College and Research Libraries B y N A T H A N V A N P A T T E N Buying Policies of College and University Libraries Dr. van Patten is director of libraries, Stanford University. UN L E S S a library has a well-formulated buying policy its development is likely to proceed along lines determined by the demands which are made upon it from day to day. T h e results of such a practice are rarely good. N o two college or university libraries are enough alike to make it possible to establish a policy which would apply equally to all such libraries. Only the factors which underlie the setting up of a buying policy in a college or university library are considered in this paper. These factors have to do with what and where to buy. T h e views^ expressed are the writer's own and they are submitted for such criti- cal consideration as they may deserve. N o use has been made of a questionnaire. Data collected by such means have little value. T h e result is usually a statistical statement which sets forth how many li- braries do a specific thing one way and how many do it in another. There cer- tainly is no reason for assuming that the practice of the majority is right. T h e best practice may not even be suggested by the answers to a questionnaire. T h e conclusions reached here are the result of twenty-one years of experience in the buying of books and periodicals for college and university libraries and eight years of experience in wholesale and retail bookselling. T h e practices recommended are not necessarily those of the libraries with which the writer has been connected. State and municipal institutions are usually required to conform to procedures established by statutes or administrative orders. It is obvious that such restric- tions largely determine how and where books and periodicals shall be bought and may to a certain extent determine what is to be bought. There are too many colleges and uni- versities in the United States. T h e tend- ency is to increase rather than to decrease the number of such institutions. T h i s is apparent in the wide-spread development during recent years of junior colleges and the establishment of additional state and municipal agencies for higher education. T h e increasing number of state and mu- nicipal agencies for higher education is largely due to the widely held opinion that young men and women have a right to re- ceive a higher education at public expense. If such an opportunity were provided only for the superior student no one could well take exception to it. T h e availability of state and municipal institutions to almost every young person who has been able to complete a high school course, the social prestige believed to accompany the pos- session of an academic degree, and the unhappy idea that a college education in- creases the earning capacity of the indi- 64 COLLEGE AND RESEARCH LIBRARIES vidual have resulted in a flood of students which the taxpayer finds it increasingly difficult to finance, the teaching profession to educate, and the economic life of the country to absorb. A college or university may expand its teaching and research activities only to find that it possesses neither the labora- tory nor library resources necessary to the successful carrying out of its new pro- gram. In many fields an adequate library is the sine qua non for good teaching and research. If such a library does not exist at a particular institution it should either limit its work or face the fact that each expansion of the teaching or research ac- tivity must be accompanied by a corre- sponding and expensive expansion of li- brary resources. T h e world's literature is now so large that no single library can have more than a small part of it. Small College Collections T h e library of a small college should be limited to a well-selected reference col- lection, standard works of literature, and the essential books and periodicals for its teaching program. T h e activities of a small college should not be expanded with the idea that its library deficiencies may be made up by depending upon the re- sources of other institutions. T h e legitimate interlibrary loan is based upon a recognition that there must be a pooling of resources. It never should take the character of a relationship between host and parasite. T h e larger college or university library, within the limits of its budget, must go beyond the boundaries set by the teaching and research activities of the supporting institution. Such a library may be ex- pected to become a great storehouse for the accumulated knowledge of the past. There is no other agency, aside from a few en- dowed libraries not connected with edu- cational institutions and the great public libraries, which can be expected to meet this responsibility. T h e budget of a large college or uni- versity library should provide funds f o r : 1 . T h e purchase of material needed in connection with the institution's current teaching program. T h i s item in the budget should, as a matter of equity, bear some relationship to the income derived from tuition charges. There will be rela- tively little increase in the permanent resources of a library from such expendi- tures. 2. T h e purchase of material needed in connection with the work of the institu- tion's research agencies and the individual studies of members of the staff. T h i s item should largely represent income derived from grants made by the learned founda- tions and from general endowments. 