College and Research Libraries Special Collections: Strategies for Support in an .. Era of Limited Resources Rebecca R. Martin Special collections departments in academic libraries have been hit hard by the austerity mea­ sures of the last decade. With reduced budgets and the changing orientation of academic li­ braries, many special collections are having difficulty competing for resources with primary programs. This article examines the elements required to ensure the operation and use of spe­ cial collections within an austerity context in order to develop a rationale for their continued support. Strategies for support are discussed, including the establishment of a strong ration­ ale, the development of external sources for funding, and models for cooperative efforts. pedal collections departments in academic libraries have been hit hard by the austerity mea­ . sures of the last decade. In some libraries these collections operate with reduced budgets and staffing; others have remained static. 1 This decline is espe­ cially painful in view of the active collec­ tion development that took place during the financially flush 1960s. In many insti­ tutions the care of and access to fine collec­ tions of rare and important materials are becoming more difficult to provide. It is not surprising that special collec­ tions have fared poorly, because budget reductions are based upon curricular­ based programs, user analyses, and other library priorities. By definition special col­ lections serve a different purpose than do primary programs, and their justification and support cannot be based upon the principles used in austerity budgeting. 2 Materials budgets allocated by formula have not provided adequate support, es­ pecially since funding for off-the-top allo­ cations has dwindled or disappeared. Staffing levels have dropped severely as the competition with primary libr~ ser­ vices for scarce resources stiffens. 3 The changing orientation of academic li­ braries has also worked against the contin­ uing development of special collections. In his 1973 article on the plight of special collections in British libraries, A. D. Burnett cites negative attitudes toward older materials and a shift away from the repository function of libraries as major el­ ements in the decline of support. 4 Factors leading to this shift in emphasis that re­ main important for us include the explo­ sion of information and the application of new technologies in information han­ dling, the stress on current research publi­ cations, the need to maximize the use of resources, and gradual changes in organi­ zational patterns to facilitate wider dis­ semination of information, e.g., provision for open access, document delivery, user education, and current awareness. In the absence of validation for the repository function, purchases based on past collect­ ing patterns alone are difficult to justify. In order to develop a rationale for the continuing support of special collections within the context of limited resources available to academic libraries today, we must look at the elements required to en­ sure their operation and use, as well as the preservation of materials. Without ade­ quate provision for access and control, the Rebecca R. Martin is Assistant Director for User Services and Collection Development at San Jose State Univer­ sity, San Jose, California 95192-0028. 241 242 College & Research Libraries special collection will revert to the status of treasure room, with no basis for justifi­ cation or accountability. THE SPECIAL COLLECTION Definition The classic library definition for a special collection was put forth by William Ran­ dall and Francis Goodrich: An assemblage of materials in some field of knowledge which includes at least some of the rare and more unusual items and a greater pro­ portion of other titles bearing upon the subject. 5 The most important part of this definition is the orientation of the collection to a par­ ticular subject area. The special collection should be built systematically so that all works by a particular author or on a partic­ ular subject are available in one place. 6 Ideally, it is built around special subjects that reflect the goals of the university's major teaching and research programs. However, the focus is often determined by a major donation from an individual, estate, corporation, or governmental body with a specific s~t of interests. Special collections do not necessarily contain rare books and manuscripts. They may include many types of materials shar­ ing certain attributes or relationships to each other. As a result they may need to be housed together. The range of formats has been categorized loosely as rare books; theses and dissertations; manuscripts and archival materials; university archives; current publications of books; mono­ graphs and serials that reflect regional in­ terests and that might constitute the rare books of the future; fugitive materials or gray literature such as records of private firms, institutions, and societies; literary and personal papers; brochures, leaflets, broadsides, and posters; maps, music, mi­ croforms, and other nonbook materials. For the purpose of this article, special collections will refer to departments, cen­ ters, or collections that function as units within academic libraries. The rare book collections of major university and re­ search libraries are so large that they are li­ braries ip and of themselves. They are not special collections within libraries, but special libraries made up of many special collections. Although they share some of the characteristics of special collections, May1987 the size, scope, and complexities of their collections and programs affect the ques­ tion of resource support in ways that will . not be addressed in this article. Access Most writers agree that special collec­ tions should be working collections. Burnett puts this most eloquently: A collection cannot be preserved like a fossil but rather like an oryx: its conservation and its value require that it should remain alive. It is unreasonable to suppose that a collection can survive in any meaningful sense if it is not used. 8 Use is one of the most important elements