Information policies in libraries

Class 613 March, 2007Peter Sidorko

peters@hku.hk

BSIM0003 Information Policy

Outline

• Information policies: definitions and purposes

• Library policies

• Libraries as information and service providers

• Libraries as organisations

• Library policy formulation: HKUL case study

Policy defined

• From class 1:

1. A definite course of action adopted as expedient or from other considerations

2. A course or line of action adopted & pursued by a government etc

3. Prudence, practical wisdom or expediency

Macquarie Dictionary

Policy : Purpose

From class 1:Policy is intended to control activity & guide

it in directions which are desired for political, social, economic or professional reasons (depending on the nature of the policy).

Policies may be very broad statements of vision or more specific in the form of strategic plans

Information policy defined

From class 1:‘A governing principle, plan, or course of action concerning

information resources & technology adopted by a company, organization, institution, or government, ODLIS

Information policy is designed to regulate or guide people, organisations & processes involved in information flow in society. A useful definition of public or government information policy is:

‘the set of all public laws, regulations & policies that encourage, discourage or regulate the creation, use, storage & communication of information’ (Weingarten, 1989)

Library policies

Library policy : Purpose

• Guide the daily operation of the library

• Provide a decision making regimen for library staff

• Help ensure high-quality library service

• Ensure wise use of library resources

• Provides for fair treatment of library staff and library users

• Enables transparency

Start with a Strategic Plan

• Vision– provides an adequate statement on the purpose of the

organisation, its intended actions and the methods it will use to satisfy market needs

– the statement is simple to comprehend, – it sets the company apart from its competitors and – is written in a positive, indeed inspirational, tone aimed to

energise employees. (Alkhafaji, 2003, p.12).• Mission

– What is the company’s business?– Who are our customers?– What is our value to the customer?– What will our business be?– What should our business be? (Drucker)

Start with a Strategic Plan

• Goals– Further define and indeed form a critical part of the

mission statement. – The mission statement drives the goals which in turn

reflect the general direction of the company.• Objectives

– More specific than goals– Provide means by which goals are seen to be

achieved– Often provide measurable outcomes– Should be SMART: Specific, Measurable, Attainable,

Rewarding, and Timed

What policies?

• Depends on library:– Type, eg academic, public, school, special etc– Size– Relation with other libraries, eg branch

• Depends on the organisation:– Private– Public

• Depends on the governing body• Depends on the prevailing environment

– Political– Economic– Technological– Social

• Legally required, eg privacy, copyright

Information transfer cycle

• Use• Create• Collect• Organise• Store• Provide access• Deliver

Libraries as information and service providers

Good library policies

• Must comply with the legal framework in which the library operates

• Policies must be reasonable (and all penalties must be reasonable)

• Policies must be clear (not ambiguous or vague)

• Policies must be applied without discrimination.

• From Trustee Essential 10: developing Essential Library Policies http://dpi.wi.gov/pld/te10.html

Bad library policies

• Food and drinks, within reason, are permitted in many library locations. open to interpretation

• Library restrooms are not to be used for bathing or other similar purposes.

• http://www.lib.virginia.edu/policies/use.html

• Library use privileges will be revoked if a patron has too many overdue books

• All talking in the library is prohibited, and anyone who talks in the library will permanently lose library use privileges

• http://dpi.wi.gov/pld/te10.html

Typical library policies

• Eligibility for access (Provide access)• Eligibility for borrowing and services (Use)• Collection development policy (Collect)• Circulation policy – loan periods, renewals, holds, fines,

damages, ILL, AV and special materials (Deliver)• Reference policy – assistance, Information Literacy

training (Provide access)• Facilities policy – hours, disabilities access, security,

meeting rooms, exhibits, copiers etc (Use)• Community relations/outreach policy (Provide access)• Patron behaviour policy (Use)• Internet and computer use policy (Use)

Library Regulations

• HKUL Library Regulations http://lib.hku.hk/general/services/regulations.html– L1 Hours of opening– L2 Admission to the Libraries– L3 Borrowing privileges– L4 Fines for late return of books– L5 Books assumed lost– L6 Reading privileges– L7 Theft or mutilation of library materials– L8 Damaged and lost books– L9 Reservation of places– L10 Photocopying– L11 General– L12 Exclusions– L13 Waiving of the regulations

Collection Development Policies: Why?

• To guide the library toward a goal of a collection custom-built to fit users’ needs

• To encourage users and librarians to come to an understanding of what materials are generally needed

• Clarify collection development objectives to the community as well as to cooperating institutions

• Serve as a quality control device guiding librarians’ selection decisions

• Provide for continuity despite personnel changes• Serves as a communication tool between the

library and the user community.

Collection Development Policies

• Purpose statement• Background statement• Responsibility for collection development• Mission, goals and objectives• Target audiences• Budgeting and funding• Evaluative criteria• Formats• Government publications• Treatment of specific resource groups• Special collections• Resources sharing• Services statement

Collection development policies• Selection aids• Copyright statement• Intellectual freedom statement• Acquisitions• Gifts and exchanges• Collection maintenance• Weeding• Collection evaluation• Policy revision• Definition of terms and glossary• Bibliography• Appendices

– From Hoffmann, F.W., 2005, Library collection development policies : academic, public, and special libraries, Lanham, Md. : Scarecrow Press.

