ACRL News Issue (B) of College & Research Libraries


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



M ay 1989 /  393

prim ary clientele as w ell as th e cross-disciplinary 
needs of others in th e academ ic com m unity. An 
analysis of the need for a b ran ch  or an evaluation of 
an  existing b ran ch ’s program s should consider th e 
following: th e inform ation needs of the to tal aca­
dem ic com m unity; th e p rim ary  clientele (students, 
faculty, academ ic departm ents) and th eir inform a­
tion needs; geographical location related to  p ri­
m ary clientele and to th e  to tal com m unity of users; 
collection developm ent and m anagem ent policies 
(including th e cost of duplicating resources on th e 
campus) an d  th e physical arrangem ent of th e col­
lections to m eet th e cross-disciplinary needs of th e  
a ca d e m ic  co m m u n ity ; u ser services in c lu d in g  
h o u rs o f access, a p p ro p ria te  technologies, a n d  
staffing requirem ents; access to  union catalogs, d e­
livery systems, a n d  specialized in fo rm atio n  sys­
tems; space and eq uipm ent requirem ents; o p e ra t­
ing costs an d  financial sup p o rt requirem ents.

T he decision to establish or continue a bran ch  li­
b ra ry  should be accom panied by adm inistrative 
policy statem ents clearly defining th e responsibili­
ties of th e library system, including its branches. 
L ib ra ry  policy statem en ts su p p o rtin g  objectives 
an d  o perating procedures of branches should cover 
th e following: the purpose of th e  branch; adm inis­
tra tiv e  stru c tu re ; collections developm ent; ser­
vices; staffing; resource allocation; and facilities.

B ranch libraries should be regarded as integral 
com ponents of th e  c entral lib rary  system. This in­
tegration implies th a t th e  goals of branch libraries 
should be com patible w ith  those set in th e course of 
th e overall budgetary process. Moreover, in assess­
ing th e  success of th e lib rary  system in m eeting its 
goals, th e  achievem ents an d  needs of b ran ch es 
m ust be taken into account.

B ranch libraries typically have a special rela­
tionship w ith  one or m ore academ ic dep artm en ts 
or research institutes. This special relationship m ay 
place specific responsibilities on b ranch libraries, 
to th e extent th a t th e  associated departm ents and 
institutes depend on them  to m eet accreditation re ­
quirem ents, and special inform ation needs. At the 
sam e tim e, a b ranch lib rary  m ust be integrated 
into th e central lib rary  system and serve th e entire 
university com m unity.

Resources
Effective b ran ch  libraries require ad eq u ate re­

sources personnel, facilities, and collections to p e r­
form  th eir mission. Im plicit w ith  the creation of a 
b ranch lib rary  is a com m itm ent to funding its de­
velopm ent, ongoing services, and grow th w hile 
m ain tain in g  ad equate support levels for lib rary  
services required by th e total academ ic com m u­
nity. B ranch libraries should m ain tain  th e  sam e 
standards of service, b u t not necessarily th e same 
services, as th e  m ain lib rary  w ith  respect to access, 
staffing, assistance to users, and adequacy of physi­
cal facilities.

P ersonnel a n d  S ta ffin g . C o m p e te n t s ta ffin g  
should be provided to insure th e proper develop­

m en t and use of th e  lib rary ’s services an d  collec­
tions. T h e staff is a p rim ary  link b etw een th e  com ­
m u n ity ’s n e ed s a n d  th e  l i b r a r y ’s serv ices a n d  
collections. In  general, a b ran ch  lib rary  requires 
th e  full-tim e atten tio n  of one o r m ore librarians, 
along w ith  ap p ro p riate support staff, to provide 
a d eq u ate adm inistration, collection m anagem ent 
a n d  developm ent, an d  services. Specialized b ran ch  
libraries often req u ire lib rarian s w ith  specific sub­
ject backgrounds to m eet th e teaching, research, 
an d  learn in g  needs of th e  users. T he mission of the 
school(s) or unit(s) served an d  th e ir level of depen­
dency on lib rary  m aterials should also be consid­
ered in determ ining th e  level of professional staff 
required. T he to tal n u m b er of professionals and 
sup p o rt staff in th e b ran ch  depends on the size and 
scope of th e  branch; staffing levels m ust be ade­
q u a te  to  provide services a n d  m ain tain  hours of op­
eration. T h e lib rary  adm inistration, w ith  its over­
view of system wide lib rary  needs, m ust m ake th e 
final d eterm ination of th e b ran ch  staffing level.

