ACRL News Issue (B) of College & Research Libraries 386 / C&RL News ACRL guidelines for the preparation of policies on library access: A draft Prepared by the ACRL Library Access Task Force Kathleen Gunning, Chair Hearings will be held on these guidelines Sunday, June 25, in Dallas. A c c e ss is any proper means by which a person may read or use materials, records, and other in­ formation held by a library, agency of govern­ ment, or other corporate body. Almost by defini­ tion, the contemporary library promotes access in keeping with the philosophy of the ALA Library Bill of Rights; however, there are competing needs for preservation and use and necessary distinctions between primary and other users. The tension be­ tween the library’s responsibility to store and main­ tain the records of civilization and the library’s re­ sponsibility to make available and share those records is always a dynamic one. With the recog­ nized need to share material among several li­ braries, rapid developments in the technology of information, and changes in government informa­ tion policy, the issues become increasingly com­ plex. The Interim Report from the ALA Special Com­ mittee on Freedom and Equality of Access to Infor­ mation (June 1987) includes the following discus­ sion of “access” : “In library parlance, the word ‘access’ has al­ ways been used as a noun. Its understood meaning reflected the standard dictionary definitions: ‘a means of approach’; ‘the act of approaching’; ‘the right to enter and to use’—a library’s holdings. “At some unrecorded point in the late 1950s, the word ‘access’ began to be used and accepted as a verb, as in the phrase ‘to access the information on the computer’s data bank,’ which at once com­ bined the most commonly understood meaning of the word in library circles, ‘the right to enter and use, ’ with one of the more seldom employed conno­ tations of the word ‘access’—‘a short, intense out­ burst.’ The verb ‘to access’ expresses the still amaz­ ing speed w ith w hich o rg an ized , stored information can be identified and retrieved (or ‘ac­ cessed’) by way of electronic devices. Today, whether librarians employ the word ‘access’ as ei­ ther a noun or as a verb, the word ‘access’ carries with it policy concerns about library users’ rights, which broadly and briefly stated, involve the right to enter and use a library’s holdings without limita­ tions in the forms of: •architectural barriers; •sociological/economic factors; •ideologically biased selection practices; •usages or circulation restrictions; •hidden (or unpublicized) services; •unqualified staff; •fees for the use of any materials or services.” The present document is written to assist indi­ vidual libraries in addressing practical questions relating to access. In developing policies on access, each library will want to review its mission, its his­ tory and its current practice so that policies are shaped to reflect individual circumstances. This May 1989 / 387 document is intended to serve as a guideline or checklist for the development of individual policies in a non-prescriptive way; it includes the range of issues to be considered. It is not an outline of sug­ gestions or standards. (Readers may note items of interest in ALA’s “National Information Services and Responsibilities,” and in ACRL’s “Access Pol­ icy Guidelines,” dealing with audiovisual materi­ als, and “Joint Statement on Access to Original Re­ search Materials.”) The access policy issues that libraries should con­ sider are introduced by descriptive statements sum­ marizing section contents in four major categories: •physical access; •bibliographic access; •collection m anagem ent and developm ent/ preservation; •public service. Many issues apply to every area, so certain issues have been addressed in more than one section (e. g., fees for services, initial and continuing education of staff, and access to automated and other non­ print materials), but in the majority of cases, for reasons of length, there are cross references to other sections of the text. Note: Because these guidelines focus on individ­ ual libraries’ policies on access, questions of access that involve broad societal issues, such as govern­ ment information policy or cost of scholarly mate­ rials, are not addressed. And for the purposes of this document, intellectual freedom, an access is­ sue of vital concern to every library, is considered a collection development issue. Readers may refer to David L. Perkins, ed., Guidelines for Collection Development (Chicago: ALA, 1979). Physical access Physical access can be divided into three major categories: 1) patron access to the library buildings and collection; 2) physical location and availability of collections and services within the library; and 3) staffing. Some aspects of physical access have been de­ scribed in other sections of these