ACRL News Issue (B) of College & Research Libraries June 1988 / 343 Standards for university libraries: Evaluation of perform ance (draft) Prepared by the ULS University Library Standards Review Committee Kent H. Hendrickson, Chair Hearings on this draft will be held on July 10,1988, at ALA Annual Conference in New Orleans. T h e initial “Standards for University Libraries” were adopted by A CRL in 1979. The following proposed draft standard was prepared by an Ad Hoc University Library Standards Review Com ­ m ittee appointed prior to the ALA M idw inter Meeting in 1986. The committee members are Pa­ tricia L . Bril, California State University, Fuller­ ton; Murray S. Martin, Tufts University; Richard W . Meyer, Clemson University; Maxine Reneker, Arizona State University; Jack A. Siggins, Yale University; and Kent Hendrickson, University of Nebraska-Lincoln (chair). Foreword The 1979 Standards were the product of a joint effort by A CRL and ARL and the cumulation of eleven years of work by several committees of both organizations. An excellent background on the de­ velopment of standards for university libraries may be found in Beverly Lynch, “University Library S t a n d a r d s /’ L ib r a r y T re n d s 31 (Sum m er 1 9 8 2 ):3 3 -4 7 . Other articles and related documents will be referenced in appendices to accompany the final version of the standards in a future issue of C irR L News. As part of its charge, the Committee examined the existing Standards to decide whether a revision was needed. To assist in this effort and the actual revision the Committee solicited advice from other members of the university library community. First, open hearings were held during the ALA Midwinter Meeting in 1986; and second, a number of guests consulted with the Committee at ALA Annual Conference in 1986 and the 1987 Midwin­ ter Meeting. Comments were also received from representatives of regional accrediting associations and selected university administrators. Obviously the existence of this document indi­ cates that the Committee determined that a revi­ sion was necessary. Many of the same issues dis­ cussed by the earlier committees were raised again. By far the most important of these was the question of whether standards should be quantitative or qualitative. In the end, based on the information received, we concluded that neither approach was appropriate. A model procedure for determining measurable expectations is the primary need. This approach was chosen very carefully. In the course of its deliberations the Committee looked at three issues: W ho uses standards? W hy do they use them ? W h a t do they need? Standards are ad­ dressed to library m anagers, institutional m an­ agers, and evaluating bodies such as accreditation teams. While each of these groups may use stan­ dards to arrive at an evaluation of a library, they may do so for quite different reasons. Common needs, however, relate to how well the library is doing, how well it is supported, and how well it compares to other libraries. To answer these ques­ 344 / C &RL News tions facts are needed; not the kind th at can be set out readily in a series of prescriptive statements or norm ative figures, but those gathered through the process described by these standards. Basic to this document is the proposition that each university library system is unique and there­ fore should determine its own criteria for perfor­ m ance and evaluation. This process should be un­ dertaken within the fram ework of the university’s mission and goals. Another assumption is th a t, however the library is placed within the governing structure of the university, its relationship should be such that adequate com m unication flows to it concerning basic shifts in the mission of the univer­ sity and changes in its programs. This document also assumes th at the critical assessment resulting from the defined process will be transmitted appro­ priately throughout the university. It is further assumed th at within the library, ad­ ministrators will have achieved the balance of hier­ archical and collegial m anagem ent which will al­ low the libraries’ goals to be achieved, as well as adequate representation of staff views into the goal-setting and evaluation process, and appropri­ ate development of the staff in the m anagerial, scholarly, and professional facets of their job re­ sponsibilities. Finally, this docum ent is necessarily prescriptive in several of its concepts. University libraries must become skilled in the process of examining and re­ defining as necessary their missions, establishing coherent goals whose attainm ent m ay be m ea­ sured, continually and effectively assessing the needs of users, and identifying and applying those measures th at will reveal the extent to which it has been successful in fulfilling its mission. Introduction These standards are intended to help members of the library and university administration responsi­ ble for determining priorities and evaluating per­ form ance to optimize the perform ance of the li­ brary in terms of the mission