Facilities. B ranch libraries should be housed in 
suitable quarters for m ain tain in g  th e collections 
an d  provide favorable study an d  research condi­
tions for users. N either users nor m aterials should 
b e endangered by poor environm ental conditions 
o r c ro w d ed  space. C o m fo rta b le , w e ll-lig h te d , 
clean space w ith ad eq u ate and ap p ro p riate seating 
an d  convenient access to th e  collections and all 
e q u ip m e n t (including w orkstations, m icroform  
and audiovisual equipm ent) is necessary. R elated 
m aterials, not accessible in th e  b ran ch , should be 
safely and appro p riately  housed in o th er libraries 
o r in storage locations w ith  reasonable an d  ade­
q u ate retrieval a n d  delivery systems (such as direct 
docum ent delivery or telefacsimile) a n d /o r conven­
ien t hours for onsite use a t th e  storage location. F i­
nally, p ro p e r clean in g  a n d  m a in te n an c e  of th e 
b ran ch  facility is essential to insure its a ttractiv e­
ness an d  usability.

C ollections. T h e b ra n c h  lib ra ry  purchases or 
provides access to th e necessary range an d  d ep th  of 
lib rary  m aterials, as described in th e  collection pol­
icy of th e b ran ch , to m eet th e inform ation needs of 
its p rim ary  constituents and support th e  academ ic 
program s w hich it serves. T h e collections should 
ideally provide for a significant p a rt of th e litera­
tu re  an d  inform ation needs of its p rim ary  constitu­
ents. Increasingly diverse p attern s of interdiscipli­
n ary  research by a b ra n c h ’ users m ay m ake this 
ideal difficult to achieve. W hen th e p rim ary  con­
stituents m ust go beyond the branch to m eet some 
of th eir needs, the b ranch librarians should provide 
effective assistance in accessing altern ate sources.

T he value of a collection is d eterm ined by its us­
ability as well as by its q u ality  and size. Policies 
governing access should be clearly stated and read ­
ily available. In  addition, effective bibliographic 
access m ust be provided to th e  b ra n c h ’s collections, 
an d  th e b ran ch  should also provide access to th e on­
line catalogs and union catalogs of th e  lib rary  sys­
tem .



394 /  C& RL News

F inally, th e  collections should be ad eq u ately  
housed w ith proper environm ental controls and 
systematically arranged in an understandable fash­
ion, w ith safeguards against loss, m utilation, and 
theft, so th a t they are accessible to all users. Addi­
tionally, appropriate equipm ent must be available 
in th e b ra n c h  for using any special form ats in ­
cluded in the branch’s collections.

Communications
As components of a centralized library organiza­

tion serving the specific needs of a discrete clien­
tele, branch libraries require ties w ith a num ber of 
agencies and individuals, on a m ultitude of levels. 
The goal of all com m unications should be to assure 
the effective operation of the b ranch w ithin the ser­
vice structure. T here are tw o types of com m unica­
tio n  th a t need to be developed and m onitored 
closely: a) com m unication about lib rary  services 
(e.g., publicity); and b) th e com m unication which 
constitutes library service (e.g., reference service). 
C o m m u n ic atio n  in  th e  fo llow ing relatio n sh ip s 
m ust reach a healthy level to ensure successful li­
b rary  perform ance.

