University Libraries and Scholarly Communication: A Study Prepared for the Andrew W. Mellon ...

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DOCUMENT RECUME
ED 371 758
IR 055 082
AUTHOR
Cummings, Anthony M.; And Others
TITLE
University Libraries and Scholarly Communication: A
Study Prepared for the Andrew W. Mellon
Foundation.
INSTITUTION
Andrew W. Mellon Foundation, New York, N.Y.;
Association of Research Libraries, Washington,
D.C.
REPORT NO
ISBN-9-918006-22-8
PUB DATE
Nov 92
NOTE
238p.
AVAILABLE FROM
Association of Research Libraries, Publications
Departmcnt, 21 Dupont Circle, N.W., Washington, DC
20036.
PUB TYPE
Reports
Research/Technical (143)
Tests/Evaluation Instruments (160)
EDRS PRICE
MF01/PC10 Plus Postage.
DESCRIPTORS
*Academic Libraries; Change; Electronic Publishing;
Futures (of Society); Higher Education; *Information
Technology; Library AuLomation; Library Collection
Development; *Library Collections; *Library
Expenditures; Library Personnel; *Library Role;
Library Statistics; Questionnaires; *Research
Libraries; Technological Advancement
Printed Materials; *Scholarly Communication
IDENTIFIERS
ABSTRACT
The purpose of this study is to investigate the role
of the research library in scholarly communicatinn. Two main issues
(1) the explosion of printed materials coupled with a
are addressed:
rapid increase in the price of these materials that jeopardizes the
library's ability to create and maintain collections for users; and
(2) the emergence of electronic information technologies that make it
possible to envision new methoas of organizing services and
collections. This document collects statistical data and information
on changes facing research libraries. The Association of Research
Libraries (ARL) database of library statistics is the main source of
information. Part I examines trends in the size of collections; rates
of acquisition; levels and categories of expenditures; publications
of monographs and serials; and prices of these publications. Some of
the findings from this section are: research libraries' percentage of
the university budget has shrunk; serial prices have continued to
rise creating difficulties; and salaries have declined while other
operating expenditures have risen. Part II deals with information
needs and new technologies and how they will affect scholarly
communication. The ARL Statistics Questionnaire is included in the
appendix. (Contains 100 references.) (JLB)
***********************************************************************
Reproductions supplied by EDRS are the best that can be made
from the original document.
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U.S. DEPARTMENT OF EDUCATION
Office 04 Edocaboral Ramarch and Improvement
EDUCATIONAL RESOURCES INFORMATION
CENTER (ERIC)
0 This documant has been reCiroduced a*
repaivad from thu parson or orEanizatton
originating d
0 Minor chanpas Nom Olen made to timptove
reproduction Clu Silty
Points of view or opt mons statad in this docu-
meat do not neCeeeardy rpresent official
OERI Positton or policy
UNIVERSITY LIBRARIES AND
SCHOLARLY COMMUNICATION
A Study Prepared for The Andrew W. Mellon Foundation
by Anthony M. Cummings, Marcia L. Witte,
William G. Bowen, Laura 0. Lazarus,
and Richard H. Ekman
'PERMISSION TO REPRODUCE THIS
MATERIAL HAS BEEN GRANTED BY
C.A. Mandel
3
PEST COPY AVAILABLE
TO THE EDUCATIONAL RESOURCES
INFORMATION CENTER (ERIC)
II
University Libraries and
Scholarly Communication
A Study Prepared for
The Andrew W. Mellon Foundation
by
Anthony M. Cummings, Marcia L. Witte,
William G. Bowen, Laura 0. Lazarus,
and Richard H. Ekman
Published by The Association of Research Libraries
for The Andrew W. Mellon Foundation
November 1992
Copyright © 1992 by The Andrew W. Mellon Foundation
Library of Congress Cataloging-in-Publication Data
prepared for
University libraries and scholarly communication: study
Cummings ... (et al.(
the Andrew W. Mellon Foundation / by Anthony M.
p. cm.
"November 1992."
Includes bibliographical references.
ISBN 9-918006-22-8
States.
1. Academic librariesCollection developmentUnited
Anthony M.