guidelines. For is­ sues concerning format of catalog, i.e., card, mi­ croform, online, etc., see Bibliographic Access, I. For access to a library’s online catalog see Biblio­ graphic Access, II.C and III, and Public Services, V. The physical condition of collections and disas­ ter recovery for collections are covered in Collec­ tion Management, II. Library hours are also in­ cluded in Public Services, I. Circulation issues related to physical access are listed in Public Ser­ vices, III. Instructional issues related to Physical Access are addressed in Public Services, V and VI. I. Patron access A. Patron categories (e.g., undergraduate stu­ dent, graduate student, faculty, staff, fee pay bor­ rower, consortium borrower, visitor). These cate­ gories not only can determine physical access to the building, but also may affect access to services and library privileges. This access may be consistent or varied at different library locations. 1. Services available for each patron category. 2. Requirements for identification. B. Passes or fees. 1. By category of patron. 2. By category of service. 3. For entry to building. 4. For use and/or borrowing privileges. 5. For other services. C. Handicapped access. 1. Adequate ramps to building entrance. 2. Availability of nearby handicapped parking. 3. Suitable entrance/exit for physically disabled patrons. a. Width of entrance. b. Absence of turnstiles or wider alternative exit/entrance for wheelchairs. c. Ease with which doors open, or electric door opening devices. 4. Uncluttered lobby and corridors. 5. Special services for handicapped users. a. Signers for the deaf. b. Self-help equipment (e.g., Kurzweil read­ ing machine, page turner). 6. Training on specialized equipment for staff and users. 7. Assistance from public services staff. a. Using the catalog. b. Photocopying. c. Reading. d. Retrieving materials. 8. Furniture designed to accommodate handi­ capped users. 9. W ritten policies on serving handicapped us­ ers. 10. Staff training programs on serving the dis­ abled. D. Patron security. 1. Policies and procedures to protect safety of pa­ trons. 2. Policies and procedures for emergency evacu­ ation of all patrons. 3. Policies to deal with inappropriate or illegal patron behavior. II. Physical location of collections and services A. Collections. 1. Closed or open stacks or combination, and/or remote storage. a. Policies and procedures for library’s selec­ tion of and patron’s access to items in closed stacks. b. Policies and procedures for library’s selec­ tion of and patron’s access to items in remote storage. 2. One call-num ber sequence or several se­ quences, i.e., oversized, periodicals, documents, microforms and other non-print materials usually arranged by format. 3. Special locations, e.g., reference. 388 / C & R L News 4. C entralized or decentralized library system. a. C lear inform ation about other libraries in the institution. 1. Posted hours. 2. Consistent policies. 3. Maps locating other libraries. 4. Catalog access at each location. b. Paging or docum ent delivery service be­ tween campus libraries. 5. Security system and other measures to reduce theft and m utilation. B. Location and identification o f service points. 1. Placem ent of all service desks (e.g., reserves, reference, circulation) in locations convenient to users. 2. C lear and effective sign system. 3. Location of end-user access tools. a. L ibrary and other com puter inform ation terminals. b. Catalogs and indexes in trad itio n al for­ mats. 4. Location of specialized use areas. C. E quipm ent and furniture. 1. Availability of public copying machines (both paper and m icroform ). 2. Availability of duplication services. 3. Availability of equipm ent. a. Online catalogs. b. Printers. c. Microform readers/printers. d. Com puters for accessing databases. e. Typewriters and w ord processing equip­ m ent. f. Videocassette recorders, com pact disk play­ ers, and other appropriate audiovisual equip­ m ent. 4. Convenient and logical locations for above machines and services. 5. Regular procedures and staffing to replenish supplies such as ink, toner, ribbons, and paper for equipm ent available to public during all hours li­ brary is open. 6. M aintenance of equipm ent w ith m inim um dow n-tim e and a regular schedule for upgrades or replacem ent. 7. Charges for using equipm ent. a. Provision of change and bills. b. Provision of credit or debit cards. 