Library Acquisitions: Practice & Theory, Vol. 17, pp. 33-39, 1993 0364~6408/93 S6.00 + .oO Printed in the USA. All rights reserved. Copyright 0 1993 Pergamon Press Ltd.

FEATHER RIVER INSTITUTE

THEORY IN ACQUISITIONS: DEFINING THE PRINCIPLES

BEHIND THE PRACTICE

JOYCE L. OGBURN

Chief Acquisitions Librarian

Sterling Memorial Library

Yale University

New Haven, CT 06520

LAYING THE FOUNDATION OF ACQUISITIONS PRINCIPLES

Acquisitions has not been identified strongly with a body of knowledge, principles, and the- ory. Acquisitions processes and procedures have been described fully, but description of the practice is not equivalent to description of the philosophical and theoretical constructs. This article will attempt to elucidate the principles of acquisitions, which have not yet been stated as such. It will be argued that acquisitions would not be practiced as we know it without these principles and that they provide the underpinnings of our organization.

The question also arises whether acquisitions has a theoretical base. Identifying principles is also a first step toward developing theory. Determining principles and theory will ultimately lead us to a definition of our knowledge base and our profession, and will more clearly iden- tify and validate the role that acquisitions plays in the information dissemination process. As a first attempt at exploring theory and acquisitions, this paper is necessarily broad and im- perfect. I recognize, and indeed hope, that it raises and promotes discussion and questions.

ELUCIDATING FIRST PRINCIPLES

Before discussing the principles of acquisitions, it is instructive to look at the nature of what libraries acquire. Each library has carved out a portion of knowledge to acquire, and in gen- eral, libraries have been built on codified, synthesized, describable, recognizable, controlla- ble manifestations of information; in short, the published record. Items outside of the norms of the published record may be excluded or collected only by larger research or specialized li- braries. We, as librarians, have placed value, or perhaps are just comfortable with, informa- tion that fits our present established parameters.

To lay the ground work for discussing the principles of acquisitions, let me outline the first principles of librarianship as related to the published record. The dictionary definition of prin-

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ciple is: a basic truth, law, or assumption. If I may offer my own interpretation of the first principles of librarianship it is this:

1. Information as a human artifact and commodity is to be preserved and shared for the common good. Information can be preserved or shared by individual efforts, or through an organized, institutionalized, communal effort. At any stage of the preservation and sharing of information, the value of the information can be increased by the manner in which these two things occur.

2. Authors create, preserve, or interpret information by composition, synthesis, compila- tion, codification, or other means in order to make a form that is usable by others.

3. Publishers enhance information through the editorial and review process. They also package and market the information in discrete, identifiable, tangible forms. Publish- ers add value to the information by providing an organized, predictable means of dissemination.

4. Librarians provide an additional means of dissemination and add value to the published product by organizing access to it through acquisition, description, classification, stor- age, and preservation. Librarians add value by interpreting information through human or technological mediation.

With these principles in mind, we may then move toward defining the first principles of acquisitions.

Let us say that the primary business of acquisitions is acquiring published resources for the library’s collections and that acquisitions serves as a bridge between the publisher and the li- brary in the dissemination process. Acquisitions focuses on the form of publication and its accessibility, and not necessarily the ideas, the information, or the value of the publication to the library or user.

In addition to the first principles of librarianship, there are principles that further describe the nature of the dissemination process. We can begin with a list of the principles that describe the nature of publishing and publications as they relate to the acquisitions process.

1. Publishing is regular, quantifiable, and predictable This principle means that information dissemination may occur through publishing, which

is not entirely random and is susceptible to study in a meaningful way. For example, we can study the variation between the relative numbers and kinds of publications from one year to the next, and that this variation can be measured. We can understand how publishing changes over time.

This principle applies to a macro level of publishing, not to the level of publisher or pub- lication. In other words, we may not be able to predict the particulars of publishing output in regard to individual titles, but we can anticipate, with reasonable accuracy, general levels of publishing activity.