in justifying the support of the special col­ lection, but it comes at a high cost to the library. A working collection connotes that pa­ trons are aware of its contents. This means catalogs, indexes, and publicity. The cata­ loging of nonstandard items often falls outside the parameters of copy cataloging and may require special expertise for ma­ terials such as rare books and manu­ scripts. Additional access points, greater attention to detail in imprint statements and notes, and the creation of local finding aids are costly elements, although they may be essential for the effective use of the collection. Inclusion in national biblio­ graphic databases or other forms of pub­ licity for holdings is critical if the collection is to receive appropriate attention beyond the university community on which it is housed. Adequate staffing is an essential ele­ ment in promoting use of any library, but the specialized and idiosyncratic nature of special collections makes the quality and quantity of staffing especially important. Highly trained professional staff are needed to assist and advise patrons in lo­ cating information within the collection and in interpreting the findings. If the col­ lection is known outside the university community, many inquiries will be re­ ceived by mail and telephone; the com­ plexity of such inquiries often requires hours of work to develop a single re­ sponse. Patrons using rare and fragile ma­ terials must be supervised. The closed­ stack arrangement used in most special collections necessitates paging services. Access hours must be sufficient for use by students and faculty during academic ses­ sions and by off-campus researchers dur­ ing intersession periods . Acquisitions A working collection must grow and de­ velop to remain viable. This requires a healthy acquisitions budget. It is neces­ sary to acquire newly published material, retrospective material to fill in gaps and desiderata, and rare material appearing in the public marketplace for the first time if the collection is to be dynamic rather than static. Reference tools and secondary works are also essential. These should be available in the main collection if duplica­ tion for the special collection cannot be justified. While decisions about the building of the general collection of a library can often . be handled by professional staff with lim­ ited knowledge of the specific subject mat­ ter, specialized collections demand greater expertise to identify, evaluate, and select potential gifts and purchases. Ex­ tensive background in the subject at hand and the availability of scholars with an in­ terest in the collection are also needed to determine the scholarly value of expen­ sive items. Well-established relationships with booksellers and collectors in the field often lead to provident additions. Accountability is an important issue when considering the potential purchase of an expensive item for the special collec­ tion. Some might argue that rare book and manuscript acquisitions funds are more effectively spent on current and possibly less-expensive material for use by more people. The justification of these acquisi­ tions should, therefore, include many of the factors addressed earlier. Careful thought should be given to whether the purchase will give an adequate return in research and educational value. 9 Ques­ tions such as relevance to the university, suitable access for researchers, the ability to catalog, and the provision of proper housing and security must be also consid­ ered. 10 Facilities If the special collection is to have a unique identity within the academic li- Special Collections 243 brary, it must be housed apart from the main collection. The requirements for pro­ tected housing, special shelving, and en­ vironmental controls usually lead to this. Adequate space for a separate, controlled reading room, closely supervised photo­ copying facilities, closed stacks, and staff work space should be provided. Security measures commensurate with the value of the collection must be pro­ vided if the investment in expensive mate­ rials is not to be lost or diminished. Insur­ ance coverage should be considered if the material is to be exhibited or made avail­ able outside the library. Attention to the preservation of materi­ als is imperative for collections of signifi­ cant value. Deterioration and destruction of rare materials through benign neglect is unforgivable. Conservation measures such as deacidification, encapsulation, and treatment of leather bindings are basic requirements. Environmental controls for heat and humidity and special fire­ prevention devices using halon or other nondamaging substances are essential. Organization The place of special collections within the organizational structure of the aca­ demic library varies. Centralization into one special collections department is de­ sirable to conserve resources. This can, however, result in the gathering of several small, unrelated collections into a single unit. The identity of a research collection or center devoted to a specific subject or author can be an asset in publicity and fund-raising. This structure is appropriate when the special collection or center con­ tains a research component and scholars from outside the library are involved in overseeing the collection and its use. STRATEGIES FOR SUPPORT Rationale The special collection can make a signifi­ cant contribution to the university, espe­ cially if the ties to the goals of the institu­ tion are strong. Formal connections to curricular and research programs can serve to place the needs of the special col­ lection within the priorities of the library and the campus in matters of resource al­ location. Special collections have an im­ 244 College & Research Libraries portant role to play in promoting scholar­ ship and research, and the image of the collection as a source for faculty develop­ ment and a means to attract new faculty should be advanced. A survey conducted by the Association of Research Libraries showed that special collections depart­ ments in research libraries across the country are being asked to focus attention on materials related to present or ant;:i­ pated university program needs. 