Primary clientele. The branch library m ust serve 
as an effective liaison betw een the faculty, staff, 
and students of the schools or departm ents served 
by the branch and the m ain library adm inistration. 
Such a  liaison function m andates the establishm ent 
of form al and inform al mechanisms to involve the 
p rim ary  clientele in decisions related to th e library.

B ranch lib rarian s should em ploy a v ariety of 
m ethods to m aintain awareness of the research and 
instruction needs of their clientele. P articipation in 
a p p ro p ria te  d e p artm en tal activities—sem inars, 
orientations, and com m ittees—helps incorporate 
th e library and its staff into the intellectual life of 
th e departm ent or school. Efforts to w ork w ith  new 
faculty, program s, institutes, etc., can be p a rtic u ­
larly productive.

Central library adm inistration and other branch 
libraries. T he library should p articip ate in form al 
an d  inform al contacts w ith both m ain library de­
partm ents and other branch libraries to exchange 
inform ation about functions related to technical 
an d  public services. A structure w hich encourages 
th e exchange of inform ation and expertise am ong 
b ranch libraries is also desirable. The establish­
m ent of connections w ith  each other and w ith  es­
sential centralized services is p aram o u n t to effec­
tive an d  comprehensive service.

Professional organizations and governm ental re­
lations. Branch librarians should m ake an effort to 
keep th e  a p p ro p ria te  professional organizations 
(e .g ., ALA, A C R L , s ta te  lib r a ry  associations) 
aw are of th e special issues affecting branches.

Evaluation: Achievement measures
Since branch libraries are to be regarded as inte­

gral components of th e overall library system of a 
university or college, th e same basic principles de­

scribed in “Standards for th e Evaluation of Univer­
sity L ibrary Perform ance” apply also to branch li­
b ra rie s. T h e  c rite ria  fo r ach iev em en t a n d  th e  
m echanism s for th e  ev alu atio n  of achievem ent 
m ay also be influenced by th e special relationships 
th a t m ay exist betw een a b ranch lib rary  and the 
p a rtic u la r disciplines it serves, especially w hen 
these disciplines include library perform ance in 
th eir accreditation requirem ents. C riteria for use 
in evaluation of b ranch libraries include:

1. Adequacy o f the budget.
a. Is th e budget in line w ith  th a t of com parable 

b ran ch  libraries in com parable institutions?
b. Does the budget support th e purchase of or ac­

cess to the necessary range and depth of library m a­
terials as described in the b ran ch ’s collection policy 
and as required by th e accrediting bodies for the 
b ran ch ’s disciplines?

c. Does the budget support appropriate num bers 
and kinds of staff for th e program s needed?

d. Does th e budget provide adequate support for 
operating expenses?

e. Does th e budget provide adequate support for 
new  program s and innovations?

f. Does the branch lib rarian  have adequate in ­
fluence in the process of budgetary developm ent? 
Does the librarian have adequate knowledge of 
overall library system goals set in the process of 
budgetary development?

g. Does th e branch lib rarian  have th e appropri­
ate level of discretion and control over th e expendi­
tu re  of the allocated budget?

2. Size o f collections.
T here are no absolute standards for the size of 

collections. The fundam ental criterion is th a t the 
collections should provide for a significant p a rt of 
th e literatu re needs of th e prim ary constituencies 
served by the branch, as described in th e library’s 
collection developm ent policy. T he ev aluation 
should be concerned w ith  the following specific 
considerations:

a. Is th e size and grow th rate of th e collection in 
line w ith th a t of com parable branches at com para­
ble institutions?

b. Does the size and grow th ra te  of th e collection 
m eet the requirem ents of accreditating bodies of 
th e b ran ch ’s prim ary  constituents?

c. Does th e collection profile m atch  th e  a ca ­
dem ic program s as described in the collection pol­
icy? Is there sufficient b read th  to allow a tim ely re­
sponse to changes in curricula or research interests 
of the prim ary constituencies? Are there areas of 
chronic undersupply or oversupply?

