Library books

Collection Development Policy

 

Table of Contents

Policy

Plan and Guidelines

Appendix A. Collection Development Levels

Appendix B. Selection Assignments of Library Faculty

Appendix C. Library Bill of Rights

Appendix D. Intellectual Freedom Principles for Academic Libraries

Appendix E. Code of Ethics of the American Library Association

Appendix F. University Gift Acceptance Policies and Guidelines

Policy

I. Overview

Collection development is the continuous and systematic process by which libraries select, accept, deselect, and evaluate information resources. This collection development policy articulates the overarching framework that ensures the collections of The Carl Gellert and Celia Berta Gellert Library provide access to knowledge and information resources that meet the curricular, research, and intellectual needs of the Notre Dame de Namur University community. This policy documents the principles that guide collection development decisions and the greater University’s involvement in the process. Collection development efforts are a high priority of the Library and are intended to be responsive to the rapidly evolving information needs of the University’s community and emerging trends in information access. To this end, the collections undergo continuous evaluations by the librarians. Moreover, these collection development policies shall be reviewed every five years as part of the Library’s formal program review process.

II. Principles and Objectives

The principles of intellectual freedom are the foundation of the Library’s collection development activities. As a free and open forum for information and ideas, the Library adheres to the policies in the Library Bill of Rights and the Intellectual Freedom Principles for Academic Libraries set forth by the American Library Association. As such, the Library provides access to resources that support the information needs of all members of the University community. The Library challenges censorship and builds balanced collections that provide open access to information resources representing a broad variety of perspectives and ideas. Librarians at Notre Dame de Namur University uphold the values and ethical principles promulgated in the American Library Association Code of Ethics.

As the University’s knowledge center, the Library serves as a gateway to global information that promotes research, creativity, and discovery. The Library’s collection development activities are intended to further the University’s mission of academic excellence by fulfilling the information needs of the NDNU community. A primary objective is to build collections that support and enrich the University’s liberal arts and professional studies programs and anticipated future programs. Another objective is to develop collections that advance the University’s core values related to global peace, community engagement, social justice, and diversity. Moreover, collections are developed that cultivate scholarship and enhance teaching.

III. Selection

Librarians with subject liaison responsibilities serve as selectors for collection development. When making selection decisions, the librarians follow established criteria in the areas of content, educational level, quality, form, and relation to the collection. Established guidelines are followed to acquire quality materials that meet standards of authority, comprehensiveness, timeliness, and validity. Resources are acquired at the levels of scholarly complexity commensurate to the degrees offered by the University. Special criteria are considered related to the selection of online resources. New technologies for access and delivery of information content will continue to be adopted when advantageous. To meet the unique information needs of its clientele, the Library facilitates purchase recommendations and patron-driven acquisition methods. The selectors also collaborate with faculty colleagues to benefit from their subject matter expertise. All acquisitions shall be made in compliance with the University’s established purchase policies.

IV. Deselection/Weeding

A judicious and continuous deselection program is integral to maintaining a collection that is current and relevant. The librarians apply established criteria in the areas of quality, relevance, duplication, physical condition, age, and format when making deselection decisions. Deselected materials are offered to appropriate academic departments, faculty members, and/or students via sale or donation if the materials are still considered viable. Donations and sales to organizations may be considered. The Library Director shall inform the Provost and Deans of significant deselection projects.

V. Evaluation

Collection evaluation is an ongoing priority of the library faculty. A variety of evaluation tools (e.g., usage statistics, comparative analyses, and patron feedback) are utilized to make well-informed collection decisions and gain insights into how collections could be refined to better meet current and future patron needs. The Library’s collections are a component of the Library’s formal program review conducted every five years. The Library’s collections are also a component of the University’s academic program review process and the process for new program development. As part of these formal review activities, the Library’s collections shall be evaluated to determine the level of support for the programs under review and to make appropriate collection recommendations.