11 A major research collection can bring a significant increase in image and visibility to the ir:dtitution. This is persuasively stated in Great Britain's Parry Report: The strength of every university lies in its ability to achieve a just evaluation of mankind's past attainments. Nothing brings such attainments so vividly to mind, or forges such a purposeful link with the greatest figures of the past centu­ ries, as a collection of the books which they themselves handled and read, or the letters and other papers which they actually wrote. 12 The presence of a unique and well­ developed collection on a small or medium-sized campus can, with proper use and publicity, serve to bring the schol­ arly community's attention to the univer­ sity. In many cases, special collections are treated like family jewels and become a source of campus pride. Once established, the sped~ collection can form the focus for research symposia, publications, and fund-raising drives. Visiting scholars drawn to use the collection can enrich the academic program through lectures, workshops, and other programs. How­ ever, this recognition is not automatic; it is the responsibility of the library to develop and use these arguments with the univer­ sity's administrators, campus support or­ ganizations, and goverilUlents. Once a special collection is established and its value recognized, responsibilities to the wider academic community for maintenance and growth should not !"e overlooked. Implicit in its development are obligations by the institution to the re­ searchers who rely upon this resource. Formal and informal resource sharing agreements with other libraries should be considered. Accountability to the public for past investments in the collection in­ cludes providing for its continued use and growth. Lastly, the moral obligation tofu- May 1987 ture scholarship is worthy of attention. 13 Resources If special collections are to survive, they cannot continue to compete for the major­ ity of their funding with the primary pro­ grams and services of the academic li­ brary. Even with close ties to the instructional program, the dual impact of inflation and cutbacks on library budgets makes special collections a low priority if basic operations are struggling with lim­ ited resources. In a 1981 survey the Asso­ ciation of Research Libraries found that li­ brary budgets had nearly doubled in the previous decade, but that collection growth in volumes had decreased by more than 20 percent. Additionally, the report attributed this increase to three types of fi­ nancial pressure: (a) inflation in the cost of published material, especially from other countries; (b) rapid growth of information, requiring libraries to ac­ quire a larger number of more expensive mate­ rials; and (c) increased demand from faculty members and ~tudents for more material and more professional assistance. 14 Coupled with the reality that libraries have been more liable than other areas to feel the general financial constraint affect­ ing universities in the last decade, the di­ lemma facing academic libraries becomes clearer. 15 External sourcE • of funding must be found in order for the special collection to flourish. Such funding usually cannot provide full support indefinitely, but it can go a long way toward supplementing the limited recurring support available from the institution. However, a commit­ ment and an investment of staff time must be made by the library if these funding sources are to be found and developed. A good collection has the potential to at­ tract donations and bequests from scholars and other benefactors who see the library as an ideal home for their trea­ sured collections. The development of a gift program that goes beyond the accep­ tance of serendipitous donations requires long-range, organized commitment and effort to succeed, but the resulting gifts can be substantial. 16 Ideally, the donation of materials should not be seriously con­ sidered unless there are accompanying 1 funds for storing, cataloging, and preserv­ ing. When these funds are not available, as is too often the case, the library's ability to provide for the future of the materials should be weighed against their potential scholarly worth. Funding through grants from public and private sources has been particularly successful for aggressive special collec­ tions librarians. The federal government, through such programs as the National Endowment for the Humanities and Title IIC, has provided a significant amount of support to existing collections for their cat­ aloging and preservation. Foundations have also been involved in this area. Peter Spyers-Duran prepared a list of selected foundations that contributed to academic libraries in 1981, and special collections were the second largest target for funding. Library construction was first. 17 Local g<;>v­ ernment agencies and foundations should also be tapped, especially for collections with a regional or archival focus. Fund-raising efforts at both the library and campus levels can effectively use the special collection as a focal point for pub­ licity and targeted donations. It is the role of the library to bring special collections to the attention of campus development of­ fices and to create a place for special collec­ tions in large campuswide fund-raising ef­ forts. Building special collections is one of the major activities of Friends groups in academic libraries .18 These groups can also be actively involved in large campaigns. Alternatives With the high costs of developing and operating a special collection, the issues of cooperation and coordination must be ex­ amined as possible strategies for contin­ ued support. It may no longer be possible to maintain cherished collections in every academic institution, but pooling re­ sources may allow for their continued availability to researchers in a region or subject area. The balance between what is essential to each library and what re­ sources can be and should be pooled is dif­ ficult to attain. Its attainment is compli­ cated by many political and technical problems. 