3. T h e purchase of material needed to strengthen the resources of the library without specific reference to the institu- tion's current teaching and research ac- tivities. T h i s item should represent income from special library endowments, gifts, and a share of the institution's gen- eral income. 4. T h e purchase of current literature for general cultural reading, the extracurricu- lar activities of students, and amusement. This item should represent income from a library fee collected for this purpose. T h e selection of material for current teaching must obviously be carried out in close cooperation with the teaching staff. Determining factors include the nature of the subject, the extent of the literature, the method of teaching, and the number of students enrolled for a particular course. DECEMBER, 1939 65 T h e selection of material needed in con- nection with research must largely rest with the individuals who are to make use of it. T h e selection of current literature for general cultural reading and amusement should rest with the individuals who pro- vide funds for such purchases. Some anticipation of the demand for popular literature will be generally appreciated. T h e librarian and his associates are par- ticularly concerned with the purchase of material needed to strengthen the resources of the library without regard to an insti- tution's current teaching and research ac- tivities. Status of Librarian a Factor T h e status of the librarian is of funda- mental importance in the development of a college or university library. He should not be looked upon merely as an admin- istrative officer. When the librarian has the status of a full professor with all of the accompanying rights and privileges he is placed in a position which makes it possible for him to do creative work. A s the aca- demic equal of the professors who are engaged in teaching and research the li- brarian should be ex officio a member of those committees which are concerned with the curriculum, graduate study, research, and publications. Such an arrangement permits him to anticipate the library needs of the teaching and research departments and to present the library aspects of pro- posed changes in and expansions of the teaching and research programs. T h e li- brarian should be freed from the burden of trying to provide, from a static budget, facilities for the carrying out of new teach- ing and research programs in the estab- lishment of which he has not had a consultative part. In most college and university libraries the book fund is divided among the vari- ous teaching departments. T h e basis for the division probably remains a mystery to those concerned. These departmental allotments tend to become static. It is ex- tremely difficult to convince any depart- ment that its allotment should be reduced and unless new funds become available it is equally difficult to increase the allot- ment of a department which has increased needs since this must be done at the ex- pense of other departments. It is a much more satisfactory arrangement to have a single book fund from which all purchases are made and to place the responsibility for the control of this general fund in the hands of the librarian. T h i s prevents waste and makes it possible to meet the varying requirements of the departments without the necessity of frequent and irri- tating changes in the size of allotments. Such changes are often made without an adequate study of the basis for the increase or decrease. A large college or university library should provide the materials needed for teaching and research. T h i s is not enough to make it a truly great library. A s a center for the cultural life of the academic community its resources should be devel- oped so that it has well-selected collections relating to all of the subjects which are of interest to educated men and women. It must also be recognized that scholars are concerned with library resources rather than with the resources of a single library. T h i s implies an obligation to strengthen its collections so that its resources supplement those of other libraries. Rare Books There is a difference of opinion as to whether or not libraries should acquire 6 6 COLLEGE AND RESEARCH LIBRARIES rare books in competition with private book collectors. T h e small library cannot do this to any extent while the larger library without access to special funds pro- vided for the purpose probably should not. If a book is both a rare book and an essential book then the library should acquire it if it can afford to do so. Many rare books reach libraries as gifts. T h e library cannot control the character of such acquisitions except to a limited degree. It is a slow process to build up a notable collection in any special field by waiting for the gift of rare items in that field. Only the largest libraries can afford to purchase items of museum value from current income. An effort should be made to establish contact with individuals who are enough interested in the library to pro- vide funds for extraordinary acquisitions which the librarian desires to make. Maps and Prints Manuscripts may be the finest type of material for research in certain fields. In