VI. Gifts

Gifts in kind and monetary donations greatly enhance the Library’s collections and services. The Library accepts gifts provided that such gifts help further and fulfill the Library’s and University’s missions, purposes, and priorities. Monetary donations are accepted in any form. Restricted gifts will be considered on a case-by-case basis by the Library Director in consultation with the Provost and the Advancement Office.

Donated items become the exclusive property of the Library. Gifts are accepted with the understanding that they will be managed in the manner which best meets the needs and interests of the Library. The Library follows the same guidelines for inclusion of donated information resources that are used for purchased resources. Those items that meet the Library’s collection development guidelines are integrated into the collection. Items not added to the collection may be sold, donated or discarded at the discretion of the Library. The Library Director shall inform the Provost and Deans of significant projects involving gifts.

It will be the responsibility of the donor to determine the monetary value of donations and secure appraisals and independent legal counsel (where required) for gifts made to the Library. Acknowledgement of all gifts made to the Library and compliance with the current IRS requirements in acknowledgement of such gifts will be the responsibility of the University.

The Library’s Gift Policies are in accordance with the principles of the University’s Gift Acceptance Policies and Guidelines approved by the Board of Trustees.

VII. Policy Review

These collection development policies have been reviewed and accepted by the Notre Dame de Namur University Library Faculty, Library Advisory Board, Council of Deans, and Board of Trustees. The Board of Trustees must approve any changes to these policies.

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Plan and Guidelines

I. Introduction

The purpose of this collection development plan is to provide a framework for the future direction of The Carl Gellert and Celia Berta Gellert Library’s collections. The plan describes the Library’s current collections and objectives for developing them in support of the University’s mission and priorities. The plan communicates to the NDNU community, accrediting agencies, donors, and other interested parties the rationale for collection management decisions. The plan describes the established criteria librarians apply related to collection management. It also includes guidelines related to gifts and encourages the types of donations that will enhance the Library’s collections. The plan is intended to be responsive to library trends and the University’s academic programs and community. A review of this plan by the library faculty is required every five years as part of the Library’s formal program review process.

II. Mission Statements

A. University Mission
Founded upon the values of the Sisters of Notre Dame de Namur and rooted in the Catholic tradition, Notre Dame de Namur University serves its students and the community by providing excellent professional and liberal arts programs in which community engagement and the values of social justice and global peace are integral to the learning experience. NDNU is a diverse and inclusive learning community that challenges each member to consciously apply values and ethics in his or her personal, professional, and public life.

B. Library Mission
The Carl Gellert and Celia Berta Gellert Library at Notre Dame de Namur University provides access to knowledge and information resources and assists students, faculty, staff, and all who seek information from the Library in the most effective methods of identifying and acquiring information resources to meet their curricular and research needs. The Library is a key component in the development of information policy for the campus and plays a key role in instruction, knowledge development, creativity, cultural transmission, and the scholarly communication process.

The Library provides an environment for free and open inquiry, fostering the interpretation, integration, and application of knowledge in all fields. It strives to create and support a pluralistic, highly qualified, and flexible library faculty and staff committed to excellent service, continuous learning, and the values of the education experience.

III. Collection Overview

The Carl Gellert and Celia Berta Gellert Library serves as the University’s knowledge center by providing access to information resources that support the curricular, research, and intellectual needs of the NDNU community. Functioning as a gateway to global information in print and online formats, the Library promotes research, creativity, and discovery. The Library is the main repository of library materials for Notre Dame de Namur University. Materials acquired through donation or purchase with library funds are housed and maintained exclusively in the Library. The Library houses a collection of over 130,000 print monographs, including a reference collection. The Library supplements its online journal databases with subscriptions to key print journals, magazines, and newspapers. The Library houses copies of student theses submitted by the academic departments. The Library also houses collections of sheet music, recorded sound, microforms, and digital media. Online collections include subscriptions to databases of electronic books, journals, newspapers, videos, and other information resources.

