisitions Librarian and the Bibliographic Services Manager, in seeking the most viable sources and costs when purchasing materials and providing bibliographic access to resources.

Library Materials Budget

Library Funding Allocation Model

In 2002 a new method of managing the expenditure of funds for scholarly information resources was implemented.

Briefly, this involved not allocating funds to Faculties according to a fixed formula, as was previously the case, but simply to purchase according to the expressed need of faculty. Funds for electronic resources and journal subscriptions were not accounted against faculties or schools, but were seen as whole-University resources.

In 2001, The Senior Management Group endorsed the following principles for the provision of scholarly information for the University of Newcastle.

The University’s strategic plan will inform decisions made about the provision of scholarly information resources.

Scholarly information resources will be purchased in electronic form where available, to maximise availability and flexibility of delivery, with no print duplication unless there are exceptional circumstances.

Information on scholarly information resource needs will be gathered from the academic community, within the context of the university’s strategic directions, so that library and information resource professionals can determine the most efficient and cost effective way to meet the needs. This may be through the purchase of scholarly information resources, or access to indexing and abstracting services supported by document delivery, or in any alternative manner.

Accountability for the disbursement of funds for the purchase of scholarly information resources lies with the University Librarian.

The library will focus on ensuring all academic staff are aware of the electronic resources available to meet their needs.

Summary of Funds

Funding sources:

Operating Grant - 5% indexation from 2002+

Photocopying overhead levy - transferred from the Discretionary fund in 2002

Institutional Grants Scheme and Research Infrastructure Block Grants - 3%

FPOS and FPDS income - 3%. Prior to 2002, no funding was derived from this source.

Incorporation of Ourimbah campus funding for scholarly information resources into the whole Library funds.

For 2003, these sources provide a total of $5,611,000, distributed as

1. Serials and datasets – for the purchase of serials and online datasets, and trials.

Serials and (particularly) datasets are often multi-disciplinary. Most of these funds are committed in advance, but the model recognises that some funds need to be available to accommodate offers or needs which may be identified during the year.

For 2003, an initial allocation of $3,668,000 is made to these purchases, an increase of $200,000 on 2002.

2. Monographs and texts – for the purchase of set texts and recommended readings, other non-serial and undergraduate needs, digital (non-subscription) collections interlibrary loans and, theses and dissertations

This area of information resource funding has been under intense pressure in recent years, and CSQ feedback has identified it as a significant issue for many students. Purchases in this category are managed through a process of assessment and prioritisation between the faculty and faculty librarians.

For 2003, an initial allocation of $1,500,000 is made to these purchases. In 2002, $1,300,000 was allocated; at the end of the year $884,000 had been expended, with the remainder committed against purchases which were invoiced into 2003.

3. Development - for reference materials, general collection materials, archives and rare books, binding, and initiatives development.

This allocation, while relatively small, recognises that there are additional information resource and collection development needs, which do not fall into teaching, learning and research profiles.

For 2003, an initial allocation of $443,000 is made to these purchases, up from $200,000 in 2002. While this appears a significant increase, redistribution to other purchases can be made as needed ; there will also be a need to fund initiatives which may arise from the development of the Information Commons strategic initiative this year.

Review and monitoring

Decisions about how funds are managed will be through a process of negotiation and consultation with faculties, informed by the principles endorsed by the Senior Management Group. Relevant library staff, including the Faculty Librarians, presently work within a process of review and monitoring of information resource commitments and expenditures. This process involves close consultation with faculty library committees and representatives.

Monthly statements

With the introduction of the new funding model, it was agreed that monthly reports on expenditure should be made at Faculty level. This is consistent with other reporting mechanisms, and with the unitary concept of the University structure.

Special Grants and Bequests

Light Memorial Trust

The Light Memorial Trust was established in 1989 as the result of a bequest of Miss Reta Light. According to the terms of the will, the income from the bequest is to be used for the purchase of "books musical scores periodicals and microfilms for the library of the University of Newcastle."

Guidelines for expenditure

Funds should be used primarily to acquire research and major reference materials.

Funds may be used for
- Retrospective purchases
- Purchase of formed collections, especially Australiana
- Costly sets and items
No attempt will be made to spread the expenditure of funds over all disciplines in turn.
The Research Priorities recognised by the University's Research Management Plan will be consulted in determining the allocation of funds.
Material acquired will not be housed separately, but incorporated into the appropriate collections within the library. Bookplates should read "Purchased by the Light Memorial Trust" in accordance with the terms of the Will.
A quality printed booklet will be produced each year, listing the items obtained from the Trust.

Submissions are invited for the purchase of materials which fit the above guidelines, and the Faculties' Research Priorities. A submission form is now available online. Funds are disbursed in September each year, although applications are accepted at any time. Faculty members should contact their Faculty Librarians for details.

NB - according to legal advice, the requirements of the will must be adhered to, to the letter. Alternative formats from those specified above cannot be considered for purchase.

Donations and Exchanges

Donations of items or collections are accepted only if they are relevant to the teaching and research needs of the University community, and/or their acceptance provides a demonstrated benefit to the Library's collections.

Items of a propagandist nature will not be accepted.

Donated items will not be accepted with strings attached - e.g. housing in a special collection - unless they bear particular historic, cultural or tangible significance. In such cases, items or collections will be evaluated individually.

