Revised and updated November 6, 2019
CONTENT
1. Introduction
1.1 The Collection
2. Selection guidelines
2.1 General selection criteria
2.2 Language
2.3 Choice of format
2.4 Formats and materials not collected
2.5 Multiple copies policy for printed books
2.6 Course reading materials
2.7 Support for visually impaired users
3. Electronic resources collection development policy
3.1 Electronic journals
3.2 Electronic books
3.3 Other electronic resources
3.4 Long term preservation and access
3.5 CUHK Library digitization policy
4. Open access
5. Roles and responsibilities in collection development
5.1 Departmental Library Committee Chair
5.2 Faculty Liaison/Subject Librarians
5.3 CUHK Library Standing Committee on Electronic Resources (SCER)
6. Gifts and donations
6.1 Book Registration Ordinance (BRO)
7. Storage environment
8. Long term retention policy
8.1 Materials considered for withdrawal
8.2 Review guidelines for print serials
8.3 Withdrawal register
8.4 Appropriate means of physical disposal
8.5 Long term retention of rarely used items
8.6 Location of collections
Appendix A CUHK Library Digitisation Policy
Appendix B Archives & Special Collections Collection Development Statement
The Chinese University of Hong Kong Library (the Library) strives to provide a high quality library collection to support the teaching, learning and research of the University. This Collection Development Policy provides the principles and guidelines in the selection, acquisitions, evaluation and maintenance of the library collection. It reflects the vision and commitment of the Library in collecting and providing access to world class resources in support of the University’s priorities. Supplemental Faculty level collection development statements ensure a nuanced policy building a relevant collection that supports 21st century learning, research and scholarly communication. Together these serves as a communication document for students, faculty, Library staff, administration and other interested parties involved in shaping the CUHK Library collection. This policy will be reviewed every five years.
The Library holds approximately 2.6 million items consisting of printed monographs, bound periodicals, maps, audio-visual materials and microforms. The electronic resources collection has grown rapidly in the past two decades in strength and depth, and the Library currently provides access to over 4.5 million ebooks, 12,800 electronic journal subscriptions and 670 databases. With ongoing digitization initiatives, the Library also makes available over 5 million digital images/objects to students and faculties at the University, and increasingly is making content openly accessible to the local and global research community. Our Special Collections forms an integral part of the Library’s collection providing useful resources on Chinese and Hong Kong studies; it includes a valuable collection of oracle bones from Shang dynasty (ca.1675-1029 BC), Chinese rare and semi-rare books, archives and manuscripts, Minguo and Cultural Revolution period publications etc., with subjects ranging from Chinese classical works, traditional Chinese medicine, ethnomusicology, Hong Kong literature, social and political studies.
The following general criteria are used when considering the acquisition of ALL information resources — physical or electronic. Particular criteria may assume greater or lesser importance depending on the type of materials under consideration. Each subject specific collection development statement created in consultation with academic departments describe priorities and operational approaches appropriate to those disciplines, but all selection needs to align with the criteria outlined below.
It is important to note that we believe a strong intellectual freedom perspective is critical to the development of academic library collections. In the interests of research and learning through exposure to the broadest possible range of ideas and information, it is essential that the Library’s collection contain materials representing a variety of perspectives on subjects that may be considered controversial, unpopular, unorthodox or unacceptable. Materials should not be excluded or removed because of the origin, background or views of those contributing to their creation. To this end we shall acquire and make available, through purchase or resource sharing, the widest variety of materials that support the scholarly pursuits of our community.
Relevance – Able to meet users’ needs and demands, and support the teaching and research programs of the University.
Quality – Materials should generally be of high quality, offer relevant content, authoritative authorship and well sourced data.
Currency – Up to date and provide current information. Exceptions may include material for research purposes, or where a historical perspective is important.
Price and cost effectiveness – should be priced appropriately and offer value for money. The Library prefers to participate in cooperative efforts to purchase resources through cost-effective consortia arrangements.
Preferred criteria for Electronic Resources
Each new electronic resources will be evaluated against the listed criteria, due to wide variations encountered (especially Chinese resources), the list below are preferred terms.
Technical requirements – web based; use standard technologies; IP or proxy authenticated rather than password; provide stable direct linking to databases, journal titles, issues and individual articles.