The Special Collections room houses a collection of California materials, rare books, and publications by NDNU faculty. Some of the materials are visible in the online catalog, while others are uncataloged and listed in a separate inventory. Many of these items are restricted to in-house use. Access to these materials may be arranged in advance with a librarian or the Library Director.

The Library increases its access to information through cooperative arrangements with other institutions. The University’s membership in the Statewide California Electronic Library Consortium (SCELC) offers discounted licensing to online resources, significantly enhancing the information resources available to the NDNU community. Through SCELC, the Library subscribes to a collection of databases that support the University’s academic programs. The full range of database subscriptions available to current NDNU students, faculty, and staff may be found at http://www.ndnu.edu/academics/Library.

The interlibrary loan (ILL) service offers resource sharing among libraries globally. ILL enables NDNU students, faculty, and staff access to information resources not available at the University’s Library. NDNU’s Bay Area location is in close proximity to many large research institutions enabling expedited ILLs.

IV. Clientele

The Library’s primary patron base is comprised of the students, faculty, and staff of NDNU. Other patron groups with borrowing privileges include NDNU Alumni, Notre Dame High School Seniors, Notre Dame Pre-School Teachers, San Mateo County Educators and consortium patrons through interlibrary loan services. Members of the community and other visitors are welcome to access the Library’s collections in-house. The Library’s patron base is comprised of on-site and distance learners.

V. Collection Development Principles and Objectives

The principles of intellectual freedom are the foundation of NDNU’s collection development activities. As a free and open forum for information and ideas, the Library adheres to the policies in the Library Bill of Rights and the Intellectual Freedom Principles for Academic Libraries set forth by the American Library Association (Appendices C and D). As such, the Library provides information resources that support the information needs of all members of the University community. The Library challenges censorship and builds balanced collections that provide open access to information resources representing a broad variety of perspectives and ideas. Librarians at Notre Dame de Namur University uphold the values and ethical principles promulgated in the American Library Association Code of Ethics (Appendix E).

Collection development efforts are focused on advancing the University’s mission of academic excellence by serving the information needs of the Library’s primary clientele—NDNU students, faculty, and staff. The main objective is to build collections that support and enrich the University’s liberal arts and professional studies programs and anticipated future programs. Another objective is to emphasize collections that advance the University’s mission and core values related to global peace, social justice, diversity, community engagement, and the ethical views of the academic disciplines. Moreover, collections are built to promote individual research interests, creativity, enlightenment, and the discovery of new ideas. Information resources are acquired that cultivate scholarship and research with the purpose of enhancing teaching, learning, and the University’s reputation.

Library resources are selected in a variety of formats including print (e.g., books, journals, and newspapers), digital media, and online. As part of the Library’s continued advancement efforts, new technologies for accessing information content will continue to be adopted when advantageous.

VI. General Selection Criteria and Guidelines

Faculty librarians with subject liaison responsibilities serve as selectors for collection development. The scope of the Library’s collection accommodates the full range of academic programs. The breadth and depth of the collection in specific subject areas is developed at a level of scholarly complexity commensurate to the degree level offered by the University. The collection levels used as guidelines are defined in The Guidelines for the Formulation of Collection Development Policies, David L. Perkins, editor (Collection Development Committee, Resources and Technical Division, American Library Association, 1979). The collection levels and current librarian selection assignments may be found in Appendices A and B.

The Library uses a variety of patron-driven acquisition methods to build collections. An online system for the NDNU community to submit purchase requests is available via the Library’s website. Librarians also collaborate with their faculty colleagues to benefit from their subject matter expertise.

When making selection decisions, the librarians consult multiple review sources. One of the primary scholarly review sources utilized is Choice: Current Reviews for Academic Libraries, a publication of the Association of College and Research Libraries.