2. Scholarly publishingUnited States. I. Cummings,
II. Andrew W. Mellon Foundation.
Z675.U5U5477 1992
92-44941
025.2'1877'0973dc20
CIP
-
minimum requirements of the American
0 The
paper used in this publication meets the
of Paper for Printed Library Materials,
National Standard for Information SciencesPermanence
ANSI Z19.48-1984
0
Contents
../
List of Figures and Tables
Foreword
William G. Bowen
ix
Ann Okerson
Synopsis
xv
CHAPTER ONE
Introduction
1
Historical Trends: Collections, Expenditures,
PART 1:
Publications
Two
CHAPTER
Growth of Library Collections
11
CHAPTER THREE
Growth of Library Expenditures
23
FOUR
CHAPTER
Components of Library Expenditures
41
CHAPTER FIVE
Book and Serial Production
59
CHAPTER SIX
Book and Serial Pricing
83
PART 2: Information Needs and New Technologies
CHAPTER SEVEN
Information as a Commodity
103
CHAPTER EIGHT
Bibliographic Information in Electronic Form
113
CHAPTER NINE
Electronic Publishing
123
CHAPTER TEN
Resource Sharing: Collection Development and Document Delivery
141
CHAPTER ELEVEN
Economic and Legal Issues
149
III
4
Contents
iv
CHAPTER TwELVE
Networks and the National Telecommunications Infrastructure
161
167
Re,ferences Cited
APPENDICES
APPENDIX A
Data Categories and Definitions
175
ARL Data Categories
176
HEGIS/IPEDS Data Categories and Definitions
177
ARL Statistics Questionnaire, 1990-91
APPENDIX B
189
Appendix Tables
203
Glossany
6
,
List of Figures and Tables
FIGURES
Number of volumes held, Private 1 and Public 1 composites, 1912-91.
2.1
Volumes added gross, Research 1 composite, 1912-91.
2.2
Number of volumes added gross vs. number of Ph.D.s awarded, 1958-88.
2.3
Volumes added gross, by type of institution, 1912-91.
2.4
Volumes added gross, by year of ARL membership, 1912-91.
2.5
Volumes added gross, by size of library, 1963-91.
2.6
Expenditures for materials and binding, Research 1 composite, in nominal
3.1
dollars, 1912-91.
Expenditures for materials and binding, Research 1 ,-omposite, in real (1982)
3.2
dollars, 1912-91.
Comparison of measures of growth of Research 1 composite, 1912-91.
3.3
Total library expenditures, A11-24 composite, in nominal dollars, 1963-91.
3.4
Library as a percentage of Educational and General expenditures, 17-univer-
3.5
sity average, 1966-90.
Library expenditures as a percentage of Instruction and Departmental Re-
3.6
search expenditures, 17-university average, 1966-90.
Library expenditures as a percentage of Educational and General expendi-
3.7
tures, 1966-90.
Library expenditures as a percentage of Instruction and Departmental Re-
3.8
search expenditures, 1966-90.
Library expenditures as a percentage of I&DR and E&G expenditures, 15-
3.9
college average, 1977-90.
Professional and nonprofessional staff, Research 1 composite, 1912-91.
4.1
Annual change in size of total staff, three-year moving average, 1965-90.
4.2
Volumes held per staff member, Research 1 composite only, 1912-91.
4.3a
Volumes added gross per staff member, Research 1 composite only, 1912-91.
4.3b
Components of library budget (percentage shares), A11-24 universities, 1963,
4.4
1970, 1982, and 1991.
Components of library budget (percentage shares), by composite, 1963, 1970,
4.5
1982, and 1991.
Principal components of library budget (share of total expenditures), 1963-
4.6
91.
Serials expenditures as a percentage of materials expenditures, 1976-91.
4.7
Expenditures fa: serials in nominal dollars, 1976-91.
4.8
Total current serials, 1972-91.
4.9
Number of titles published annually, domestic presses, 1880-1989.
5.1
Number of volumes added gross (Research 1) vs. total titles published
5.2
domestically, 1912-89.
Number of titles published annually, domestic presses, total and select fields.
5.3
Number of volumes added gross (All 24) vs. selected titles published domes-
5.4
tically, 1970-89.
V
List of Figures and Tables
vi
Number of titles published annually by the Association of American Univer-
5.5
sity Presses (selected presses), 1963-88.
Number of volumes added gross (All 24) vs. titles published by the Associa-
5.6
tion of American University Presses.
Number of titles published, selected Western European countries, 1950-88.
5.7
Number of volumes added gross (Research 1) vs. titles published in Western
5.8
Europe, 1950-88.
Growth in number of serials (Ulrich's and current serials), 1972-89.
5.9
Date of founding of journals, 1991 SCI source publications, by decade,
5.10
1700-1990.
Date of founding of periodicals in MLA directory, by decade, 1800-1990.
5.11
Increases in average price per volume, periodicals and books, 1963-90.
6.1
Increases in average price per volume by broad field, 1970-90.
6.2
Increases in average prices of periodicals by broad field, 1970-90.
6.3
Increase in average price of periodicals in nominal dollars, 1963, 1970, 1982,
6.4
and 1990 (arts, humanities, social sciences).