2. Publications are describable, identifiable, and accessible By this I mean that it is possible to control and manage publications through description,

standard numbers, or other means, and that control facilitates access to publications. In other words, publications have standardized elements, such as title and ISBN, that allow for an in- dividual bibliographic description and identification, which in turn allow for publications to be acquired and used. This principle is highly related to the first principle of publishing, but it applies to the micro level of publishing, i.e., the individual publication.

Theory in Acquisitions 35

We also recognize that information is available through various avenues of supply, primar- ily the publisher or some sort of intermediary. The role of the intermediary can be played by distributors (often with exclusive rights of distribution), traditional library vendors (book job- bers and subscription agents), book sellers (out-of-print dealers, book stores), and other li- braries. Intermediaries can be described by the following principles.

3. No single source can supply all possible publications This principle is important in that it tells us that there are choices that must be made in the

avenue of supply. No one publisher or distributor controls all publications. Furthermore, we know that the numbers and kinds of sources are subject to change at any time.

Information transfer also occurs in a complex financial environment. It is essential that this environment be understood in order to manage library financial resources. The financial en- vironment can be described by the following, succinct principle.

4. Publishing involves costs Clearly nothing is ever free, and the economics of publishing is an essential component of

acquisitions principles. This principle is true, regardless of the costs associated with internal processing.

Given that the major players in the delivery of publications into the library include acqui- sitions, publishers, and suppliers, how should we describe the nature of their interaction?

5. Librarians, publishers, and suppliers share a common language The common language provides a means for control and communication, and facilitates the

information transfer process. An effective interface between the parties would not be possi- ble without this principle. The parties must be able to communicate in order to interact pro- ductively. Moreover, this principle tells us that we must continue to consult in the evolution of the language of publishing and librarianship. This principle is being demonstrated by the current joint development of standards for electronic communication.

However, at the same time we must also recognize that a further principle governs acquisitions.

6. Librarians, publishers, and suppliers serve different purposes and have different value systems and motivations

Although we may share the goal of providing information to the user, libraries, suppliers, and publishers exist for different reasons and serve different missions. Understanding the dif- ferences is as important as knowing the elements that are shared by the parties.

DISCUSSION OF PRINCIPLES

If we accept these principles, then we know that we can impose methods of controlling the influx of information into the library and into the hands of the user. The predictable nature of publishing has allowed us to put in place organizations based on a known universe of pos- sible acquisitions for the library, refined and dictated by our budgets and other available re- sources. In addition, acquisitions programs have developed methods based on predicted publication patterns, such as standing orders, subscriptions, approval plans, and blanket orders.

We also know that library resources cost money and that there is no one cost for acquir-

36 J. L. OGBURN

ing an item, as costs vary according to supply status (in print, and in stock and available with- out excessive effort) and ease of acquiring (firm order, approval plan, number of times claimed, etc.) There is also no one price for a given publication, as these costs differ from li- brary to library, depending on when the item was ordered (in print, out of print, out of stock), the efficacy of the supplier (either publisher or vendor), the terms of business negotiated with the supplier, the supplier’s overhead costs, and so on.

We also accept that libraries, publishers, and suppliers are somewhat dependent on each other in the dissemination process and that it is in the best interest of all of us to communi- cate clearly with each other. However, we recognize that we bring different approaches and expectations to our relationship. As the nature of information, publishing, and dissemination changes, it is hoped that these principles will allow us to adapt to and understand the change. Indeed, the principles themselves will change. In addition, I think we realiie that the technol- ogy employed in the dissemination process greatly influences how we relate to information, and changes our concepts of library resources, and our role in delivering information to the user.

As a follow-up to talking about these principles, it would be an interesting and informa- tive exercise to substitute the word information or words information dissemination in the above principles and see if we think they hold true.