3. Access and availability.
T he usefulness of a lib rary ’s collection is ulti­

m ately determ ined by th e effectiveness of th e b ib ­
liographic and physical access provided.

a. Does th e catalog effectively inform  th e user 
ab o u t w h at is owned and w here it is located?

b. Is bibliographic access to a branch available 
from  other libraries in the overall system?



M ay 1989 /  395

c. Are th e collections properly housed and a r­
ranged for physical access? If a portion of the col­
lection is housed in a rem ote location, can such m a­
terials be conveniently obtained by users?

d.  Are collections actually available? Is avail­
ability measured in a m eaningful w ay at regular 
intervals?

e. Can the branch library provide convenient ac­
cess to m aterials not ow ned by th e overall library 
system?

4. Preservation and conservation.
Provision should be m ade for m aintaining the 

branch’s collections.
a. Does the branch have proper environm ental 

controls? Is there provision for m oving rare or frag­
ile m aterials to a m ore protected environm ent if 
conditions w ithin th e b ranch are not adequate for 
housing such materials?

b. Does the branch have an em ergency plan?
c. Is there adequate provision for the preserva­

tion and conservation of dam aged, aged, or b rittle 
m aterials in the b ran ch ’s collection?

d.  Does the b ranch have adequate safeguards 
against loss, m utilation, and theft?

5. A dequacy o f services.
T ypically, th e re  will b e a tra d e-o ff betw een 

proxim ity to p rim ary  users, optim ized by a p a tte rn  
of num erous sm aller branch libraries, and range 
and depth of services, optim ized by larger, m ore 
centralized service points. T he p a tte rn  adopted by 
any given library system w ill be p artly  determ ined 
by user preferences p artly  by historical accident, 
and p artly  by opportunities for im provem ent and 
change. E ach branch should attem p t to m easure 
the perm anence and success of services offered, 
w hether through statistical m ethods, or by user 
surveys, or by other means.

a. W h at range of services is offered?
b. Are the services offered appropriate to the 

p articu lar inform ation needs of the p rim ary  con­
stituents of the branch? Are there services th a t are 
om itted th a t the prim ary  users w ould value more 
th an  the services th a t are provided?

c. W h at statistics and other measures of q u an tity  
and quality are kept?

d. W h at is the ratio of public services staff to the

num b er of prim ary constituents?

Evaluation: Evaluation and reassessment
T h e m echanism s for ev alu atio n  an d  reassess­

m ent should include the ongoing com m unication 
processes discussed in th e previous section. T he 
budgetary process is particularly im p o rtan t as a 
m e ch a n ism  fo r assessing th e  ach ie v e m en ts of 
b ran ch  libraries and for assuring th a t the goals of 
th e branches are consonant w ith those of the over­
all library system. In addition to ongoing evalua­
tio n  processes, th e  goals an d  achievem ents of 
b ran ch  libraries should be periodically subjected to 
m ore form al mechanisms of exam ination, either as 
p a rt of the assessment process of the library system 
as a whole, or in the context of a separate evalua­
tio n  of th e  p r im a r y  c o n stitu e n c ie s o f specific 
b ran ch  libraries. These mechanisms will vary w ith 
th e style adopted by the p a re n t institution for self- 
exam ination, and w ith  the special requirem ents of 
th e  disciplines served by th e branch library. In  all 
cases, they should include reportback, discussion, 
and adjustm ent.
1. Reportback.

R eporting should include full and frank state­
m ents of th e findings of the examining body. Re­
p o rtin g  should acknowledge successes and failures, 
and should include suggestions for im provem ent.
2. Discussion.

A ppropriate forums should be provided for the 
discussion of all aspects of b ran ch  lib rary  p ro ­
grams, w ith  the intention of providing all parties 
w ith  th e opportunity to examine the interrelation­
ships betw een resources and expectations w ithout 
preconditions.
3. A djustm ent.