the purchase of manuscripts preference should be given to the acquisition of un- published material which may otherwise be lost to scholars. Very few college or university libraries are justified in the extensive acquisition of maps and prints. Unless such material meets a definite need acquisitions in these fields should be limited to items of imme- diate use to the reference department. Scholars have access to highly developed collections of maps and prints in large general libraries and in the libraries of museums and societies. There is no place in the American li- brary world for a competitive spirit ex- cept as this may be directed toward an excellence of administration and resources. If one library has a complete file of an important journal or a copy of some rare book the acquisition of a second file or copy is seldom justifiable for a library in the same area. T h e expense involved in the purchase of the duplicate might better be incurred in the purchase of material not already available. T h i s principle is widely recognized. It cannot be consist- ently practiced until there are more re- gional union catalogs and a closer degree of cooperation among individual libraries. Current Books T h e sole purpose of modern advertising is to sell. T h i s purpose is carried out with great skill and every advantage is taken of the potential buyer by extrava- gant claims as to the merits of the mer- chandise offered. T h i s is as true of books and periodicals as it is of automobiles and cigarettes. There is a tendency shared by librarians and members of the teaching and research staffs to buy current books to an extent which leaves little or nothing for the purchase of older works. It would probably be wise in many fields to limit the amount to be spent for current books to approximately 25 per cent of the funds available. T h i s would make it necessary to exercise more careful judgment in the selection of titles for purchase. Libraries should systematically survey their holdings and establish desiderata lists representing lacunae to be filled. T h i s can be done to a greater extent each year with the help of authoritative bibliogra- phies. Libraries are not ipso facto entitled to a discount upon their purchases. T h e library discount represents a trade practice based upon a recognition of the importance to publishers and booksellers of the large purchasing power of libraries and the fact that on library sales there is little or no DECEMBER, 1939 67 loss due either to poor credit or slow pay- ment. A library discount of from 1 0 per cent to 20 per cent increases the purchasing power of a library to the same extent. A librarian should not seek to obtain exces- sive discounts. Such discounts are ordi- narily obtained at the expense of other libraries and may be given unwillingly by the publisher or bookseller solely to retain an account. Librarians have been unwilling to recog- nize that the library may be detrimental to the welfare of publishers and authors. M a n y Americans have come to look upon books as something which should be pro- vided at public expense. In this there has been an anticipation of a prevalent opinion now held by many worthy individuals that everything should be supplied at public expense. T h e library copy of a current book fre- quently is read by fifty or more potential buyers. A s a matter of equity libraries might be charged a larger price than the private buyer. T h i s is of course im- practicable. T h e principle has been recognized, however, in the sale of biblio- graphical works to libraries upon a service basis which is supposed to result in each library paying for its copy of a particular work a price determined by the probable use of that work. A few journals are also supplied to li- braries at a higher subscription price than the one charged individual subscribers. Libraries obtain most of their acquisi- tions through one or more of the following sources: retail booksellers, publishers, wholesale booksellers, antiquarian book- sellers, and subscription agencies. Some of the advantages and disadvan- tages peculiar to each of these sources are summarized in the following paragraphs. Retail Booksellers Although the ability of local booksellers to serve the libraries of their communities differs widely, in general, retail booksellers are not a satisfactory library source for books and periodicals. T h e local bookseller certainly should be given an opportunity to supply books which he has in stock and is willing to sell upon terms as favorable as those available elsewhere. T h e bookseller is a community asset and should be given every possible encouragement and support. T h e greater part of the books purchased by a large college or university library, however, is not likely to be carried in stock by local booksellers. T h e proper conduct of a bookselling enterprise which supplies li- braries requires adequate capital and ex- tensive experience. T h e librarian should be cautious in placing orders with a bookseller who of- fers a discount larger than the one preva- lent in the trade. When a discount of 25 per cent or more is offered the gross profit is usually not sufficient to meet ex- penses and the accumulated deficit will finally result in the failure of the book- seller and serious losses to the publishers who have been supplying their publications to libraries through his agency. Publishers T h e publisher may offer a larger dis- count than the wholesale or retail book- seller. If a publisher gives a 40 per cent discount to the bookseller and sells to libraries at a 25 per cent discount he obviously makes a better immediate profit when he sells directly to the latter. If a publisher wishes to enter into competition with the bookseller in the sale of his books it is probably no concern of the librarian. 