User Interface – easy to use and intuitive; comply with accepted web accessibility standards; provide screen designs and layout aids that facilitate usage; provide help screens and tutorials; acceptable response time.
Licensing – provide site license and remote user access; allow standard permitted use of licensed content (printing, downloading, storing, emailing, course packs, course management system, or e-reserve, interlibrary loans, text and data mining); protect user confidentiality and privacy; allow walk-in and other user access such as alumni.
Publisher/vendor services – Provide trial period on request, provide adequate customer support and training; provide COUNTER compliance statistics; provide title lists and coverage; provide regular updates of changes, additions and deletions.
The Library collects extensively materials in English and Chinese languages. Materials in other languages are collected more selectively to support the language and area studies programs of the University.
Electronic Preferred Policy (e-preferred policy) – Web based electronic format will be preferred for all types of information resources for advantages such as convenient 24×7 access, multiple usage, options to use on mobile devices, and easy integration into course management system or e-learning platforms.
Print: With the implementation of the e-preferred policy, print materials will be acquired at a reduced rate and in a more selective manner in some subject disciplines. Print materials may remain the preferred option, for example, for preservation reasons, unavailability of electronic version or to meet equity and accessibility requirements.
Microforms: Microforms are no longer actively collected, exceptions include selected local newspapers. Microform collections will be replaced by an electronic version whenever available.
DVD: To support film studies, cultural and other studies, DVDs are still collected.
Datasets: To support research and learning in multiple disciplines datasets will be purchased. It is not recommended to purchase datasets restricted to a single project team, department, School of Faculty.
2.4 Formats and Materials Not Collected
- The following types of materials are generally not collected for the Libraries’ collection. However, this statement does not exclude these types of resources being collected by the appropriate special collections.
- Games, models and realia, three-dimensional objects, charts and pictures, study prints, transparencies, and toys are not acquired as individual titles into the collection, unless they accompany a printed work.
- Materials that run on obsolete software platforms or those not supported by the Library
- Obsolete formats: Long Plays, 5.25 inch computer disks, Laser Disks, Open Reel Tapes, Video VHS, Video Beta, Video UMatic, Film 16mm, Film 8mm, Film S8mm, Filmstrips, Filmloops, and other formats as they become obsolete.
- Application and instructional software or courseware are not collected for use in the Libraries or for circulation from the Libraries.
2.5 Multiple copies policy for printed books
Generally ONLY one print copy of each title is acquired. If required, additional copies should not exceed a total of five copies in most instances, and not exceed two if an electronic version is available. High demand titles can be put in the Library Open Reserve for short term loan.
There should be at a minimum of one copy of course reading materials in the Library collection; an electronic version will be preferred and sourced whenever possible. The general spirit of the Policy advises against the acquisition of unnecessary duplicates even though teaching departments have the discretion in expending their book fund to support teaching and research. Multiple print copies of course materials, if required, should follow the duplication policy. High demand titles can be put in the Library Open Reserve for short term loan.
2.7 Support to visually impaired users
The Library is committed to support needs of visually impaired users; required materials in appropriate format will be acquired through publishers or local agencies, subject to publishers’ policies and other copyright restrictions.
3. Electronic resources Collection Development Policy
Building a high quality, varied and relevant electronic resources collection is of strategic importance for research libraries to meet the challenges in supporting research and learning in the digital age. Our electronic preferred policy and a digitization policy for print material provide the framework for CUHK Library.
The Library implemented an e-only journal policy in 2006. Ejournals are purchased as individual titles, through aggregator platforms, and through “big deal” bundled online subscriptions to a publisher’s entire list of academic journals. As journal inflation continues to run ahead of general consumer inflation continual subscriptions to “big deal” packages are regularly reviewed for cost-benefits. Indeed annual usage of subscribed resources will be sent to departmental Library Committee Chair for review at the beginning of the financial year. Currently derived data such as cost per use based on COUNTER compliant usage statistics is available.
Publishers also make available digitized back runs of print journals as separately purchased archival collections. The Library will acquire back runs from major publishers when year-end balance allows to enhance user access and as a space saving measure.