19 Nevertheless, several differ­ ent models for cooperation exist. Formal, shared collection-development Special Collections 245 activities form the basis among large li­ braries for cooperative efforts in special­ ized areas. The Research Libraries Group and the Association for Research Libraries support programs to identify collection strengths and weaknesses from which pri­ mary collection responsibility may emerge. In England and Scotland, as well as in several regions of the United States, universities have joined together in coop­ erative acquisitions programs to purchase expensive, specialized material. These programs are most successful when auto­ mated cataloging is in place and money is set aside in advance. 20 Cooperative programs may also be de­ veloped on a smaller scale, and many in­ formal agreements exist between libraries to share and build collections in special­ ized areas. Instances of the actual transfer of materials in an effort to pool resources are more unusual, but they do exist. The Owens Collection of ten thousand jazz re­ cordings that was transferred by the Uni­ versity of Wisconsin-Madison to the Insti­ tute of Jazz Studies at Rutgers Is an example of the "permanent loan" of ma­ terials to a geographically distant library that offers better support for the collec­ tion. 21 An example of a regional effort is the consolidation of several theological seminary libraries into a new Graduate Theological Union Library as part of the joining of academic programs. In both cases, the institutions have put their local pride of ownership behind their commit­ ment to the needs of scholars in general. CONCLUSIONS In considering these issues in the con­ text of today' s fiscal climate, we must ask, Can we afford to continue to support spe­ cial collections? The days when we could fund them comfortably within basic insti­ tutional allocations are gone and unlikely to return. Given budget realities and the combined pressures of new technology, it is no longer possible to justify support for special collections with funds intended for primary programs. However, with adequate support the special collection can play an important role in helping the parent library to meet the short-term goals of the university and in making significant contributions tofu­ j 246 College & Research Libraries ture scholarship and research. This role, the past investment of university re­ sources, the obligation to a body of re­ searchers, and the responsibility to future scholars also lead us to ask, Can we afford to abandon special collections? Libraries must take a strong stance if special collections are to survive. Support must be sufficient to cover staffing, acqui­ sitions, cataloging, space, and preserva­ tion, or the resources will be wasted. Spe­ cial collections must become a priority for the library and the university, and the li­ brary must take the lead in establishing this as a priority. The current plight of spe­ cial collections in many academic libraries is as much the result of library passivity as May 1987 of university neglect. Aggressive fund­ raising activities, publicity and political lobbying both on and off campus are nec­ essary to develop both the needed re­ sources and the increased status for the special collection. Cooperative relation­ ships with other institutions should be se­ riously considered if the investment of j staff time necessary to develop funding sources is not possible. The wealth of material housed in special collections is enormous. We owe it to the research communities of today and tomor­ row to continue efforts toward the full de­ velopment, accessibility, and preserva­ tion of these unique resources. REFERENCES 1. Special Collections in ARL Libraries, SPEC Kit 57 (Washington, D.C.: Assn. of Reseasrch Libraries, Office of Management Studies, 1979). 2. Gerald B. McCabe, "Austerity Budget Management," in Austerity Management in Academic Li­ braries, ed. John F. Harvey and Peter Spyers-Duran (Metuchen, N.J.: Scarecrow, 1984), p .225-35. 3. Special Collections, p.3. 4. A. D. Burnett, "Considerations on the Support of Antiquarian and Other Special Collections in University Libraries," Journal of Librarianship 5:203-13 Guly 1973). 5. William M. Randall and Francis L. D. Goodrich, Principles of College Library Administration (Chi­ cago: American Library Assn., 1941}, p.195. 6. Richard G. Landon, "The Concept of Special Collections," AB Bookman's Weekly 68:1203-8 (Aug. 31, 1981). 7. J. Gakobo, ''The Role of the Special Collection in the Academic Library,'' International Library Re­ search 17:405-18 (Oct. 1985). 8. Burnett, "Considerations," p.208. 9. Gakobo, "Role of the Special Collection," p.408. 10. Thomas W. Leonhardt, "The Place of Special Collections in the Acquisitions Budget," Library Ac­ quisitions: Practice and Theory 6:19-23 (1982) . 11. Special Collections, p.3. 12. T. Parry, University Grants Committee, "Report of the Committee on Libraries," (London: HMSO, 1967), as cited in Gakobo, "Role of the Special Collection," p.409. 13. Leonhardt, "Place of Special Collections," p.23. 14. As reported by Jack Magarrell in "Libraries Need Risk Capital to Solve Financial Problems," Chronicle of Higher Education 23:20 (Nov . 18, 1981). 15. F. G. Stambrook, "Changing Climate of Opinion about University Libraries," Canadian Librarif Journal40:273-76 (Oct. 1983). 16. Evert Volkersz, "Gift Development Realities in Academic Libraries," in Academic Libraries: Myths and Realities (Chicago: Assn. of College and Research Libraries, 1984), p.290-92. 17. Peter Spyers-Duran, "Revitalization of Academic Library Programs through Creative Fund­ raising,'' in Austerity Management in Academic Libraries, ed. John F. Harvey and Peter Spyers-Duran (Metuchen, N.J.: Scarecrow, 1984}, p.105-8. 18. Paul H. Mosher, "Friends Groups and Academic Libraries," in Organizing the Library's Support: Donors, Volunteers, Friends, ed. D. W. Krummel (Urbana: University of illinois, 1980), p.69-75. 19. Stambrook, "Changing Climate," p.276. 20. Brenda E. Moon, "The Development of Special Collections: Problems in Constructing Net­ works,'' in Papers Presented at the Annual Meeting of the International Federation of Library Associations, Montreal, Canada, August 22-28, 1982. (ERIC Document Reproduction Service, ED 229 042), p.43-52. 1