FORMULATING THEORY

Where do these principles take us? How do we move from principles to theory, and why is this step important? If principles govern organization, then we may say that theory supports problem solving and understanding of the dissemination system.

Philosophers of science offer different interpretation of how theory operates and gov- erns scientific activity. We are probably most familiar with the definitions of theory as as- sumptions, principles, or rules of procedure that predict or explain the nature or behavior of a set of phenomena; or a group of general propositions used as principles of explanation for a class of phenomena; or a proposed explanation regarded as conjectural, in contrast to well- established propositions that are regarded as facts.

Further defining characteristics of theory are that it be predictive, generally applicable, rep- licable, falsifiable, and testable. But theory is also seen as a guide to problem solving. Phi- losopher of science Larry Laudan offers a very utilitarian definition of theory, which may be more useful to our purposes. Laudan says that “the first and essential acid test for any the- ory is whether it provides acceptable answers to interesting questions, in other words, it pro- vides satisfactory solutions to important problems” [l]. He continues, “In appraising the merits of theories, it is more important to ask whether they constitute adequate solutions to significant problems than it is to ask whether they are ‘true,’ ‘corroborated,’ ‘well-confirmed’ or otherwise justifiable within the framework of contemporary epistemology” [2]. Although Laudan’s approach may present a less rigorous definition of theory than that given above, its emphasis on the utility of theory may be more valuable for an applied discipline such as librarianship.

If we accept Laudan’s approach to theory, then we need to start formulating the basic ques- tions of acquisitions. I offer four questions for your consideration:

1. What is the basic problem we are trying to solve? 2. Are we attempting to solve the problem through our structures (i.e., organizations and

programs) or by some other means?

Theory in Acquisitions 37

3. How is our basic problem related to information dissemination? 4. How do we translate this problem into theory?

I hope that our realization of principles and theory will allow us to recognize significant changes in our basic problems and their variables. I have no theory to offer on this occasion, but I conjecture that we may find our theory in the economics and technology of informa- tion transfer.

In addition to formulating theory, it is also useful to understand the models we have devel- oped to undertake our mission as acquisitions librarians. We have organized our services based on the concepts and principles of publishing presented here. If the model were to change, then we would have to reexamine our organizations, our processes, and perhaps even our mission.

Let me give two examples of recent models that have been proposed for the acquisitions function. First chronologically, Hoadley and Corbin proposed in 1990 a model of library or- ganization based solely on more or less traditional functions. In their model, acquisitions en- compassed all areas that included buying, borrowing, and leasing, regardless of format [3]. In 1991, Atkinson presented a model that divided library services into two functions: deliv- ery and mediation. He placed acquisitions within the delivery function, which was also tied strongly to a technological base. Atkinson’s model was not one of organization, but rather one of conceptualization [4].

One could argue that both of these models are grounded in a principle that acquisitions serves a delivery function, however delivery may be defined or organized. In both models, ac- quisitions functions more broadly than in current organizations, and the authors of the models recognize the close interaction acquisitions has with producers and suppliers of information. We also can use models to influence or prepare for changes in the existing dissemination pro- cess. If the model changes, we can ask what effect it will have on acquisitions, including its organization, structure, and problem-solving effectiveness.

Another example where modelling is useful is in understanding where suppliers fit into the larger model. Vendors can be considered acquisitions or selection librarians, one step removed from the library. They are information providers who work for, but not within, the library. They take the place of ordering and receiving directly from the disseminator. We could ask whether a model where libraries contract directly with these suppliers to provide materials for the library would be cheaper and more effective than duplicating the process in house. We must be able to understand the consequences of these shifts on our economics, organization, and processing. In addition, we must be ever mindful of the principle that states that suppli- ers do have different value systems and motivations.