The librarians consider the following criteria when making selections of print and online resources:

A. General Criteria for Selection

1. Content
• Supports students in completing course learning objectives and complements the course design and instructional needs of faculty.
• Promotes the University’s mission and core values related to community engagement, global peace, diversity, and social justice.
• Contributes to a balanced collection representing a variety of viewpoints.
• Cultivates scholarship and research in order to enhance teaching and institutional reputation.
• Supports the curricular offerings and licensing standards of professional associations and accrediting bodies.
• Contains research guides, bibliographies, and union catalogs for identifying and accessing information sources housed in the Library and worldwide.

2. Educational Level
• Supports the liberal arts and professional programs at a level of scholarly complexity commensurate to the level of degree offered by the University.

3. Quality
• Meets standards of authority, comprehensiveness, timeliness and validity.
• Meets standards of organization and is well presented with supporting systems, e.g., table of contents, index, illustrations, bibliography, and appendices.

4. Relation to Collection
• Is cross-disciplinary and has wide potential use.
• Broadens knowledge of diversity.
• Offers new perspectives on subjects in comparison to titles owned.

5. Online vs. Print Format Considerations
• Maintain an appropriate balance between print and online resources.
• Adopt new technologies for access and delivery of information content when advantageous.
• Review cost, consortial opportunities, and access requirements when considering new online resources.
• Acquire print journals when embargoes or visual images make access to online versions less suitable.

B. General Criteria for Selection of Online Resources

1. Access: Trials for online resources shall be arranged to provide opportunities for faculty and students to test and evaluate new online resources.

2. Scope: Priority is given to resources that are comprehensive or broad in coverage.

3. Ease of Use: Priority is given to products with user-friendly interfaces.

4. Currency and Updates: Evidence must exist that the publisher/producer plans to regularly update the material.

5. Technical Requirements: The resource must be compatible with standard and commonly available hardware and software in libraries and on computer networks available to students.

6. Stability: A product must be stable in content and format.

C. Materials Not Actively Selected

While the Library does not actively select textbooks or rare books, it may acquire such materials as gifts.

VII. General Deselection Criteria and Guidelines

A judicious and continuous deselection program is integral to maintaining a relevant collection. Librarians coordinate the deselection of materials in their liaison areas. Before deselecting any material, items are offered to academic departments, faculty members, and/or students via sale or donation if the materials are still considered viable. Donations and sales to organizations may be considered. The Library Director shall inform the Provost and Deans of significant deselection projects.

The librarians consider the following criteria when deselecting materials:

A. General Criteria for Deselection:

1. Relevance: Materials no longer supportive of the collection objectives.

2. Quality: Materials no longer meet standards of authority, comprehensiveness, timeliness and validity.

3. Age: Outdated in terms of age, especially for demographic and scientific materials.

4. Duplication: Multiple copies of materials that are not heavily used.

5. Physical Condition: Degraded physical condition.

6. Form: Information is available in more accessible formats.

VIII. Gifts

Gifts in kind and monetary donations greatly enhance the Library’s collections and services. The Library accepts gifts provided that such gifts help further and fulfill the Library’s and University’s missions, purposes, and priorities. Monetary donations are accepted in any form. Checks may be made payable to Notre Dame de Namur University with a note indicating that the donation is intended for The Carl Gellert and Celia Berta Gellert Library. Restricted gifts will be considered on a case-by-case basis by the Library Director in consultation with the Provost and the Advancement Office.

Donated items become the exclusive property of the Library. Gifts are accepted with the understanding that they will be managed in the manner which best meets the needs and interests of the Library. The Library follows the same guidelines for inclusion of donated materials that are used for purchased materials. Librarians carefully evaluate all donated materials in light of the following criteria: content, quality, educational level, format, and relation to the collection. Those materials that meet the Library’s collection development guidelines are integrated into the collection. Items not added to the collection may be donated, discarded, or sold to generate funds to purchase library materials. The Library Director shall inform the Provost and Deans of significant projects involving gifts.

