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Rebuilding the Plane While Flying: Library/Vendor Strategies for Approval Plan Revision (in a DDA World)
1. Rebuilding the Plane While Flying:
Library/Vendor Strategies for Approval
Plan Revision (in a DDA World)
Charles Hillen, Head of Acquisitions & Serials, Loyola Marymount University
Glenn Johnson-Grau, Head of Collection Development, Loyola Marymount University
Joan Thompson, Collection Development Manager, YBP Library Services
2. About Loyola Marymount University
A mid-sized Master’s L institution located on the West
side of Los Angeles.
One of the twenty-eight Jesuit institutions in the U.S.
6100 undergraduates and about 2200 graduate
students; the affiliated Loyola Law School is located
near downtown Los Angeles.
3. Collection Development at LMU
Liaison model
22 librarians are liaisons/selectors for one or more academic
program
Advantages:
Large group with diverse knowledge and expertise
CD responsibilities written into job descriptions
Disadvantages:
Liaison work not a primary job responsibility
Librarians frequently don’t have much CD experience
Schedules full from primary responsibilities
Maintaining a well-informed and engaged company of
liaisons is a continuous challenge.
4. New Directions
New Dean and Head of CD agreed: program needed to
become more intentional and less dependent on faculty
involvement
Trials and Lessons Learned:
Have liaisons revise and/or create individual departmental
collection development policies
FAIL
Expertise of the liaisons was not uniformly advanced enough
First attempt to involve liaisons in revising our approval profile
Struggled for the same reasons noted with the CD policies
Attempts to provide information to all the liaisons in a large
group meeting were also unsuccessful
5. Putting Peas In Pods
Solution:
We needed a forum that met regularly in small groups for training
Raise all the liaisons to a uniform level of expertise
Encourage discussion of concerns about collection development
activities
Thus, the Pods:
Four groups of 4-6 liaisons
Organized around broad subjects
Monthly meetings
The Pods have been meeting since the spring of 2011
Basic processes, workflows and technical training
Collection development concepts, goals and foci
Development and/or application of subject expertise
6. The Approval Plan Profile
Created in the mid-1990s
Many minor changes since, but no systematic review
Major flaws with the old plan
Significant areas within classification ranges,
particularly in the sciences, were excluded for no
discernable reason
Conception and contraception in RG
Innumerable areas were set to receive slips, even in
areas of curricular focus and collection strength
Unexpected discoveries in the analysis process
Bioethics in R-class (and elsewhere)
7. Wait a Sec…What About E-Books?
At about the time that we started this process, we also
piloted our first Demand-Driven Acquisition (DDA) plan
Built upon our ebrary Academic Complete subscription
We had to think long and hard:
Why invest the time in revising our approval profile if we
were going to let patrons select materials?
Was an approval plan an anachronism in a DDA world?
Nothing succeeds like excess. – Oscar Wilde
8. Why Continue Approval and Selection?
Buy it when you can (is e-access guaranteed?)
Bob Nardini in “Approval Plans and Patron Selection”
Local expertise matters
“Patron-Driven Acquisition and Circulation” by Tyler, et al.
For now, format matters to our patrons; therefore it should
matter to us.
Known unknowns and unknown unknowns; burned by
aggregator content in early years of full text databases.
There is still a lot we don’t know.