68 COLLEGE AND RESEARCH LIBRARIES T h e publisher cannot expect that the bookseller will show much enthusiasm in either stocking or selling his books under such circumstances. T h i s is in the long run disadvantageous to many libraries. T h e increased discount upon purchases made from the publisher may be more ap- parent than real. Banks have recently made careful studies of the cost of han- dling a single check or deposit. It has been found that each transaction costs from ten to twenty-five cents. It is un- likely that the cost of issuing a requisition, handling an invoice, or making a remit- tance can be much less. It is much more in the libraries with whose costs I am familiar. In certain areas it is greatly to the ad- vantage of libraries to have access to com- plete stocks at the local branches of eastern publishing houses. A few publishers do maintain stocks on the Pacific coast. Their enterprise should be rewarded by the patronage of western libraries. T h i s is particularly desirable since there are no large general stocks of books upon the shelves of wholesalers specializing in li- brary business in this area. Some libraries place all of their orders for current books with publishers and then expect wholesale booksellers to handle for them the purchase of government docu- ments, society publications, and textbooks, upon which little or no profit can be made. Only a few of the larger libraries are able to carry on transactions with foreign publishers satisfactorily. T h i s is less true of England and Germany than of Latin America, Asia, or the minor European states. Much time is lost in placing orders with a foreign publisher if instead of the books a request is received to make pay- ment in advance or shipments are tied up in the customs. Publishers in the more out-of-the-way parts of the world know little about the financial responsibility of American insti- tutions. Requisitions in an unfamiliar language are frequently misinterpreted, re- sulting in costly errors. Transportation charges on one or a few items are rela- tively high. Customs formalities are an- noying. Remittances are difficult to make. Libraries carrying on business directly with publishers in certain countries, e.g., Russia and Brazil, have probably been un- able to get their accounts in balance for years. Every remittance made in terms of American currency has been either too large or too small when exchanged into its foreign equivalent. Wholesale Booksellers There are a number of wholesale book- sellers in the United States and abroad who make a specialty of handling library business. Only the larger libraries can maintain order departments equal in equip- ment and efficiency to the facilities pro- vided by these firms. These wholesale booksellers are un- doubtedly the best sources for books avail- able to college and university libraries large and small. T h e relationship between the library and the wholesale bookseller should take on the character of a principal and agent relationship. If the wholesale bookseller gets a major part of a library's profitable business in current trade publications he is usually quite willing to handle orders for material upon which he makes little or no profit. T h e wholesale bookseller is also prepared to care for continuations, to search for out-of-print items, pay society memberships, purchase government docu- ments, and perform many other valuable services for a good customer. DECEMBER, 1939 69 There is a substantial saving in con- centrating a library's purchases with one agency. Requisitions cover a hundred or more items instead of one or two. In- voices likewise are correspondingly less in number. A single remittance made monthly takes care of many invoices. Ad- justments are more readily made. Antiquarian Booksellers It is advantageous for a college or uni- versity library to receive the catalogs is- sued by antiquarian booksellers. If a particular antiquarian bookseller shows an intelligent interest in his offers of desirable items and his catalogs are of permanent value the library should deal directly with him. Scattered items from the catalogs of other dealers should be placed with the library's regular agent who usually can supply much material at the same price since he obtains a small discount on his purchases from these dealers. Subscription Agencies There is likely to be little difference of opinion among librarians as to the desir- ability of handling all subscriptions D i s c u s s i o n Thomas P. Fleming, librarian, Medical Library, Columbia University, commented on Dr. van Patten s paper: D R . VAN P A T T E N has presented a paper which admirably stresses the fundamentals of a sound buying policy, and I agree with him wholeheartedly. I shall not take the time to reiterate what he has said, even though I should like to do so for addi- tional emphasis. There