The Library currently has access to approximately 4.5million ebooks, in English or Chinese covering all disciplines. They include subscription from aggregator databases, individually purchased titles, ebook packages from major academic publishers; in-house digitized items or access obtained through collaborative digitization projects. The development of academic ebook publishing opens up more cost-effective acquisitions options, migrating from the tradition mode of “Just in case” selection to a new mode of “just in time” user engagement purchases, commonly referred to as Patron Driven Acquisitions (PDA), Demand Driven Acquisitions (DDA) or Evidence Based Acquisitions (EBA) . Evidence indicates that ebooks purchased by PDA or DDA result in higher subsequent usage, and acquisition of ebooks (front list or retrospective titles) will be via DDA on publisher platform whenever available. Package acquisitions to be considered when budget allows.
In light of the convenience, timeliness of front-list titles, integration with journal platform, multiple-access with site license options and perpetual access etc., the Library recommends purchases via publisher platform swhenever applicable. Ebook platforms by not-for-profit organizations such as JSTOR or Project Muse provide stable platforms for small and university presses.
3.3 Other electronic resources – The Library continues to source web-based content such as audio, video-streaming or interactive learning platform resources.
3.4 Long term preservation and access – The Library has strengthened its commitment to the long-term preservation and access to resources by participating in the CLOCKSS1 initiatives. This service which provides long-term preservation for some publishers’ content will provide access for the Library when the publisher ceases business.
3.5 CUHK Library Digitisation Policy
For details please see Appendix A.
CUHK Library is committed to the support, advocacy and promotion of open access publishing by way of providing open access materials in our collection and supporting open access publishing initiatives which benefit the greater scholarly community. The Library provides access to selected open access materials based the same general evaluation criteria applied to licensed resources. The Library is currently not funded to support individual faculty open access publishing fees such as article processing charges. We will support notable open access publishing initiatives, such as SCOAP, via membership where there is clear benefit to CUHK faculty and the wider academic community. We are also committed to making our CUHK digitised collections open access whenever we are able.
1 CLOCKSS (Controlled LOCKSS) is a not-for-profit joint venture between the world’s leading academic publishers and research libraries whose mission is to build a sustainable, geographically distributed dark archive with which to ensure the long-term survival of Web-based scholarly publications for the benefit of the greater global research community.
5. Roles and Responsibilities in Collection Development
A Library Committee Chair is designated by each academic department to serve as liaison and is responsible for channeling purchase or subscription recommendations to the Library. Other responsibilities of Library Committee Chairs include:
- To distribute information from the Libraries to members of their department;
- To encourage and to coordinate the communication from other faculty members with the Library;
- To advise Faculty liaison librarians of any changes in academic directions, new developments in the curriculum, program changes, and research focus of the department;
- To provide input on the profiling of the approval plan and collection development polices;
- To provide input on the revision of the Collection Development Policies.
5.2 Faculty Liaison/Subject Librarians
Faculty Liaison/Subject Librarians are expected to establish a collaborative partnership with designated library committee chairs and faculty members of the Faculty or Department. Their responsibilities include:
- Enhance formal and informal communication between the Library and Faculty/Department;
- Increase awareness and use of Library resources and services;
- Strengthen Library collections to meet curricular and research needs;
- Provide information literacy instruction, reference consultations and support life-long learning.
In addition to the activities listed above, other collection development responsibilities include:
- Keep abreast of the development and changes in the teaching, study and research needs of the respective department;
- Analyzing quantitative and qualitative data to be able to make informed decisions concerning budgets and materials purchases;
- Assessing the existing collections for weaknesses and strengths in supporting both current and new courses/programs;
- Keeping abreast of subject development of the assigned disciplines and on current literature in the fields;
- Refining the approval plan profile or other purchase profiles for currency and relevancy.
5.3 Standing Committee on Electronic Resources (SCER)
The Library’s Standing Committee on Electronic Resources (SCER) with representatives from technical services, faculty liaison/subject librarians, and Library IT and systems meets regularly to decide on matters related to electronic resources. It reports to the Library Management Committee, the remit of the SCER is summarized as follows:
a. To select, review and decide on purchase recommendations in accordance with principles and criteria set forth in the Collection Development Policy;
b. To advise and coordinate with relevant parties on matters concerning the acquisitions, system requirements, licensing, management and preservation of electronic resources;
c. To make recommendation on the development policies and strategies for electronic resources of the CUHK Library.