HKUL CD Policy 1• Introduction• University Library Environment

– Mission Statement– Collection Development Objectives– Purpose of Collection Development Policy

• General Selection Criteria– Selection Guidelines: General, Language, Choice of Format, Print,

Hardcover vs Paperback, Microform, Electronic Resources.– Formats and Materials Not Collected– Collecting Levels and Criteria

• Collection Development Organization– Roles and Responsibilities in Collection Development

• CD Team• CD Librarian• Faculty/Branch Librarians• Selectors• Faculty Library Representatives

HKUL CD Policy 2• Acquisition Process

– Methods of Acquiring Materials– Selection Aids for Library Resources– Acquisition Procedures– Forms– Library Resources Fund

• Library Impact Statement for New Course/Programs • Collection Maintenance Guidelines

– Duplication Policy– Guidelines for Multiple Copy Purchase of Monographs Based on Heavy Use– Gifts and Exchange Policy– Replacement Policy– Weeding Policy

• Subject Policy Statements (for 35 departments)• Specific Format Policies

– Audio Visual Materials– Hong Kong Collection– Reference Collection– Serials Collection

• http://lib.hku.hk/cd/policies/cdp.html

HKUL Electronic Resources CD Policy 1

• Introduction • Scope of the Policy • Selection Guidelines for Fee-based Electronic

Resources– Subject/Content– Functionality and System Reliability (very important)– Access-Related Technical Considerations– Vendor Support– Pricing Consideration– Licensing Consideration

• Selection Responsibilities– Collection Development Team– Shared Electronic Resources Fund Advisory Committee

HKUL Electronic Resources CD Policy 2

• Acquisition Process– Selection Aids for Electronic Resources– Acquisition Procedures– Shared Electronic Resources Fund

• Guidelines on Selection of Free Internet Resources– Selection Guidelines Specific to Internet Resources– Exclusions– De-selection Guidelines– Duplication– Copyright for Internet Resources

• Appendix Different Types of Electronic Resources

CD Policies and $$s

• CD Policy sets the direction for expenditure of library budget

• What factors might influence library policy on how the budget is divided up?– eg Academic libraries

• Disciplines range• Number of students• Average cost of books in the discipline• Average costs of serials in the discipline• Degree of usage

Exercise

• Think about the differences between academic and public libraries. Make some notes/observations (using the worksheet in the Resources section of ILN) about the key policy issue differences, or indeed the similarities, between the two through the information life cycle phases. Post your views on ILN.

Libraries as organisations

• Information policy of libraries = collection development policy for the acquisition of content + library regulations for access, behaviour etc

• But libraries have other information based activities. They require information for:– Internal operations for management planning and

control (e.g. personnel data, financial data, legal obligations etc)

– External information for environmental scanning to help the library understand the environment they operate in.

• Like other organisations, libraries rely heavily on information in order to function effectively– Planning– Decision making– Resource allocation– Record keeping– Continuity of business practices– Competitive advantage

Information policy & IM

Information management is the application of an information policy to meet information objectives within the overall constraints of available resources. It is concerned with how:

1. Information is acquired, recorded & stored2. Information flows through the enterprise3. Information is used by the enterprise4. People who handle information apply their skills &

co-operate with one another5. Information technology is used6. The budget is spent

Library enterprise information

• Management– Responsibility/authority– Financial management

• Personnel information– Recruitment– Job descriptions– Staff training/development– Performance appraisal– Tenure, contract, substantive– Annual, sick and study leave

Library enterprise information

• Facilities– Emergency– Usage of equipment– Maintenance etc

• Communication– Minutes, memos, reports, working papers etc

• Feedback, surveys, etc

• Invoices, receipts etc

Library corporate information policy

• What information? (Create/Collect)– Supporting organizational aims

• Who has access? (Access/Use)• How does it flow? (Deliver)• What technology will be used? (Deliver/Store)• Storage? (Store)• Organisation? (Organise)• Retention?

Library policy formulation: HKUL case study

Library policy development

• Consistent with library “philosophy”

• Examination of library’s experience

• Knowledge of the community

• Comparisons with other similar libraries

• Developed consultatively – staff and users

• Sanctioned by the organisation’s governing board

Increasing borrowing privileges for all users

• Start with library philosophy – strategic plan– Improve faculty and student access to information

resources residing on local computers, to information remotely stored and accessed via the web, and to traditional forms of information owned locally and by other libraries (HKUL Strategic Direction 4)

• Examination of library’s experience– Some users exceed their quota – Library shelves are full

• Knowledge of the community– Feedback through surveys asks for more flexible

lending policies

Increasing borrowing privileges for all users

• Comparisons with other similar libraries– Other world-class universities give their users

more loans

• Developed consultatively – staff and users– Draft document developed– Distributed to key staff for comment– Brainstorming to identify potential problems– Discussion with Deputy Vice-Chancellor– Amended following feedback

Increasing borrowing privileges for all users

• Sanctioned by the organisation’s governing board– Redrafted document discussed at the Senate Library

Committee– Policy amended

• Implementation phase now in place– Rewriting documentation– Reprogramming LMS– Public awareness campaign– ca 3 months before changes instituted

References • Alkhafaji, A. F., 2003, Strategic management :

formulation, implementation, and control in a dynamic environment, New York : Haworth Press.

• Hoffmann, F.W., 2005, Library collection development policies : academic, public, and special libraries, Lanham, Md. : Scarecrow Press.

• Trustee Essential 10: developing Essential Library Policies http://dpi.wi.gov/pld/te10.html.

• The University of Hong Kong Libraries, 2006, Collection Development Policy, http://lib.hku.hk/cd/policies/cdp.html

• The University of Hong Kong Libraries, 2006?, Electronic Resources Collection Development Policy, http://lib.hku.hk/cd/policies/erp.html.

• Weingarten, F. 1989. Federal information policy development. In C. McClure, P. Hernon & H. Relyea. (Eds) United States Government information policies. Eds. Ablex, Norwood, NJ.