of the university. W hile standards are needed, they can n ot be stated as absolutes equally applicable to all univer­ sities and be useful. These standards are not a series of expectations or prescriptive sets of figures. They set forth the process by which expectations m ay be established, and enum erate the topics th at should be addressed in the evaluation of university library perform ance. These standards begin with a basic statem ent of purpose, explain the underlying assumptions and lead to a statem ent of expectations. Standards G e n e r a l St a t e m e n t o f P u r p o s e These standards set out the role of the university library within the context of the institution’s infor­ m ation policies and academ ic goals. The mission of the university library is to provide information ser­ vices in support of the teaching, research, and pub­ lic service missions of the university. The achieve­ m ent of th at mission requires the development of standards to address the ways in which goals should be developed and measured, needed resources esti­ m ated, and success in goal achievement evaluated. U n d e r l y i n g A s s u m p t i o n s (1) Centrality o f the L ibrary The library is of central im portance to the insti­ tution. It is an organic combination of people, col­ lections, and buildings, whose purpose is to assist users in the process of transform ing information into knowledge. Inform ation and knowledge are central to the attainm ent of any university’s goals. The ways in which information is collected, stored, and distrib­ uted within the institution will, in large measure, determine the level and success of scholarship and research. The institution needs clear policies con­ cerning access to and provision of information. The library must take an active role in the development of these policies. (2) T h e Significance o f the Investm ent in the L i­ brary The library represents one of the largest cum ula­ tive capital investments on any campus. Libraries provide added value as p art of all earning and re­ search processes. The concept of the library as an investment is basic to these standards. (3) T h e Individual N ature o f E a ch L ibrary E a ch institution has a unique mix of goals, pro­ grams, and expectations influenced by its history and its current mission. As a result, the library serv­ ing the institution is unique. The application of prescriptive measures to a group of unique institu­ tions has been rejected as inapposite. It is the use and interpretation of measures th at is im portant in developing a process for managing change. The need is for a m ixture of input and output measures, both qualitative and quantitative, but fundamen­ tally process-oriented. (4) Technological C h an ge The pace of technological change has rendered o u tm o d e d an y c o n c e p t of is o la tio n an d self- sufficiency. The library now exists within a com ­ plex inform ation w orld, most of whose p a rtic i­ pants are not on cam pus. The lib rary must be dynam ic and future-oriented. This orientation does not seek change for its own sake, but recog­ nizes the m utable n atu re of inform ation in the com puter age. Libraries will not abandon their trad ition al roles as collectors and conservators. R ather they will add new ones as facilitators and processors, and these new roles need to be recog­ nized in the evaluation process. June 1988 / 345 Se c t i o n A: Se t t i n g G o a l s a n d O b j e c t i v e s To determine the appropriate goals for a univer­ sity library, representative bodies should engage in a continuing dialogue, carried out at several levels, and documented in a memorandum of understand­ ing or a mission statement adopted by the govern­ ing board of the institution. (1) Participants The participants in the process of setting goals should include appropriate representatives from the following groups: (a) University and library administration. (b) Faculty. (c) Library staff. (d) Students. (e) Trustees or regents. (f) Advisory boards. (g) State or other governmental units associated with the institution. The roles of these constituencies vary, but their basic purpose is to bring to the discussions informa­ tion concerning needs, goals, abilities, and points of view, as these affect the library. (2) Process The process is one of communication, both for­ mal and informal, designed to increase the level of shared understanding concerning the goals and ca ­ pabilities of the library. Form al communication includes committee re­ ports, the annual and special reports of the library and the institution, and discussion in the appropri­ ate public forums. The administrative organization of the univer­ sity is in itself a means of communication and it is essential that the library, through its administra­ tion, be so placed as to have necessary access to the appropriate officers of the institution. Informal communication is the result of daily contact between members of the community. The library staff should be able to participate fully in such contact. Continuous communication through