The shift toward using the intermediary to perform these functions is an important concep- tual change in their role in the dissemination process. In fact, advent of the approval plan was part of this shift. An approval plan is a very controlled mechanism for getting materials into the library, and we could argue for suppliers taking a larger role of providing cataloging, ma- terials, and processing for the library without ever working in the library. In short, we need to develop a broader picture of how a supplier can function in information transfer vis-a-vis acquisitions, publishers, and the larger library environment. Moreover, we need to integrate this picture into our models and principles.

APPLICATIONS

It is hoped that this attempt to identify the principles of acquisitions contributes to the un- derstanding of the place of acquisitions in the library, in the information dissemination pro-

38 J. L. OGBURN

cess, and the professional nature of acquisitions responsibilities. This attempt, however, is not enough. Further research should be directed toward identifying and measuring the elements of acquisitions principles in order to allow the profession to grow, understand itself, and to instruct others. Regarding the principles of acquisitions we should ask:

l Are these principles true? Are they true under all, or only special, circumstances? l Which of these principles are most likely to change in the future? l What are the norms? Can we measure the deviations around the norm? l Which principles are quantifiable, and which are not? l Which principles are known intuitively and which are demonstrated to be true? l How many of the principles are true to acquisitions, but not to other library functions,

and how many are shared? l Why are there differences?

These questions then form the basis for exploring the following, additional questions:

l Are new formats and ways of acquiring materials merely variations on established norms, or truly new entities?

l What is the nature of the change in information dissemination that we are seeing? l Are we moving into an era where information will be more or less predictable, accessi-

ble, describable, or controllable?

Understanding our theoretical underpinnings also provides a rational basis for data gather- ing, problem solving, organization, and management. Through theory we can identify vari- ables, problems, norms, and anomalies. We also can better describe the knowledge base of acquisitions.

Another application of principles can be in systems design and development for daily pro- cessing, management, and even developing expert systems. Principles and theory could also influence how we measure and evaluate our services.

Principles and theory can also be used as a basis for developing course work for acquisi- tions in a formal or informal setting. As library science curricula rely in large part on theory, acquisitions must have demonstrable theory in order to establish legitimacy for inclusion in the curricula. The principles also may be used in training staff in the rationale behind acqui- sitions practices, policies, and decisions.

The most important step to be taken is to develop and test theory in relation to acquisitions. Our research should be designed not only to determine the theory that governs what we do, but also to apply that theory to prediction, organization, modelling, and solving acquisitions problems.

I have two final questions for you to consider. The principles presented for acquisitions fo- cus almost exclusively on publishing as part of the dissemination process. What about the transfer of information that occurs outside of organized publishing? How should we analyze and describe that process? This article has attempted to present some of the underlying prin- ciples behind the practice of acquisitions to lay a foundation for discovering our theory. More- over, it has attempted to outline the necessary steps we must take in order to define and develop a theory of acquisitions in librarianship. It has argued for the application of these principles not only to developing theory, but to strengthening the teaching and methods of acquisitions librarianship. The next step is to develop theories, test them, and replicate the tests to see if the theories hold true.

Theory in Acquisitions 39

Ultimately the process of developing the theory behind acquisitions will allow librarians to reach beyond their normal daily practice and embrace the possibilities of acquisitions as it re- lates to the larger world of scholarly research and communication. Perhaps, more importantly, understanding the theory behind the acquisitions process will serve to strengthen the primary principles of librarianship and to improve the transfer of knowledge from the creator to the user.

REFERENCES

1. Laudan, Larry. Progress and Its Problems: Towards a Theory of Scientific Growth. Berkeley: University of Cal- ifornia Press, 1977, p. 13.

2. Ibid. p. 14. 3. Hoadley, Irene B. and John Corbin. “Up the Beanstalk: An Evolutionary Organizational Structure for Librar-

ies,” American Libraries 21 (July/August 1990), 676-678. 4. Atkinson, Ross. “The Acquisitions Librarian as Change Agent in the Transition to the Electronic Library,” Library

Resources and Technical Service.v 36 (January 1992), 7-20.