Donors are encouraged to contact the Library Director prior to delivering gifts for guidelines and arrangements. All donors are asked to complete a Gift In Kind form, which is forwarded to the Advancement Office. It is the responsibility of the donor to determine the monetary value of donations and secure an appraisal and independent legal counsel (where required) for gifts made to the Library. Acknowledgement of all gifts made to the Library and compliance with the current IRS requirements in acknowledgement of such gifts is the responsibility of the University. Upon request, donors receive a letter of appreciation from the Library and an official acknowledgement from the Advancement Office.

The Library’s gift policy is in accordance with the principles of the University’s Gift Acceptance Policies and Guidelines (Appendix F).

IX. Evaluation

Collection evaluation is an ongoing priority of the library faculty. A variety of quantitative and qualitative evaluation tools (e.g., usage statistics, comparative analyses, and patron feedback) are utilized to make well-informed collection decisions and gain insights into how collections could be refined to better meet current and future patron needs. The Library’s collections are a component of the Library’s comprehensive program review conducted every five years. The Library’s collections are also part of the University’s academic program review process and the process for new program development. As part of these formal review activities, the Library’s collections shall be evaluated to determine the level of support for the programs under review and to make appropriate collection recommendations.

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Appendix A. Collection Development Levels

The collection levels defined in this section have been adapted from Guidelines for the Formulation of Collection Development Policies, David L. Perkins, editor (Collection Development Committee, Resources and Technical Division, American Library Association, 1979). They are based upon those developed in the American Library Association’s Guidelines for the Formulation of Collection Development Policies, Library Resources and Technical Services (1977).

Comprehensive Level
All significant works of recorded knowledge in all applicable languages for a defined and limited field. This level of collecting intensity is exhaustiveness.

Research Level
The major source materials required for dissertations and independent research, including all important reference works and a wide selection of specialized monographs, as well as a very extensive collection of journals and major indexing and abstracting services in the field.

Advanced Study Level
Supports the course work of advanced undergraduate and master’s degree programs or sustained independent study including a wide range of primary resources, basic monographs both current and retrospective, complete collections of the works of more important writers, selections from the works of secondary writers, a selection of representative journals, and the reference tools and fundamental bibliographical apparatus pertaining to the subject.

Study Level
Supports undergraduate or graduate course work or sustained independent study and adequate to maintain knowledge of a subject required for limited or generalized purposes. This includes a wide range of basic monographs, complete collections of the works of important writers, a selection of representative journals, and the reference tools and fundamental bibliographical apparatus pertaining to the subject.

Initial Study Level
Adequate to support undergraduate courses, including a judicious selection of basic monographs, a broad selection of works of more important writers, a selection of the major review journals, and current editions of the most significant reference tools and bibliographies pertaining to the subject.

Basic Level
A highly selective collection which serves to introduce and define the subject including major dictionaries and encyclopedias, selected editions of important works, historical surveys, important bibliographies, and a few major periodicals in the field.

Minimal Level
A subject area in which few selections are made beyond very basic works.

Out of Scope
The subject is not collected.

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Appendix B. Selection Assignments of Library Faculty

Subject Faculty Librarian Liaison
Reference
Selection Assignments

SubjectFaculty Librarian Liaison
Reference
GeneralQuincy McCrary
HumanitiesPia Selkirk
Science & TechnologyAnna Fulton
Social & Behavioral SciencesQuincy McCrary
Humanities
GeneralPia Selkirk
Art & Architecture Mary Wegmann
Art & Architecture, Fine ArtsMary Wegmann
Art & Architecture, ArchitectureMary Wegmann
Art & Architecture, PhotographyMary Wegmann
CommunicationPia Selkirk
Language & LiteraturePia Selkirk
Performing ArtsMary Wegmann
PhilosophyQuincy McCrary
ReligionPia Selkirk
Science & Technology
GeneralAnna Fulton
History of Science & TechnologyAnna Fulton
Astronautics & AstronomyAnna Fulton
BiologyAnna Fulton
ChemistryAnna Fulton
Earth ScienceAnna Fulton
EngineeringAnna Fulton
Health ScienceAnna Fulton
Information & Computer ScienceAnna Fulton
MathematicsAnna Fulton
PhysicsAnna Fulton
Sports & Physical EducationAnna Fulton
Social & Behavioral Science
GeneralQuincy McCrary
AnthropologyQuincy McCrary
Business, Management & LaborAnna Fulton
EconomicsAnna Fulton
EducationQuincy McCrary
European HistoryPia Selkirk
History (excluding European History)Andre Garza
Political ScienceAndre Garza
PsychologyQuincy McCrary
Art TherapyMary Wegmann
SociologyQuincy McCrary