Observe moderation. -- Hesiod
9. Redefined Goals
For liaisons (and faculty):
Reduction in slips and time spent reviewing slips
Invest time now to save time later
For Acquisitions (and Cataloging and Circulation)
Reduction of backlogs/Stabilized workflows
Consistent and reliable spending
Reduce process labor
Accelerate receipt of desired material
Receive roughly 70% of our print book purchase on approval
and 30% on firm orders
Flip the old ratio
10. Additional Goals
Provide a framework for moving the needle from
print purchasing to e-books, both firm and DDA
To feel confident that our approval-to-firm order ratio
would be within broad parameters that we had set
through our systematic approval plan review
Begin a pilot project for going e-preferred through the
approval plan for certain academic disciplines
11. Getting Started
In consultation with our YBP representative, we
outlined a plan for a full revision
Cautionary factors:
Desired granularity of our decision making with the
dual challenges --AND
Had to educate each liaison on the process – AND
Had to manage the time constraints of each meeting
12. YBP’s Role
YBP approval profiling and Collection Development
Manager’s role
LMU’s process more involved than typical profiling
project
More time onsite; more involvement in process
More involvement in decision making
An excellent opportunity to be present while intensive
collection development work was being carried out
LMU approval is expanding and becoming
comprehensive while the trend is toward contraction
and/or shift to DDA
13. YBP’s Role Adjusted
Expectations: more in depth review process,
working with a profile that had not been significantly
changed in many years
Unanticipated outcomes: the extent of changes
Created new framework of multiple plans
Needed to coordinate profile changes among plans
Scope expanded to include additional needs
discovered during the review process
14. YBP in Partnership
Deconstructed the existing profile
Constructed several new profiles that mirror the
collection development and access objectives of the
library
Found a few limitations
Expanded to full use of the profiling capabilities of YBP
Found it necessary and beneficial to address each level
of the profile
The subject review process
Review of certain publisher list rules
Review of series instructions
The process also served as a crash course for the library
on YBP’s profiling capabilities and vocabulary
15. The Review Process
Title by title review in GOBI
Viewed title notifications sent and titles shipped
Reviewed title detail in GOBI record
Kept running list of additional needs not met by main
profile
Subject liaison as central decision maker
Liaisons were in the hot seat but didn’t work alone
YBP role to explain profiling options and expected
outcomes
Additional tools
Excel : to view title information from GOBI in aggregate
Classweb, Local catalog, Google Sites
16. Reflections
It was a much more intensive process than most libraries choose
to employ
Worked well for LMU and the outcomes are informative for
libraries in general
It was beneficial for the library to consider the e-book policy and print
policy simultaneously
While academic output of e-books is somewhere above 40% of print
and growing, there are still titles for which there is only a print option
Library needs a policy in place for collecting preferences for e and p
Library must decide between the multiple e-book options
A comprehensive collection development program can and, in
this case, should include traditional print approval, e-preferred
approval and DDA
The process was very beneficial for YBP as it provided
opportunities to test out new approaches and new services
17. The Results
We now have a profile structure that includes several subject or
function specific plans:
A main books profile
An “essentials” profile to capture critical titles
A reference plan
A museum publications plan
A novels plan
Plans to support DDA
All of these plans are automatically de-duplicated but must be
manually coordinated
Long-standing undesirable parameters were repaired
Found new opportunities to contemporize receipts based on
new programs or other curricular developments
18. More Results
So far in fiscal year 2014, we have we have received
fewer books on approval than in either 2011 or 2012
Factors to keep in mind as we begin to fully analyze the
impact of our profile changes
At the end of both the 2011 and 2012 fiscal years, the
library had to place our approval accounts on hold
YBP continued to allocate materials to our approval plans
When the new fiscal year began we received backlogged
titles as well as current allocations
Some areas of our profile were restricted rather than
opened
It will take several months for us to fully know the impact
of our changes
19. Next Steps
Incorporate reviews of subject areas into the subject
librarians’ performance goals on staggered intervals
Employ the use of online conferencing, video chat or remote
desktop technologies to have dynamic and productive
meetings with YBP
Establish a routine method for assessing the impact of the
changes and ensuring quality control
Already created an assessment tool that asked the subject
liaisons to self-identify their skills, abilities and knowledge of
all of the concepts and tasks that underpin selection,
evaluation, and collection management
Recently created a new DDA profile from the revised print
profile
20. THANK YOU!
Charles Hillen – chillen@lmu.edu
Glenn Johnson-Grau – gjohnson@lmu.edu
Joan Thompson – jthompson@ybp.com
21. Sources
Nardini, B. (2011). Approval Plan and Patron
Selection: Two Infrastructures. In D.A. Swords
(Ed.), Patron-Driven Acquisitions: History and
Best Practices (23-44). Berlin: De Gruyter Saur.
Tyler, D.C. et al. (2012) Patron-Driven Acquisition
and Circulation at an Academic Library:
Interaction Effects and Circulation Performance
of Print Books Acquired via Librarians’ Orders,
Approval Plans, and Patrons’ Interlibrary Loan
Requests. Collection Management, 38(1), 3-32.
DOI:10.1080/01462679.2012.730494
Notas do Editor
After these experiences, we needed a reboot.