the daily activities of the library also conveys a mes­ sage about its role within the institution. (3) Product The object of this dialogue is to establish goals, provide for their measurement, and assess the de­ gree to which they are reached. The result should be a shared statement that may take various forms and cover various periods as de­ termined by the institutional policies regarding such matters. The library is responsible for devel­ oping short- and long-term goals and objectives in response to this statement, again in consultation with the other participants in the dialogue. A process of review and revision is required to keep current with need and capacity. Se c t i o n B : F a c t o r s t o b e C o n s id e r e d i n D e v e l o p i n g G o a l s The development of goals and objectives re­ quires that the resources needed and available to meet those goals be kept in mind. This section sets forth some of those factors. The library consists of a combination of three re­ sources: people; collections; and buildings. These resources are paid for from a budget. They need to be in correct proportion to one another to meet the service goals of the library. There are no compre­ hensive formulas for arriving at these proportions, but there are ways of determining whether the al­ location of resources is in line with expectations. (1) Budgetary Support and Sources The library represents a major capital invest­ ment. As such, it requires ongoing annual invest­ ment to retain its value. The sources of funding vary greatly, in accord­ ance with the style of the parent institution. W h at­ ever the source, the library should control its funds. Although there are many different methods of or­ ganizing and controlling budgets, the method cho­ sen should make it possible for the library to oper­ ate without undue constraint. (a) Capital Expenditures. It is customary to dis­ tinguish and separate major capital expenditures, such as new buildings, renovations, or automation from annual operating budgets. Added resources and services needed to keep up-to-date and main­ tain expanded plant are also needed. Minor capital investments will be made each year for extensions or renovations. Adequate provi­ sion should be made for both kinds of capital ex­ penditure. (b) Operating B udget. The operating budget of the library must be appropriate to the mission of the lib rary w ithin the university. The budget should be developed interactively by the university and the library in accordance with the general practice of the institution. If it is impossible to meet all expectations or fund specific new programs, this should be made clear. (c) Budgetary Control. The library must be re­ sponsible for the internal allocation and control of the approved budget, with provision for appropri­ ate consultation. Transactions should be carried out in accordance with the accounting practices of the university. Those practices should recognize the special needs of the library, particularly in the acquisition of library materials. (d) M aintenance. The complex modern library requires constant attention to ensure that it con­ tinues to function smoothly. i. The lib rary is responsible for the ongoing maintenance of its resources and services. This in­ cludes not only provision for replacement of equip­ ment and library materials, but also keeping ade­ quate statistics and other measures to determine 346 / C &RL News whether the standards of service are being m ain­ tained. ii. Appropriate budgetary provision should be made for replacement, repair, renovation, and in­ vestment in new and improved means of informa­ tion access and delivery. (2) H um an Resources The library is dependent on human resources skilled in th e know ledge-based disciplines to achieve its goals. People select, acquire, process, and arrange the library’s collections; they provide access to the information contained in those collec­ tions and the collections of other libraries; they di­ rect its activities and provide its services. (a) L e v e l o f S ta ffin g. T he lib rary should be staffed in such a way as to meet the university’s ex­ pectations. The numbers required are determined by the programs offered, the number of buildings, and the hours during which service is offered. W hile there are no absolute requirem ents, it is clear that the level of service is determined by the availability of staff. (b) Kinds o f Staff N eed ed . The staff should in­ clude librarians and other professionals, support staff, clerks, and students to provide services at the appropriate levels. The proportions of each group to the whole are determined by the programs sup­ ported and the locations served. The staff should incorporate the needed skills and academ ic train­ ing to meet the academ ic needs of the university, and to provide management support. (c) Relationship to Other Staff. The director is responsible for all staff within the library and should ensure that the library adheres to the per­ sonnel policies and practices of the university. These policies and practices