Gifts may be excellent supplements to the library collections. However, the acceptance or otherwise of donations must comply with the University’s rules and guidelines on the acceptance of gifts or donations. The CUHK Library will screen the potential gifts to decide whether to incorporate them into the library collections according to the following criteria:
(a) Relevance of subject and academic quality;
(b) Physical condition;
(c) Currency;
(d) Whether there are any pre-conditions attached to the gift;
(e) Unnecessary duplication;
(f) Copyright of commercial visual materials is observed.
As gifts take up expensive space and staff time, generally only unconditional gift materials on a relevant subject of the University and of good quality should be accepted. Exceptions will be made for major donations of a particular size, quality, age, rarity, specialization, and focus.
6.1 Book Registration Ordinance (BRO)
According to the arrangement under the Book Registration Ordinance, CUHK Library receives a copy of all new publication published or printed in Hong Kong. BRO items include books, serials, government documents, company reports, school textbooks at primary and secondary levels, etc. Items that fit the CUHK Library collection scope will be selected and added to library general collection, Hong Kong Studies Collection (HKS) or Instructional Materials Collection (IMC), etc.
Items not suitable to be added to the collection will be exchanged with other libraries, or discarded according to disposal policy and procedures.
To preserve and to ensure the long-term availability of the valuable materials, especially those of special and archival collections, storage or facilities with proper environmental control will be provided.
Regular collection review is essential to ensure that our print collections are of quality, current, usable and relevant to the research and teaching interests of the Chinese University of Hong Kong. The collection has to be reviewed in light of the increasing strength of the electronic collection as well.
The Library cannot guarantee to retain all print items indefinitely. This policy guides the location, withdrawal and disposal of physical items from the Library’s collections in a manner that is transparent and acceptable to the University community. Withdrawal and disposal of materials will be handled with great care, and faculty will be invited to review materials for withdrawal. Print items with secure digital archives will be considered for de-selection. However, the CUHK Library Collection Development Policy states the importance in preserving printed works with significant academic and archival value, such as locally published materials, or the last physical copy of print item in the UCG funded university libraries.
8.1 Materials considered for withdrawal
- Published material which is mutilated, badly damaged or worn out;
- Physical formats which are technically obsolete and replaced by formats more suitable for access or preservation;
- Irrelevance or out dated or superseded published material;
- Material in languages not currently used at the University;
- Additional copies which are no longer required;
- Material which falls outside the Collection Development Policy, the scope of the subject disciplines or special collection policies;
- Availability of electronic format;
- Items seldom or never used will be considered for de-selection;
- Gift materials which will be disposed of within the terms of the donation.
8.2 Review guidelines for print serials
Print holdings of journals or serials with electronic equivalents that are available to CUHK users and where the Library has purchased archival rights may be relegated. Locally published or print ONLY serials will be kept on campus.
The Library will keep a withdrawal record of withdrawn items for disposal from its collections, in compliance with University’s auditing policies.
8.4 Appropriate means of physical disposal
- Exchange with or donation to other libraries or institutions.
- Remaining materials may be offered to CUHK departments.
- Recycle of materials in damaged condition or unsuitable for donation. Items will be marked for withdrawal and not for resale.
8.5 Long term retention of rarely used items
Retention of items that are considered to have long term value but are rarely used may be removed from open shelves and kept in closed access storage, either on campus or at a remote location. Such items will be made accessible on request. The Library is supportive of a shared approach to collection management, and will participate in shared repository schemes or distributed shared storage schemes as appropriate.
The Library will take the criteria below into consideration when assessing the optimum location for any collection on the open shelves. The criteria were endorsed by The Library Users’ Group on January 8, 2016:
- Integrity of the subject collections to facilitate user experience and serendipity
- Adjacency to relative teaching departments
- Anticipated collection growth by subject
- Usage evidence across campus branches
- Meeting demand and optimize study spaces for undergraduates and postgraduates
- College tradition and opinion
- Students’ opinion
- Faculties’ opinion