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Appendix C. Library Bill of Rights

The American Library Association affirms that all libraries are forums for information and ideas, and that the following basic policies should guide their services.

I. Books and other library resources should be provided for the interest, information, and enlightenment of all people of the community the library serves. Materials should not be excluded because of the origin, background, or views of those contributing to their creation.

II. Libraries should provide materials and information presenting all points of view on current and historical issues. Materials should not be proscribed or removed because of partisan or doctrinal disapproval.

III. Libraries should challenge censorship in the fulfillment of their responsibility to provide information and enlightenment.

IV. Libraries should cooperate with all persons and groups concerned with resisting abridgment of free expression and free access to ideas.

V. A person’s right to use a library should not be denied or abridged because of origin, age, background, or views.

VI. Libraries that make exhibit spaces and meeting rooms available to the public they serve should make such facilities available on an equitable basis, regardless of the beliefs or affiliations of individuals or groups requesting their use.

Adopted June 19, 1939, by the ALA Council; amended October 14, 1944; June 18, 1948; February 2, 1961; June 27, 1967; January 23, 1980; inclusion of “age” reaffirmed January 23, 1996.

Available online at: http://www.ala.org/advocacy/intfreedom/librarybill

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Appendix D. Intellectual Freedom Principles for Academic Libraries

A strong intellectual freedom perspective is critical to the development of academic library collections and services that dispassionately meet the education and research needs of a college or university community. The purpose of this statement is to outline how and where intellectual freedom principles fit into an academic library setting, thereby raising consciousness of the intellectual freedom context within which academic librarians work. The following principles should be reflected in all relevant library policy documents.

1. The general principles set forth in the Library Bill of Rights form an indispensable framework for building collections, services, and policies that serve the entire academic community.

2. The privacy of library users is and must be inviolable. Policies should be in place that maintain confidentiality of library borrowing records and of other information relating to personal use of library information and services.

3. The development of library collections in support of an institution’s instruction and research programs should transcend the personal values of the selector. In the interests of research and learning, it is essential that collections contain materials representing a variety of perspectives on subjects that may be considered controversial.

4. Preservation and replacement efforts should ensure that balance in library materials is maintained and that controversial materials are not removed from the collections through theft, loss, mutilation, or normal wear and tear. There should be alertness to efforts by special interest groups to bias a collection though systematic theft or mutilation.

5. Licensing agreements should be consistent with the Library Bill of Rights, and should maximize access.

6. Open and unfiltered access to the Internet should be conveniently available to the academic community in a college or university library. Content filtering devices and content-based restrictions are a contradiction of the academic library mission to further research and learning through exposure to the broadest possible range of ideas and information. Such restrictions are a fundamental violation of intellectual freedom in academic libraries.

7. Freedom of information and of creative expression should be reflected in library exhibits and in all relevant library policy documents.

8. Library meeting rooms, research carrels, exhibit spaces, and other facilities should be available to the academic community regardless of research being pursued or subject being discussed. Any restrictions made necessary because of limited availability of space should be based on need, as reflected in library policy, rather than on content of research or discussion.

9. Whenever possible, library services should be available without charge in order to encourage inquiry. Where charges are necessary, a free or low-cost alternative (e.g., downloading to disc rather than printing) should be available when possible.

10. A service philosophy should be promoted that affords equal access to information for all in the academic community with no discrimination on the basis of race, values, gender, sexual orientation, cultural or ethnic background, physical or learning disability, economic status, religious beliefs, or views.