are, however, a few points mentioned with which I per- sonally disagree. through the agencies which specialize in library business. One experience with any other source of supply is usually enough to convince even the most venturesome. In recent years a number of colleges and universities have made most of their purchases through college or university bookstores. When these campus book- stores have been long established and the library business represents only a small part of their total business the arrange- ment may be a legitimate one. When a dummy bookselling enterprise is estab- lished for the purpose of obtaining exces- sive discounts the arrangement is certainly open to question upon ethical grounds. Publishers would be entirely justified in refusing to sell to such organizations. A library may be entitled to the prevalent library discount. It is not entitled to a wholesale discount obtained by subterfuge. T h e development of any library is in large part the result of a well-formulated policy with regard to what is acquired. M a n y more books may be bought from available funds if there is an equally well- formulated policy with regard to the chan- nels of acquisition. In regard to the matter of allotments to departments, there is something to be said on the other side. T h e previous paper proposes that there be a single book fund under the control of the librarian, in place of departmental allotments. T h i s pro- posal may work well in some institutions, but in others it will certainly cause un- necessary bickering and hard feelings. I have been associated with two universities where such a scheme was in operation. In one, it resulted in dissatisfaction, for some departments tried to spend all the money, and it was necessary to curtail their zeal- 70 COLLEGE AND RESEARCH LIBRARIES ous activities. In the other university, the situation has been harmonious. The difference in the two universities exists not because of the librarian, but because in the first university, the faculty consistently refused to conform. Where conditions seem to indicate that Dr. van Patten's pro- posal would not be altogether satisfactory, I suggest the following alternate proposal. A third university with which I had ex- perience provided for allotments to each department plus a large sum at the disposal of the librarian. This he used to supple- ment the funds of those departments faced with a genuine need. When it was felt that a department was overstepping its logical demands, the allotment was a good excuse to fall back on. Dr. van Patten lays down sound prin- ciples with reference to the acquisition of rare books. In connection with this, I should like to propose that some association compile a list of reprints and facsimiles of rare books. Such a list would be an ex- cellent guide to the acquisition of these items by some of the smaller institutions. Dr. van Patten stresses two factors underlying a buying policy, namely, what to buy, and where to buy. T o my mind, there is a third factor equally important, which is how to buy. The paper does touch upon this factor in many instances, but I realize that to have covered the sub- ject adequately would have taken more time than that which was allotted. I should like, however, to differ with Dr. van Patten on one point, and to stress further the importance of how to buy as an integral factor in buying policies. The paper criticizes the practice of li- braries in securing excessive discounts. Yet there is another side of the picture. I am sure you all recall the article, " I Can Get It for You Wholesale." So long as the practice is universal, we are not ad- ministering our libraries from a sound business point of view if we do not secure as large a discount as possible from rep- utable dealers. Securing a justifiable discount is not accomplished by merely asking for it. On the other hand, it requires careful super- vision of the placement of orders, and par- ticularly, how they are placed. Some booksellers will tell you that to handle the orders of X University costs them three times as much in clerical help as it does to handle the orders from Y Uni- versity. Obviously X does not get as good a discount as Y . Every large library has on its shelves the national and trade bibli- ographies of importance. Yet the orders emanating from many of these libraries would lead one to believe that such tools were unknown. Some libraries consistently ignore the advantages to be gained in holding mem- berships in certain societies, and still more libraries fail to take advantage of their memberships when they have them. For example, most societies issue books and monographs, or finance their publications by private publishers in addition to the is- suance of their own journals, bulletins, proceedings, or transactions. These books and monographs, which they issue or fi- nance, are available to members at a''dis- count far in excess of normal library discounts. Libraries ordering these pub- lications from jobbers generally fail to stipulate that they are members of a par- ticular society, and thereby fail to receive the additional discount. Dr. van Patten put it mildly when he pointed out that "many more books may be bought from available funds if there is a . . . well-formulated policy with regard to the channels of acquisition." DECEMBER, 1939 71