The outcom e of reporting and discussion should 
be a reassessment of goals and objectives. B udget­
ary and operational lim itations should be taken 
into account, and realistic expectations for the fu­
tu re  should be established. By this process, th e uni­
versity, th e overall library system, and the branch 
library can m ain tain  a m atch betw een resources 
and mission. ■ ■

Scanning and fax technologies tested

T he State University of New York at Buffalo has 
received a $175,746 T itle II-D  g ran t to com pare 
telefacsimile and optical scanning technologies as 
applied to collection developm ent, resource shar­
ing, and cooperative inform ation storage. T he pro­
posal for th e 30-m onth study was w ritten  by Rob­
e r t J. B e r th o lf , c u r a t o r  o f th e  u n iv e r s ity ’s 
P o etry /R are Books C ollection, an d  Stephen M. 
R oberts, associate d irecto r of libraries. T he re­

search team  will set up three distinct test situations 
based on delivering com puterized inform ation via 
fax and scanning equipm ent to determ ine cost and 
efficiency factors. P a rt of the funding is being used 
to acquire both types of electronic equipm ent to 
carry out th e  research.

T he testing will evaluate both direct and associ­
ated costs, tu rn a ro u n d  times, train in g  and end- 
user acceptance of services based on facsimile cop-





May 1989 /  397

ies and scanner-generated, machine-readable files 
in lieu of sending hard copy or photocopies by m ail.

The three phases of testing over the 21/2-year life 
of the project will involve the four State University 
C enters a t Buffalo, A lbany, B ingham ton, and 
Stony Brook; the Buffalo Health Sciences and Sci­
ence and Engineering Libraries; and Buffalo’s total 
library system linked to 30 Western New York cor­
porations, law offices and business and financial

organizations th at have agreed to cooperate.
The third phase is designed to show w hether

funds derived from a fee-based service to Western 
New York clients could generate enough funds to 
subsidize the service for Buffalo faculty and stu­
dents. The adm inistrative base of the project will 
be an electronic bulletin board th a t will be set up 
on the SUNY-Buffalo m ainfram e computer.

■ ■

G uidelines fo r th e security o f 
rare b ook , m an u scrip t, a n d  oth er 
sp ecial collection s: A d raft

Prepared by the RBMS Security Committee
Gary L . Menges, Chair

A hearing w ill be held on these guidelines in Dallas on 
Saturday, June 24.

T he final version of “ G uidelines R egarding 

Thefts in Libraries” was approved at the ALA Mid­
w inter Meeting in 1988 and appeared in the March 
1988 issue of C& RL News. The ACRL Rare Books 
and Manuscripts Section Security Committee, fol­
lowing the completion of the Theft Guidelines, un­
dertook the revision of “Guidelines for the Security 
of Rare Book, Manuscript, and O ther Special Col­
lectio n s,” published in C & R L News in M arch 
1982. The revised text of the Security Guidelines, 
as approved by the RBMS Executive and Standards 
Committee, appears below.

The revised guidelines include references to the 
Theft Guidelines and to the RBMS “Guidelines for 
the Transfer of Rare Materials from the General 
Collections to Special Collections,” both approved 
since the 1982 Security Guidelines were issued. A

new section on transfers from the general collec­
tions (Section VIII) has been added. A num ber of 
other additions or changes have been m ade to the 
text to clarify or make more specific the guidelines. 
For example, in Section IV the sentences beginning 
“ F ire  an d  em ergency e x i t s ...,” “ A re c ep tio n  
a r e a ...,” “A coatroom ...,” and “Combinations to 
v au lts...” have been added. There are also a num ­
ber of editorial changes. For example, “Security of­
ficer” and “Security Task Force” used in the 1982 
guidelines have been changed to “L ibrary Security 
Officer” and “Security Planning G roup” to make 
the terminology consistent w ith th a t used in the 
Theft Guidelines. The only changes in the Marking 
Guidelines (Appendix 1) are in the introduction. 
Previously the guidelines were “addressed only to 
those libraries w ho elect to use m arking.” The