8. F u rn itu re in sufficient numbers and variety to accom m odate diverse study styles. a. Individual carrels, reserved or open. b. G roup study rooms. c. Faculty offices/carrels. d. Lounge/study chairs. e. Study tables. III. Staffing issues A. Identification o f sta ff responsible for building m anagem ent, for response in emergencies, and for m aintenance of environm ental conditions. B. Degree to w hich there is ongoing com m unica­ tion betw een library adm inistration and campus facilities m anagem ent to ensure safety and security of people and collections. Bibliographic access Bibliographic access concerns the availability of inform ation regarding the existence and/or loca­ tion of published or unpublished works. Libraries have access to m any different catalogs and d a ta ­ bases of bibliographic records. In these guidelines, “catalog” refers to a set of records for items owned by the library or available through resource shar­ ing agreements; “database” refers to a com m er­ cially produced set of bibliographic records for items th a t may or m ay not be ow ned by the library. Bibliographic access issues can be divided into four m ajo r categories: 1) issues regarding catalog or database records—their structure, th e fields in the records, the items listed in th e catalog or database, the access points provided for them , and the form at of the catalog or database; 2) variations among these catalogs or databases; 3) additional capabili­ ties of catalogs or databases; and 4) staffing issues. The instructional aspects of catalog or database use are addressed in Public Services, V .H . For physical location of catalogs and databases see Physical Access, II.B .3. I. F o rm at, stru ctu re, an d co n ten t of catalog or database records A. Format o f the catalog or database— card, on­ line, microform, book, CD-ROM , etc. 1. Form at of screen display and record display. 2. Availability of instructions and assistance in catalog or database. B. Bibliographic inform ation in th e catalog or database. 1. Level of coverage of a library’s collection in the catalog, or scope of a bibliographic database. 2. Level of detail in the descriptive portion of the record. 3. Options to display m ore th an one form at of a bibliographic record for a catalog or database in an electronic form. 4. Analysis of complex bibliographic items, e.g., m onographic series, articles in serials, etc. 5. Subject analysis. a. N um ber of subject headings and depth of subject analysis. b. C urrency of subject headings. c. Availability of inform ation regarding local practice for catalogs. 6. Frequency of revision of the catalog or d a ta ­ base. 7. Inclusion in catalog of m aterial available through resource-sharing programs. 8. R elation of catalog to other bibliographic tools produced by the library such as local newspa­ per indexes, guides to special form at collections, etc. May 1989 / 389 C. Access points in catalog or database records. 1. Authority control for names, titles and subject headings. 2. Number and types of access points. 3. Keyword searching and the num ber and type of fields in a record for which keyword searching is available. 4. Availability of Boolean operators and imple­ mentation of Boolean searching, i.e., implicit or explicit. 5. Qualifiers for searches such as language of publication, date of publication, physical form at, etc. 6. Additional searching features such as proxim­ ity searching, wild card searching, left/right tru n ­ cation, etc. 7. Ability to limit search to the contents of a p ar­ ticular collection. 8. Filing rules in the catalog or database. 9. Separation of files by type of access point; e.g., a dictionary catalog versus author/title and subject catalogs. IL Use of m ultiple catalogs or databases A . Transferability o f information among subsys­ tems of an integrated library system. 1. Availability of circulation status information in the catalog, including codes for items unavail­ able to the user (at bindery, missing, etc.). 2. Availability of acquisitions “on order” and “in process” inform ation in the catalog. 3. Availability of specific holdings and status in­ formation for such items as individual issues or vol­ umes of serials. 4. Availability to user of authority files and the­ sauri used in determ ining form of access points. 5. Availability of authorization levels for various patron categories. B. Level o f compatibility among multiple cata­ logs or databases. 1. Similarity of access points, search methods and filing rules. 2. Similarity of display and form at of records. 3. Similarity of the scope of coverage of the li­ brary’s collection and other bibliographic items for each catalog or database. C. Availability o f m ultiple catalogs or databases through one terminal. D. Availability o f backups for catalogs or d ata­ bases in electronic format. III. Additional capabilities of catalogs or databases A. Functions the user can perform through the catalog, such as checking out items, reviewing the user’s own circulation record, placing holds on cir­ culating or “on order” items, or placing document delivery requests. B. A bility fo r the user to print records from a cat­ alog or database search. C. A bility fo r the user to sort and fo rm a t re­ trieved catalog or database records. D. A bility fo r the user to download