should recognize the special needs of librarians as working in the field of information. To reflect the library’s involvement in the a ca­ demic programs of the university, librarians should have appropriate educational background, with training in library and information science as well as in other disciplines. Librarians require the pro­ tection necessary to ensure intellectual freedom, so that they may not be subject to improper pressure in matters of censorship, copyright, or selection of materials. They have the right, as professionals, to speak out on behalf of their professional concerns without fear of reprisal or dismissal. (d) Organization. W hile there is no single best way of organizing a library, the investment in li­ brary staff is an investment in people rather than in positions. The organization should reflect this con­ cept. There is general agreement that librarians should be able to exercise independent professional judgment within the rules, policies, and codes gov­ erning professional conduct; to participate in re­ search and the work of professional organizations; to undertake consulting and other professional tasks; and to find advancement within the library without necessarily having to undertake adminis­ trative and supervisory duties. Librarians should participate in the formulation of policies, in ac­ cordance with the style of the institution. (e) M anagem ent. The library, under the direc­ tor, should be responsible for managing its own af­ fairs. This autonomy does not abrogate the responsi­ bility of the library for maintaining relationships with administration and faculty to achieve the dia­ logue recom m ended in these standards. The li­ brary should also adhere to local procedures and practices as they are stated by the appropriate uni­ versity agencies. (f) Staff D evelopm ent. Librarians need to keep pace with the fields of library and information sci­ ence, and other disciplines. The staff and the li­ brary administration have a joint responsibility for the developm ent of skills. T he ad m inistration should provide the leadership, resources, and m an­ agement to foster the cooperative process, the goal being to ensure that the library retain the needed skills to provide proper service to the university. (3) Collections The prim ary goal of the library is to select, col­ lect, organize, and provide access to all varieties of information for users. L ibrary programs should be developed with that goal in mind. (a) Collection M anagem ent. The library shall se­ lect and acquire materials in all formats to the level required to support academ ic programs. i. Collection m anagement includes not only pur­ chase for retention, but also leasing, renting, dese­ lection, providing access to other collections, in­ cluding, as appropriate, planned resource-sharing and cooperative storage, and electronic access to databases. ii. The collections should be extensive enough to support the academ ic programs offered, recogniz­ ing that there are instances where reliance can and should be placed on access to other resources rather than on ownership. iii. There should be provision for adequate fund­ ing to ensure the addition of needed new resources, to maintain growth not only in existing areas of study and research, but also in newly added disci­ plines or extensions of existing disciplines. iv. Recognition should be given to changes in the academ ic program . Equally, recognition should be given to library contributions to consortial or other resource-sharing programs. v. The collection management program of the li­ brary should be developed jointly by the library and th e u n iv ersity, in d ica tin g th e depth and breadth of the collections, as set out in an appropri­ ate taxonomy. The policies setting out this program should be in written form , easily accessible, and regularly reviewed. vi. The library is responsible for relations with vendors, contractors, and other agencies, and for reviewing the efficacy of such relationships. (b) Collection Preservation. The library should June 1988 / 347 have a program for the conservation and preserva­ tion of m aterials, either locally or with other li­ braries and agencies. Such a program should be in­ tegrated with national programs for conservation and preservation. i. The library requires variable combinations of tem perature and humidity control, and a program for fire and dam age prevention. These should be provided and reassessed at regular intervals. ii. The library should have an emergency plan to cover minor and m ajor disasters and include both d a m a g e p rev en tio n and d a m a g e re c o v e ry . It should also provide for alternative service and m anagem ent, and be co-ordinated with campus- wide plans. iii. The library should not only be able to provide for the care and preservation of its own collections, but able to participate in local, regional, and na­ tional preservation plans. iv. The library should have adequate safeguards against loss, mutilation and theft. Since the library has a prim ary goal of m aintaining