11. A procedure ensuring due process should be in place to deal with requests by those within and outside the academic community for removal or addition of library resources, exhibits, or services.

12. It is recommended that this statement of principle be endorsed by appropriate institutional governing bodies, including the faculty senate or similar instrument of faculty governance.

Approved by ACRL Board of Directors: June 29, 1999
Adopted by the ALA Council: July 12, 2000

Available online at: http://www.ala.org/Template.cfm?Section=interpretations&Template=/ContentManagement/ContentDisplay.cfm&ContentID=8551

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Appendix E. Code of Ethics of the American Library Association

As members of the American Library Association, we recognize the importance of codifying and making known to the profession and to the general public the ethical principles that guide the work of librarians, other professionals providing information services, library trustees and library staffs.

Ethical dilemmas occur when values are in conflict. The American Library Association Code of Ethics states the values to which we are committed, and embodies the ethical responsibilities of the profession in this changing information environment.

We significantly influence or control the selection, organization, preservation, and dissemination of information. In a political system grounded in an informed citizenry, we are members of a profession explicitly committed to intellectual freedom and the freedom of access to information. We have a special obligation to ensure the free flow of information and ideas to present and future generations.

The principles of this Code are expressed in broad statements to guide ethical decision making. These statements provide a framework; they cannot and do not dictate conduct to cover particular situations.

I. We provide the highest level of service to all library users through appropriate and usefully organized resources; equitable service policies; equitable access; and accurate, unbiased, and courteous responses to all requests.

II. We uphold the principles of intellectual freedom and resist all efforts to censor library resources.

III. We protect each library user’s right to privacy and confidentiality with respect to information sought or received and resources consulted, borrowed, acquired or transmitted.

IV. We respect intellectual property rights and advocate balance between the interests of information users and rights holders.

V. We treat co-workers and other colleagues with respect, fairness, and good faith, and advocate conditions of employment that safeguard the rights and welfare of all employees of our institutions.

VI. We do not advance private interests at the expense of library users, colleagues, or our employing institutions.

VII. We distinguish between our personal convictions and professional duties and do not allow our personal beliefs to interfere with fair representation of the aims of our institutions or the provision of access to their information resources.

VIII. We strive for excellence in the profession by maintaining and enhancing our own knowledge and skills, by encouraging the professional development of coworkers, and by fostering the aspirations of potential members of the profession.

Adopted at the 1939 Midwinter Meeting by the ALA Council. Amended 1981, 1995, and 2008.
Available online at: http://www.ala.org/advocacy/proethics/codeofethics/codeethics

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Appendix F. University Gift Acceptance Policies and Guidelines

Notre Dame de Namur University, a 501(c) (3) non-profit charitable organization under the laws of the State of California, encourages the solicitation and acceptance of gifts to Notre Dame de Namur University (hereinafter referred to as the University) for purposes that will help the University to further and fulfill its mission. The following policies and guidelines govern acceptance of gifts made to the University or for the benefit of any of its programs.

Mission Statement
Founded upon the values of the Sisters of Notre Dame de Namur and rooted in the Catholic tradition, Notre Dame de Namur University serves its students and the community by providing excellent professional and liberal arts programs in which community engagement and the values of social justice and global peace are integral to the learning experience. NDNU is a diverse and inclusive learning community that challenges each member to consciously apply values and ethics in his or her personal, professional, and public life.

I. Purposes of Policies and Guidelines
University personnel, its Board of Trustees, and authorized volunteers solicit current and deferred gifts from individuals, corporations, associations, and foundations to secure the future growth and missions of the University. These policies and guidelines govern the acceptance of gifts by the University and provide guidance to prospective donors and their advisors when making gifts to the University. The provision of these policies shall apply to all gifts received by the University for any of its programs and services.