information from catalog or database searches to a microcom­ puter disk. E. Availability o f a system to translate the results o f a search in a citation database into a search of the library’s holdings for the retrieved items. F. Availability of dial-in access or LAN-based access for users in remote locations. G. Charges fo r access to online catalogs or data­ bases, or for printing or downloading from cata­ logs or databases. H. A dditional fu tu re capabilities and lim ita ­ tions. IV. Staffing issues A. N um ber o f sta ff responsible for creating and m aintaining bibliographic records, for keeping any online systems functioning smoothly, and for assisting the public in the use of the records. B. Initial and ongoing training and professional education programs for staff. C. Degree to w hich there is ongoing com m uni­ cation among staff who create and m aintain rec­ ords, staff who m anage online systems, and staff who assist the public in using these records. Collection management and development/preservation Access issues related to Collection Development/ M anagement and Preservation involve: 1) deci­ sions and processes th a t make available desired m a­ terials and information (Collection Development/ M anagement), and 2) a balance between the use and the protection of an item through a m ethodol­ ogy fo r m a k in g p re s e rv a tio n d ecisions on a collection-wide basis (Preservation). For issues related to Collection M anagement see the following. For closed and/or open stacks, re­ mote storage, organization of collection(s), theft, m utilation, see Physical Access, II. For frequency of revision of the catalog or database, inclusion in catalog of m aterial available through resource sharing, see Bibliographic Access, I.B. For replace­ m ent, see Public Services, III.I. For interlibrary loan statistics, see Public Services, IV .H . For soft­ w are, see Public Services, V.G. I. Collection developm ent/m anagem ent access issues A. Preparation o f collection developm ent poli­ cies. I. Statem ent of the purpose of the library’s col­ lection. 2. Policy on intellectual freedom. 3. Consultation w ith user groups. 4. Schedule for periodic review of policy state­ ments. B. Selection and review of materials. 1. Selection of vendors for automatic receipt of m aterials and firm orders. 2. Selection of tools to support acquisitions of materials. 390 / C&RL News 3. Development and management of approval plans. 4. Librarian selector and faculty liaison and par­ ticipation by faculty in the selection process. 5. Procedures for handling materials not ac­ quired through purchase, e.g ., exchange pro­ grams, gifts. 6. Impact of resource sharing agreements on col­ lection development decisions and conservation treatm ent activities. 7. Review for possible purchase of materials re­ quested through Interlibrary Services. 8. Procedures for users to request purchase of materials. 9. Negotiation of contracts with vendors of elec­ tronic databases in various formats, e.g., databases on CD-ROM or on magnetic tape. 10. Procedures for decisions on retention policy for serials, binding serials, purchasing microform copies, etc. 11. Procedures for handling materials which cannot be retained in their original formats (e. g., too brittle, etc.) 12. Procedures for inspecting retrospective ma­ terials, gifts, etc., for possible damage. C. Financial resources. 1. Rudget requests for adequate financial sup­ port. 2. Method for allocating acquisitions funds. 3. In-house schedule for expending the materials budget. 4. Timely, accurate accounting system for ac­ quisitions funds. D. Collection assessment. 1. Ongoing assessment of collections to deter­ mine strengths and weaknesses. 2. Regular assessment of the impact of electronic publications on a library collection. E. Replacement policy and efficient replace­ m ent process. II. Preservation access issues A. Preservation Priorities. 1. Preservation policy statement. 2. Condition surveys. 3. Determination of priorities for preservation, based on both primary collecting responsibilities and local need. B. Reformatting issues. 1. Procedures for replacing brittle books, includ­ ing input from selectors regarding projected use, preferred format, etc. 2. Obligation to provide use copy of preservation master negative microfilm to other libraries or re­ searchers. 3. Use of standardized levels of cataloging in preservation microfilming projects. C. Physical conditions. 1. Storage and handling, i.e., flat shelving for folio-size items. 2. Education programs for staff and users. 3. Environmental controls. 4. Disaster preparedness and training of library staff in disaster recovery procedures. D. General collections. 1. Existence and quality of a conservation repair unit. 2. Method of selection for conservation treat­ ment. 3. Level and extent of staffing. 4. Evaluation of library binding processes. 