Increase in average price of periodicals in nominal dollars, 1963, 1970, 1982,
6.5
and 1990 (science, technology, professional fields).
TABLES
Average Annual Rates of Increase in Volumes Added Gross by Composite
2.1
(percent)
Average Annual Rates of Increase in Total Expenditures, Current Dollars, by
3.1
Composite
Total Library Expenditures as a Percentage of Total Educational and General
3.2
Expenditures, 1979 and 1990
Total Library Expenditures as a Percentage of Instructional and Departmen-
3.3
tal Research Expenditures, 1979 and 1990
Serials Expenditures by Individual Universities
4.1
Titles Published Annually, by Field (percentage shares)
5.1
Average Annual Rates of Increase in Book Title Production, Selected Western
5.2
European Countries and the United States
Average Annual Rates of Increase in Number of Titles Published (various
5.3
data sets) and Number of Volumes Added Gross (All 24 Universities)
Average Price per Volume of Hardbound Books, Ranked by Price in 1990
6.1
Average Price of a Periodical Subscription, by Field, Selected Years, Ranked
6.2
by Price in 1990
APPENDIX TABLES
Volumes Added Gross, by University
2.1
Total Library Expenditures as a Percent of Educational and General Expen-
3.1
ditures (Universities)
Total Library Expenditures as a Percent of Instruction and Departmental
3.2
Research (Universities)
Total Library Expenditures of Colleges
3.3
8
List of Figures and Tables
vii
.
3.4
Total Library Expenditures as a Percent of Educational and General Expenditures
(Colleges)
Total Library Expenditures as a Percent of Instruction and Departmental
3.5
Research Expenditures
UNESCO Counts of Numbers of Titles Published in Selected Countries
5.1
Average Price for Hardbound Books in Various Fields
6.1
Average Price for Periodicals in Various Fields
6.2
INN
.1'
Foreword
This report has had an extended and complex history. Its origins date to the
spring of 1989, when Neil Rudenstine, then executive vice president of The Andrew
W. Mellon Foundation and now president of Harvard University, and I decided that
the Foundation should undertake a study of the economics of research libraries.
Both of us had long been interested in research libraries, initially as users and then
as university administrators. We were convinced not only of the great importance
of these institutions but also that, in certain respects at least, they were at risk of
becoming an endangered species. Rapidly rising costs of both library materials and
space were one evident source of pressure; the proliferation of journals and other
library materials was a second pressure point; and it was also far from clear how
these libraries were to be affected by, and were to respond to, the rapidly developing
electronic technologies.
Support of research libraries has been one of the continuing interests of The
Andrew W. Mellon Foundation,1 and so our personal interests were merged with a
strong institutional interest. The trustees and staff of the Foundation have been
committed to continuing to support the evolution of research libraries, but, in
company with almost everyone else, have been unsure how best to address what
are clearly systemic questions. There was a pressing need, in our view, for a careful
analysis of trends in such key variables as the volume of acquisitions, the worldwide
pool of publications from which acquisitions were made, prices of monographs and
journals, and library expendituresseen both in absolute terms and as a percentage
of overall university expenditures. We we-e also interested in knowing more about
trends in the composition of library expenditures and, even more particularly, about
experience with automation and its costs.
Thus, a principal objective of this research has been to describe the library
landscape as it appears today, in its collecting, operating, financial, and electronic
dimensions. The picture that emerges is by no means definitive, but we believe that
it does provide a basis for exploring new directions in a more thoughtful way than
we could have done otherwise. In company with other research projects that have
been conducted by the staff of the Foundation,2 this study was intended to inform
our subsequent activities, including grant making. We are making the report
generally available in the hope that it will be of interest to others concerned with
these same issuesnot only librarians, who will already be familiar with much of
the material presented here, but also college and university administrators, publish-
My predecessor as president of the Foundation, John E. Sawyer, played a major role in stimulating
support from many foundations for the work of the Research Libraries Group. More generally, he played
a leadership role in thinking about the future of libraries and especially of ways in which more
collaboration might be possible.
It is significantand fittingthat the library at Williams College. where
Mr. Sawyer served v .11 distinction as president, is named in his honor.
21n
particular, studies of the outlook for employment of faculty (William G. Bowen and Julie Ann Sosa,
Princeton, N.J.: Princeton University Press, 1989) and of the
Prospects for Faculty in the Arts and Sciences,
effectiveness of doctoral education (William G. Bmvei and Neil L. Rudens ine,
In Pursuit of the
Ph.D.,
Princeton, N.J.: Princeton University Press, 1992).
ix
I 0