open access to inform ation, it is particularly vulnerable to those who take advantage of the public good th at the li­ brary represents. To reduce loss and dam age the li­ brary should exercise appropriate control over use and borrowing. (4) B uilding Resources The library should be housed in one or more buildings adequate to its role within the university, and should reflect a coherent planning effort. T h at plan should be developed with the participation of all affected parties, and should be reviewed regu­ larly to ensure th at changes in expectations, a ca ­ demic program s, or the library and information world are taken into account. (a) A m o u n t o f Space. The library should provide space to house collections, space for study and re­ search , and space for associated processing and public service functions. T he relationships be­ tween buildings, spaces, and functions should re­ flect an appropriately developed w ritten p ro gram . (b) D istribution o f S pace. T he choice for the physical organization of the university library must be m ade in terms of its administrative organiza­ tion, tempered by recognition of the costs involved. Historically, there have been several solutions to the provision of library space, some philosophically based, others based on cost and institutional style. These range from centralization in one library building to dispersal among several faculty, college or departm ental libraries. W hatever the spatial mode chosen, the choice must be m ade in accord­ ance with program m atic need and follow a careful process of decision. It is essential to provide the re­ sources needed to implement the style of organiza­ tion chosen. (c) Location o f Space. To fulfill their service mis­ sions, libraries need to be close to the center of ca m ­ pus activity. The space occupied is likely to be high in value, as is the cost of the building itself. In plan­ ning library facilities, consideration should there­ fore be given to the possibility of using rem ote or com pact storage for lesser-used m aterials. If shared storage facilities are available and econom ical, their use should be considered. In any such case, a solution of this kind should not make access for the user onerous. In a similar m anner, space planning should take into account advances in electronic storage, transmission, and retrieval of inform a­ tion. (d) Planning N eeds. Because the library grows with the addition of resources (not simply books, bu t p eo p le, w o rk sp a ce , m a ch in e s, and o th er equipment) long-term planning is essential. E x te r­ nal changes, such as the effect of telecom m unica­ tions, must also be taken into account. The lead tim e for the accum ulation of capital, the prep ara­ tion of working draw ings, and construction re ­ quire th at library projects be built into long-term university space planning. (5) Program s and Services The resources treated in the four sections preced­ ing are used to support programs that serve to fur­ ther the university’s goals. W hile these programs are presented here in library term s, it must be re­ membered th at their effectiveness is measured by their utility to the user. (a) Access. The library should develop and m ain­ tain policies and procedures for ensuring optimal access to its own collections and to needed re ­ sources available elsewhere. These policies and procedures include bibliographic control following accepted national and international standards. i. C atalog and other records should inform the user about w hat is owned, where it is, and how to find it. They should be com prehensive and up-to- date. ii. Access no longer means only enabling users to find w anted m aterials in their lib rary location. W ith the development of online catalogs, telefac­ simile transmission, and other forms of inform a­ tion transfer, many users are now able to conduct their bibliographic research outside the library. In such instances, providing access implies the deliv­ ery of inform ation, w hether in printed or elec­ tronic form at, by the library to the user at the user’s location. This process should be reflected in the policies and procedures of the university library. iii. C ollections should be sy stem atically a r ­ ranged, using a readily understandable taxonomy. The library should not unduly restrict access, but should take account of the need to preserve fragile materials. If storage facilities are used, retrieval should not place an undue burden on the user. iv. The library should arrange to check collec­ tion availability at regular intervals. v. The goal is to make library resources accessi­ ble to all members of the institutional com m unity, in accordance with their needs and with regard for the preservation of m aterials, com pliance with le­ gal requirements such as copyright, and the right to 348 / C &R L News personal privacy. vi. The rules and regulations for the use of the li­ brary and its collections should be readily accessi­ ble to users. (b) Explanation o f Resources a n d Services. The library should provide directional, inform