5. Evaluation of shelf preparation processes: use of bar codes, security devices, bookplates, etc. E. Special collections. 1. Processing procedures: arrangement, descrip­ tion, and housing. 2. Priorities for conservation treatment. a. Refurbishing projects. b. Conservator/curator consultation. 3. Limitations placed on use of special collec­ tions materials. a. Security issues. b. Restrictions on photocopying. c. Policy on interlibrary lending. III. Staffing A. Coordination among public services, techni­ cal services and collection management for the em­ ployment and training of personnel to plan, imple­ m en t and e v alu ate collection developm ent, management and preservation. B. Initial and ongoing training and professional education programs for collection development and preservation staff. Public services Access issues related to public services can be di­ vided into two major categories: 1) Those that deal with the number and skills of public services staff, and 2) Those that deal with the existence and qual­ ity of various services provided to users. Automated and audiovisual services, while subsumed under more traditional departments in some libraries, are treated as separate sections because each has addi­ tional sets of service issues distinct from those of tra­ ditional reference departments (for example the administration of and provision of instructional and consultational support for public-access mi­ crocomputer clusters). A major issue related to public services and ac­ cess lies in the existence of library-defined patron categories and the effect those categories have on patrons’ access to services (see Physical Access, LA). For consideration of access issues related to database design or database capabilities (as op­ posed to issues concerned with services supporting database use), see Bibliographic Access. For a con­ sideration of issues related to the location and availability of automated equipment (as opposed to the services designed to support th at equip­ ment), see Physical Access, II.B and II.C. For a consideration of access issues involving collections M ay 1989 / 391 (as opposed to use of th e collection), see Collection M anagem ent, I. I. Reference services A. Hours o f service. B. L evels o f sta ffin g (i.e ., professional, n o n ­ professional, or a com bination of both). C. W h eth er reference service is provided in per­ son, b y telephone, electronically, or b y app o in t­ m ent. D. Reference s ta ff’s know ledge o f reference and inform ation sources b o th w ith in and beyond th e li­ brary. E. Reference s ta ff’s ability to w ork w ith patrons and to conduct reference interviews. F. Reference s ta ff’s fa m ilia rity w ith available technology and v aried form ats of inform ation and their ability to assist patrons in th eir use. G. W ritte n policies on reference service. H. Effectiveness o f reference service as m easured by evaluation instrum ents. II. Bibliographic instruction services A. H u m b er o f classes and num b er of students re­ ceiving bibliographic instruction. B. C ontent of bibliographic instruction courses. C. Variety o f types o f bibliographic instruction offered, such as course-related or course-integrated sessions, workshops and sem inars, credit courses, or com puter-assisted instruction. D. Relationship betw een bibliographic instruc­ tion staff a nd teaching faculty. E. Bibliographic instruction s ta ff’s know ledge o f inform ation sources, inform ation structure, and inform ation technology. F. Bibliographic instruction s ta ff’s teaching abil­ ity. G. N u m b e r a n d q u a lity o f handouts, guides, workbooks, and other instructional m aterials in a variety of form ats. H. E ffectiveness o f instructional program as m easured by evaluation instrum ents. III. C irculation services A. Circulation and use policies for various cate­ gories and form ats of m aterial. B. Circulation a nd use policies for various c ate­ gories of patrons. C. L en g th o f tim e th a t m aterials circulate. D . T im elin ess w ith w h ic h m a te ria ls a re re ­ shelved. E. A b ility o f the circulation system to provide the patron w ith inform ation regarding the circula­ tion status of an item . F. A b ility o f the circulation system to issue re­ calls to retrieve m aterials w hich are checked out. G. C onfidentiality of p a tro n circulation or use records. H . Existence o f reserve services. I. Policies for selection of items to be placed on reserve. 2. Policies and procedures for copyright com pli­ ance. 3. Procedures for efficient processing of items re­ quested for reserves. 