Collection Evaluation and Valuation

Collection Evaluation

The collections are regularly reviewed for relevance and currency, via a range of mechanisms, including Faculty Librarians' evaluation of their disciplines and of the Reference Collections, Materials Availability Surveys, academic staff review and selections for purchase, and Information Resources reviews for relegation and withdrawal of little-used and/ or irreparable materials.

Valuation

The Library's resources are valued annually for insurance replacement cost purposes.

To calculate replacement costs for the collections, an average price per item for the Auchmuty and Huxley libraries is derived from the INNOPAC management system. A processing cost covering acquisition, cataloguing and physical processing is added to the base cost of the items. For the Music Library, and Archives and Special Collections, the average cost per item is derived separately.

Furniture, equipment, and shelving are also costed. Costs are not included for leased items (e.g. photocopiers) or for computer laboratories housed within.

Government Publications

The University of Newcastle Library has a deposit arrangement which guarantees supply of most Commonwealth material published by the Australian Government. The Publications Register provides access to a range of Australian Government Publications.

Certain categories of material maybe discarded. Categories which may be disposed of immediately are duplicates, extracts, posters and similar ephemera, monographs for which there is a later edition and replacement copies e.g. daily for weekly Hansard and weekly issues for bound volumes of Hansard.

Some publications must be kept until superseded or else for 12 months e.g. directories, calendars, handbooks, career information, notice papers for Parliament and brochures providing information on government services or public education.

The National Office for the Information Economy (NOIE) should be notified if there is other material which the Library wishes to discard because of its short term usefulness or inappropriateness for the collection.

Individual NSW Government Departments and statutory bodies are responsible for supplying deposit material to the Library. Publications of the NSW Department of Education and Training are deposited in the Huxley Library ; other State Government publications are housed in the Auchmuty Library.

Relegation and Withdrawal Policy

Definitions

Relegation is the relocation of low use material to stack storage area within the Auchmuty Library.

Withdrawal is the disposal by sale or transfer of unused duplicates, damaged and/or mutilated material, superseded and duplicate editions.

Objectives

To ensure that prime space is available and used for the housing and display of the most relevant and up to date teaching and research material.
To maintain the quality of the collections by a continuous program of:
- a) relegation of low use material, superseded editions and back runs of serials
- b) discarding of mutilated and ephemeral material, and of some superseded editions.

Material relegated to stack

Materials are placed in stack if:

They have not been borrowed over the past 6 years, are published before to 1980 and are not part of a multi volume set.
They are superseded editions.
They relate to Faculties, Departments or Research areas which are no longer viable.
They are closed runs of bound serial volumes.

The needs of particular subject areas are evaluated before books are placed in stack.

Material to be withdrawn

Appropriate titles will be sent to "Friends of the University" for sale at the Book Fair. Candidates for withdrawal are taken from the following categories:

Multiple copies of superseded editions.
Material available in alternative formats.
Unsolicited and unused monograph donations.
Specified collections which are no longer relevant to this University but are of significance as part of the Distributed National Collection.

Role of Library Liaison Officers

Library Liaison Officers (LLO) are usually appointed by Schools within each Faculty to collaborate with the Faculty Librarian in meeting the goals of the Faculty's Information Resources and Access Policy. Requests for purchase from Faculty members are forwarded to the Acquisitions Librarian via the LLO.

The monthly Library Resources statement is forwarded to the LLO, who is the contact point for this information for School colleagues.

Other responsibilities of the LLO's role include:

Acting as the disseminator of New Titles Information to School colleagues
Prioritising orders if funds are not available for all titles selected for purchase
Authorisation of all orders. Orders will be returned to the School if not signed by the LLO or the Head of School
Collaboration with the Faculty Librarian in the evaluation and review of serial subscriptions, and cancellation (if necessary) of serial titles
Negotiation of School information and training needs with the Faculty Librarian

Selection and Ordering Library Resources

The majority of titles requested for purchase are received directly from Faculties and should be relevant to teaching activities and/or research interests.

Faculties have a Library Liaison Officer through whom requests for purchase can be channelled, and forwarded to the Acquisitions Librarian.

Serial purchases should be considered by the Faculty as a whole and must be authorised by the Library Liaison Officer or the Head of School.

Faculty profiles are maintained with the Library's major suppliers, to facilitate the advisory service of relevant new titles. Profiles are revised periodically on the advice of the Faculty Librarians, to reflect changes in subject emphasis.

Average prices in the relevant subject areas are used for committal of funds, if a price is not available at the time of ordering. A revised list of average prices is calculated from the Library's automated system Innovative annually.

Set Texts

Multiple copies of set texts and recommended readings are purchased from Faculty funds, according to the following formula. The Faculties and/or Departments advise the University Cooperative Bookshop of their text book requirements, the semester before they are needed. These requirements are forwarded to the Acquisitions Librarian by the Bookshop staff, to facilitate ordering for the Library's collections.

3 copies per 100 students are purchased, up to a maximum of 5 copies.

Number of students	Number of copies
1-30	1
31-60	2
61-100	3
101-130	4
131-160+	5

Recommended Reading

One copy of each recommended reading title is purchased.

Approval Authority	Vice-Chancellor
Policy Sponsor	Deputy Vice-Chancellor (Academic & Global Relations)
Policy Owner	University Librarian
Policy Contact	University Librarian

Policy Library