ational, and reference services. These services include not only the answering of questions and providing in­ struction in the use of the library, but also the pro­ vision of printed, graphic, or electronic aids. i. The library should provide services designed for all levels of user. By teaching, by using printed guides and bibliographies, by developing elec­ tronic aids, and by personal interactions, the li­ brary staff should seek to assist users in finding needed m a te r ia l and d ev elo p in g a p p ro p ria te search strategies. ii. Bibliographic instruction, both form al and inform al, should play a significant role in helping library users improve their skills. iii. L ib rary design should also play a role in m ak­ ing the library understandable. Similarly, new ser­ vices such as online catalogs should be designed with the user in mind. iv. These services should be provided not only in the lib rary itself but also in the classroom and through public m edia, both on and off cam pus. (c) Inform ation Transfer. There are tw o kinds of inform ation transfer: the physical transfer of docu­ ments and facsimiles of documents, and the trans­ fer of d ata electronically. i. The library should participate in local, re­ gional, and national program s for interlib rary loan, telefacsimile, and docum ent delivery. The rules and conditions relating to these program s should be clearly explained. W here charges are re­ quired, this should be m ade clear to potential us­ ers; similarly, w here restrictions apply. ii. The library should be prepared, wherever ap­ propriate, to facilitate direct transfer to the user of information so available, as, for example, from d a­ tabanks, or by referral to other agencies capable of meeting the need. (6) University-wide Program s To fulfill its goals, the library requires certain levels of support from within the institution. This in turn requires clear relationships with other parts of the university. (a) G en era l R equ irem ents. The library should cooperate with and participate in all university ser­ vices and program s concerned with information and com m unication. These activities include such functions as admissions, development, public rela­ tions, com puter services, telecomm unications, au­ diovisual services, publishing, copyright, royalty, depository, and exchange arrangements. (b) C o m p u te r a n d T eleco m m u n ica tio n s S er­ vices. The close link between the library’s inform a­ tion services and the provision of com puter and telecom munications services for the university as a whole requires th at a relationship be established, and th at the development of all such services be seen as a unified university responsibility. (c) O ther Services. Other internal relationships are less direct, but equally im portant to the mission of the library. The library is, for exam ple, a factor in attractin g students and faculty. Because the li­ brary plays a central role in research and teaching, it should be involved in plans for the development of the university. W here access to library services is m ade possible for any external com m unity, for ex­ am ple, the surrounding com m unity or the resi­ dents of a state, such policy decisions should be m ade with full library consultation. (7) C ooperative Program s The library exists within a network of relation­ ships extending beyond the institution. These rela­ tionships m ay be custom ary, co n tractu al, coopera­ tive, or symbolic. In cooperation with other libraries, consortia, networks, vendors and other agencies, the library should participate in program s th at will assist it in m eeting its goals and are consistent w ith the mis­ sion of the university. (8) Responsiveness to C h a n ge T he lib rary should an ticip ate changes in the field of inform ation. W hile this need not m ean th at the library itself should undertake a particu lar ser­ vice, the library should bring th at service and its implications to the attention of the university com ­ munity. (a) N ew Technology. The library should adopt and m aintain new technologies as they develop and are useful in meeting its goals. New services do not totally replace older ones, and the institution must be prepared to provide needed support for an in­ creasing range of information technologies. (b) E xperim entation. The library should be con­ ceived as existing within and central to a network of inform ation services, ra th e r th an as a stand alone function. The library needs to assess, by test­ ing and experim entation, the role of new inform a­ tion form ats as they emerge. Se c t i o n C : M e a s u r i n g A c h i e v e m e n t The responsibility for the evaluation of the li­ brary lies with the university administration. The university and the library administration to ­ gether should establish a mechanism to measure the level of achievement of the library. This m echanism should establish identifiable outcomes, both qualitative and quantitative, using ag reed -o n c r ite r ia , and providing ap p ro p ria te feedback. The process should be