4. Procedures to re tu rn items to stacks w hen no longer needed on reserve. I. Procedures fo r id en tifyin g and acting on lost, m issing or d a m a g ed item s or m aterials needing preservation attention. IV . In te rlib rary an d o th er delivery services A. A vailability o f telefacsimile, d o cu m en t deliv­ ery, interlibrary loan and other such services. B. Categories a nd fo rm a ts o f materials th a t can be loaned or borrow ed. C. Patron categories and borrow ing privileges for each service. D . Special services available thro u g h resource­ sharing agreem ents. E. Borrowing period and tu rn a ro u n d tim e for these services. F. Existence o f charges for use of in terlib rary loan a n d docum ent delivery services. G. Im p a c t o f interlibrary services on local access to th e collection. H. Collection o f data fo r collection m anagem ent sta ff on item s requested and d ep artm en tal use of service. I. Policies a nd procedures fo r copyright c om pli­ ance. V. A utom ated services A. A vailability o f various online services. B. A vailability o f various end-user services. C. A vailability o f access to national, regional, and local netw orks. D. Patron categories and privileges for each ser­ vice. E. Expertise of th e online searching staff. F. L im ita tio n s on inform ation th a t will be re­ trieved by use of th e online systems available. G . M anagem ent o f facilities fo r patron use o f m i­ crocom puters an d other com puterized technology. 1. Selection of available h a rd w are and softw are. 2. N um ber of available w orkstations. H. A vailability o f training and instructional sup­ p o rt for users of these services. I. Existence o f charges for au to m ated services. V I. M edia services A. A vailability o f support an d instructional ser­ vices related to audiovisual and other m edia. B. Patron categories an d privileges for m edia services. C. Expertise of th e m edia services staff. D. Form ats of m aterials supported. E. Existence o f policies a nd procedures fo r copy­ right com pliance. V II. Staffing issues A. N u m b er o f sta ff involved in providing public services. 392 / C&RL News B. Initial and ongoing training and professional education programs for public services staff. C. Degree to w hich there is ongoing com m uni­ cation betw een public services staff and those staff in other units whose work affects the public. ■ ■ G u id elin es for b ra n ch lib ra ries in co lleg es a n d universities: A d raft Prepared by the ULS Committee on Guidelines for Branch Libraries Stella Bentley, Chair Hearings w ill be held in Dallas on Saturday, June 24. T hese Guidelines have been developed to p ro ­ vide a fram ework for academic librarians and ad­ ministrators to assess the need for branch libraries and to develop policies for administering effective branch services. The ACRL “Standards for the Evaluation of University L ibrary Perform ance” should also be consulted w hen evaluating existing branch services and performance. In this docum ent, the term “branch” has been used generally to define a library service unit under the adm inistration of the m ain library, w ith collec­ tions and staff, which is usually physically removed from the m ain library or which functions as an in­ tegral com ponent of a system of lib rary service units, none of which is designated as the m ain li­ brary. “Branch” can include different types of li­ braries: libraries w ith collections and services orga­ nized to serve the needs of one or two academic disciplines; divisional libraries w ith collections and services organized to serve the needs of several re­ lated subject fields; undergraduate libraries w ith collections and services organized to meet particu­ lar instruction needs. The guidelines Branch libraries under a variety of designations have been established to extend the services of the m ain university library at m any academic institu­ tions. Factors governing their development include the mission of the institution, historical append­ ages, campus geography, enrollm ent patterns, fi­ nancial conditions, space requirem ents, instruc­ tional techniques, user expectations and demands, and external pressures. These guidelines identify the prim ary factors influencing the development and m aintenance of branch library collections and services. A review of these factors as they relate to local circum stances should assist librarians and their institutions in evaluating the need for branch libraries and enable them to assess w hether branch libraries should be established or continued. The reviewing process is described in the following sec­ tions: programs, resources, external relations and com m unication, and evaluation. Programs The needs of modern scholarship must be served by access to a broad spectrum of resources includ­ ing the literature of a special field and all subjects of related interest. T he p rim ary mission of the branch library is to provide inform ation and access to inform ation to meet the instructional and re­ search needs of its user group. A branch library’s programs should provide for the requirements of its