Troubleshooting discussions between the Head of Acquisitions & Serials and the Head of Collection DevelopmentPods were created to handle a range of collection development issues. For example, we had whole pod meetings just about standing orders: what they are, when to use them, how to make a request for an STO to the Acquisitions & Serials department.It was clear to us that the Pods could provide the structure through which we would address the plan to revise the approval plan. We ended up using the Pods as the training and group discussion forum for the individual work necessary for profile revision. Since Pods met monthly throughout the process, we set Pods agendas to prepare for upcoming profile work. We discussed the incentives for liaisons to spend time now in profile review to save time later in approval slip review. We also spent time on basics, such as our examination of the relationship between the classification system and the approval plan, which was clear for catalogers but less so for other librarians.
There is a major difference between tinkering around the edges and a complete review.LMU is a different place than it was even ten years ago.We had a language limitation that excluded Latin and Greek.
An approval plan is both a philosophical and an operational document. We are committed to transition from primarily print to primarily electronic for our monographs, just as we have done for serials.But, without severe space constraints and with room to let the budget evolve, we will work in an evolutionary manner.
CDM role includes creating, maintaining and revising approval plans. Normally entails a 1-2 day onsite meeting for the creation phase and occasional follow-up meetings and e-mail exchanges for regular maintenance Do not normally spend time on site on a regular basis with the library. Typically, we do not have the time to be so involved in the decision making process Instead, the time spent with libraries is usually focused on documenting decisions that have already been made, or at least consideredRefreshing to start on a process of reviewing a profile not with the goal of drastically reducing it or shutting it down to be replaced by DDA, rather to comprehensively make decisions about what should be collected
Knew it would be a more in depth profile review than most libraries normally undertakeKnew we were going to review a profile that had been written a number of years in the pastDid not know the extent to which we would end up breaking down the existing document and creating a new structureUsed various types of approval plans in response to content and format needsNeeded to coordinate the updates with the profile that provides DDA content coverageScope expanded to include additional needs discovered during the review process
YBP profiles are based on four areas of rules: series instructions, publisher list, and subject and non-subject parameters. There is interplay among most of these rules and there are various options for employing them, with the exception of series instructions. The result is that each set of rules could be arranged in multiple permutations. The role of the YBP collection development manager is to guide the library through the decision making process so that not every option need be examined. But when a library has very specific needs and interests, it can be rewarding to explore some of the less obvious choices.
Made use of the YBP database, GOBIViewed new title slips sent and titles shippedReviewed the actual titles and the number of titles by sub-classReviewed detailed bibliographic information for individual titles to better understand the output and how it was currently being mapped to LMU areas of study and researchThe subject specialists were responsible for determining what changes were needed in the profile instructionsLabor intensive and involved a number of participants in addition the library subject specialistYBP explained how the profile rules were applied in individual situations and what options existed for altering rules to bring about different outcomes
It was a much more intensive process than most libraries choose to employWorked well for LMU and the outcomes are informative for libraries in generalThe library found it useful to consider the e-book policy and print policy simultaneouslyWhile academic output of e-books is somewhere above 40% of print and growing, there are still titles for which there is only a print optionThe library needs to have a policy in place for collecting preferences for e and pThe library must decide between the multiple e-book options for the 40%+ that are available in both print and e. And when DDA is part of the equation, it must be remembered that not every e-book title is available for DDA, so that is a subset of the subset of print titles are available in electronic formatOnce the library has decided on the appropriate relationship between DDA and purchased titles, there are more considerations for DDA. All of these can be incorporated into a comprehensive collection development policy and LMU’s example shows the value of doing so (de-duplication along with comprehensive coverage of subjects of interest)
meaning that when rules are changed for one plan, the other plans need to be reviewed and possibly revised
From June 1-September 30, 2011, the library was invoiced by YBP for 2618 titles. In 2012, for the same months, we received 3368 titles, and in 2013 the number was only 2235.
Not all changes are worthy of assessment, such as deciding to exclude aerospace engineering titles at a liberal arts college. However, changes that will cause an increase in the number of notification slips and fewer books to be received automatically, or changes that restrict or relax the profile based on title pricing, publisher, content orientation (e.g., reference, textbook) need to be monitored in order to determine whether or not there are unintended consequencesThe assessment’s questions were created from the POD meeting agendas in order to ensure that the topics covered were formerly discussed and reviewed with everyone. The questions also forumlate a critical baseline of expertise that the library’s Dean expects of each subject liaison. The results of the assessment were relatively scattershot, making definitive conclusions all but impossible. Given that, we are considering an additional assessment of demonstrated skill, knowledge and ability, the results of which should permit us to make confident decisions about how to further develop the liaison program.