continuous rather than unitary, though it must also fit into any pro­ cess e sta b lish e d by th e u n iv e rs ity fo r self- evaluation. The goal is to arrive at a clearly stated set of ex­ pectations, which can be m atched against the re­ June 1988 / 349 sources needed, in both cases with the support and understanding of the library and the other p artici­ pants in the process. There is no single best w ay of measuring achieve­ m ent. A variety of procedures should be used. The budgetary process is one of these, in the course of which goals are set and their achievem ent m ea­ sured. Annual reports review progress and set new goals. A ccreditation visits offer similar opportuni­ ties. O ngoing in te ra ctiv e co m m u n icatio n w ith comm ittees and other advisory groups is a neces­ sary com plem ent. All these activities provide a set­ tin g, based on econom ic and political realities, within which the review process can go forw ard. Inevitably, comparisons will be m ade with li­ braries in other universities. Although such co m ­ parisons are difficult because of m ajor differences am ong both institutions and libraries, com parative judgments can be m ade. These should be aided by appropriate quantitative measures and should not be based solely on subjective evaluations. The criti­ cal point is th at, if the institution determines to use peer evaluation, the lib rary and the university should agree on a list of institutions having similar missions, goals and program s. This enables the evaluator to avoid com paring dissimilar libraries. All these procedures recognize th at the library is not static but dynam ic and needs to be evaluated from th at perspective. As the goals and needs of the university change so do those of the library. Past measures m ay no longer be im portant and new ones m ay need to be found. An example th at has emerged over recent years is the use of access rather than ownership of m aterials as a criterion. Any evaluation requires th at the responsibility for the evaluation be clearly assigned, the proce­ dure to be followed be understood by all p artici­ pants, and the goal be defined. (1) Participants T h e p a r tic ip a n ts w ill v a r y , d e p e n d in g on w hether the review is annual, in w hich case they are likely to be internal to the institution. If the re­ view is periodic, the review team is likely to be ex­ ternal. Such external review m ay also be linked to accred itatio n or other m an d ated reviews of the whole institution. W hatever the basis for the re­ view, the members of the review team should be agreed on by the library and university adm inistra­ tions. The reviewers should be informed of the pro­ cedures to be followed, and provided with appro­ priate docum entation. Reports and testimony from both library and non-library sources are proper, in particu lar from those intimately concerned with the setting of goals. The report resulting from the review should be m ade available to both library and university ad­ ministrators, but acceptance, rejection and any subsequent implementation of recommendations are the responsibility of the university adm inistra­ tor who is responsible for the library. (2) Process The procedure followed should parallel th at for any m ajor academ ic or administrative unit. (a) A n n u a l Review . This kind of review is usu­ ally associated with the development of the library budget, and will, therefore, consist principally of a dialogue am ong those responsible for th at process. There should be provision for review and discus­ sion of the library’s budget presentation, together with review of goals and objectives. The dialogue should give all parties the opportunity to examine the relationships between resources and expecta­ tions without preconditions. Similarly, the annual reporting process provides an opportunity for review of successes and failures, and for the development of new goals. These p ro c­ esses can be form al or informal as required by the university. (b) P erio d ic R ev iew . Reviews of this n atu re, w hether carried out by internal or external review teams should include self-assessment, exam ination by the review team , and review of any reports and recom m endations by the university and the li­ brary. The process of self assessment should provide ad­ equate tim e for the preparation of the necessary in­ form ation, and for prelim inary review within the university. If the review team requires further in­ form ation, tim e should be allowed for its p rep ara­ tion. This process should involve all parties con­ cerned with the university library. The review should allow for consultation with the appropriate persons concerned with the library and should not be subject to prior decisions as to results. T h e resu ltin g rep o rts and reco m m en d atio n s should be reviewed by the appropriate library and university adm inistrators, and there should be an opportunity to clarify misunderstandings and sup­ ply further evidence. C riteria for the evaluation of library resources and services are set out in the following section of these standards. All criteria need to be adapted to the circum stances of each institution, as p art of the process of review. All criteria should reflect the views of all participants and be stated clearly. (3) Product The results of any review or evaluation should be m ade available in w ritten form to those responsible for administering the library, who should be given the chance to respond or to amplify. The final re­ view should then become the basis for future action by the institution. The outcom e of reporting and discussion should be a reassessment of the library’s goals and objec­ tives. It should take into account budgetary and operational limitations, and should establish realis­ tic expectations for the future. By this process the university and the library can m aintain a practical balance between resources and mission. 350 / C &RL News Se c t i o n D: E v a l u a t i v e C r it e r i a The questions th at follow are suggested as a means of reaching a proper assessment of the li­ brary. There may be others that are more appro­ priate for any individual university library and all libraries should use any measures that are available locally. (1) A dequacy of B udget (a) Are the budgetary resources sufficient to sup­ port current activities and to provide for future de­ velopment? (b) Does the budget support the purchase of or access to the necessary range of library materials? (c) Does the budget support appropriate num­ bers and kinds of staff for the programs offered? (d) Does the budget provide adequate support for other operating expenses? (e) Does the budget provide adequate support for new programs and innovations? (f) Does the process by which the budget is devel­ oped allow for appropriate consultation? (g) Does the library director have the appropri­ ate level of discretion and control over the expendi­ ture of the allocated budget? (2) A dequacy o f Collection (a) Is there a written policy for managing the col­ lection? (b) Does this policy address issues of user satisfac­ tion? (c) Is there provision for considering change in academ ic needs? (d) W h at basis is used for determining collection levels and sizes? (e) Is there evidence of areas of undersupply? (f) Is there evidence of areas of oversupply? (g) Does the collection m atch the academ ic pro­ grams? (h) Is the collection growing at an appropriate rate? (3) A dequacy of Buildings and E q u ip m en t (a) Are the buildings sufficient to house staff and collections? (b) Are the buildings adequately maintained? (c) Are there appropriate space plans? (d) Is there appropriate provision for use by the handicapped? (e) Is the range, quantity, and location of equip­ ment adequate to the programs offered? (f) Is the equipment adequately maintained? (g) Is there budgetary provision for upgrading, repair or replacement? (h) Is there evidence of planning for the use of new and improved technologies? (4) Access and Availability (a) Are the policies governing access and use clearly stated and readily available? (b) Are the bibliographic records appropriate? (c) Are the collections properly housed? (d) Are the collections actually accessible and available? (e) How readily can the library provide m ateri­ als not owned? (f) Is the staff provided for technical services and other collection-related services sufficient for the task? (5) Preservation and Conservation (a) Does the library have proper environmental controls? (b) Does the library have an emergency plan? (c) Does the library budget have adequate provi­ sion for the preservation and repair of dam aged, aged and brittle books? (d) Does the library have adequate safeguards against loss, mutilation, and theft? (6) Resource Usage (a) W h at are the library policies for resource use? (b) How much is the collection used? (c) How well is the collection used? (d) W h at is the fulfillment ratio? (e) W h at is the relationship between collection size, collection growth rate, and collection use? (7) A dequacy o f Services (a) W h at range of services is offered, over w hat ranges of times? (b) Are the locations where services are offered adequate to the purpose? (c) W h at statistics and other measures of quality and quantity are maintained? (d) Is the size and distribution of public service staff adequate for the numbers and kinds of us­ ers? BI clearinghouses showcased The A C R L Bibliographic Instruction Sec­ tion’s Clearinghouse Committee will present a discussion forum at ALA Annual Conference in New Orleans entitled, “The BI Clearinghouse: Starting and Sustaining,” on Saturday, July 9, from 9 :3 0 a.m . to 12:30 p .m . If you are in­ volved in a clearinghouse in your state or are in­ terested in starting one, you are invited to join in the discussion. Representatives of four clear­ inghouses will discuss their experiences and an­ swer questions. The panel will consist of Betsey B rennem an (New E n g lan d C learinghouse), Em ily Okada (Indiana Clearinghouse), Mary Ann Miller (New Jersey Clearinghouse), and Joan Kaplowitz (Southern California Clearing­ house).