II. Use of Legal Counsel
The University shall seek the advice of legal counsel in matters relating to acceptance of gifts when appropriate. Review by counsel is recommended for:
a. Closely held stock transfers that are subject to restrictions or buy-sell agreements
b. Documents naming the University as Trustee
c. Gifts involving contracts, such as bargain sales or other documents requiring the University to assume an obligation
d. Transactions with potential conflict of interest that may invoke IRS sanctions
e. Other instances in which use of counsel is deemed appropriate by the Board of Trustees Development Committee

III. Conflict of Interest
The University will urge all prospective donors to seek the assistance of personal legal and financial advisors in matters relating to their gifts and the resulting tax and estate planning consequences.

IV. Restrictions on Gifts
The University will accept restricted gifts, and gifts for specific programs and purposes, provided that such gifts are not inconsistent with its stated mission, purposes, and priorities. The University will not accept gifts that are too restrictive in purpose. Gifts that are too restrictive are those that violate the terms of the University’s corporate charter, gifts that are too difficult to administer, or gifts that are for purpose outside the mission of the University. All final decisions on the restrictive nature of a gift, and its acceptance or refusal, shall be made by the Development Committee of the Board of Trustees.

V. The Development Committee of the Board of Trustees
The Development Committee of the Board of Trustees is charged with the responsibility of reviewing all gifts made to the University, properly screening and accepting those gifts, and making recommendations to the Board on gift acceptance issues when appropriate.

VI. Types of Gifts
A. The following gifts are acceptable:
1. Cash
2. Tangible Personal Property
3. Securities
4. Real Estate
5. Remainder Interests in Property
6. Oil, Gas, and Mineral Interests
7. Bargain Sales
8. Life Insurance
9. Charitable Remainder Trusts
10. Charitable Lead Trusts
11. Retirement Plan Beneficiary Designations
12. Bequests
13. Life Insurance Beneficiary Designations

B. The following criteria govern the acceptance of each gift form:
1. Cash: Cash is acceptable in any form. Checks shall be made payable to the University and shall be delivered to the University’s Advancement Office.

2. Tangible Personal Property: All other gifts of tangible personal property shall be examined in the light of the following criteria:
a. Does the property fulfill the mission of the University?
b. Is the property marketable?
c. Are there any undue restrictions on the use, display, or sale of the property?
d. Are there any carrying costs for the property?

The final determination on the acceptance of other tangible property gifts shall be made by the Development Committee of the Board of Trustees.

3. Securities: The University can accept both publicly traded securities and closely held securities.

Publicly Traded Securities: Marketable securities may be transferred to an account maintained at one or more brokerage firms or delivered physically with the transferor’s signature or stock power attached. As a general rule, all marketable securities shall be sold upon receipt unless otherwise directed by the Development Committee. In some cases marketable securities may be restricted by applicable securities laws; in such instance the final determination on the acceptance of the restricted securities shall be made by the Development Committee.

Closely Held Securities: Closely held securities, which include not only debt and equity positions in non-publicly traded companies but also interest in LLPs and LLCs or other ownership forms, can be accepted subject to the approval of the Development Committee. However, gifts must be reviewed prior to acceptance to determine that:
a. there are no restrictions on the security that would prevent the University from ultimately converting those assets into cash,
b. the security is marketable, and
c. the security will not generate any undesirable tax consequences for the University.

If potential problems arise on initial review of the security, further review and recommendation by an outside professional may be sought before making a final decision on acceptance of the gift. The final determination of the acceptance of closely held securities shall be made by the Development Committee and legal counsel when necessary. Every effort will be made to sell non-marketable securities as quickly as possible.

4. Real Estate: Gifts of real estate may include developed property, undeveloped property, or gifts subject to a prior life interest. Prior to acceptance of real estate, the University shall require an initial environmental review of the property to ensure that the property has no environmental damage. In the event that an initial environmental inspection reveals a potential problem, the University shall retain a qualified inspection firm to conduct an environmental audit. The cost of the environmental audit shall generally be an expense of the donor.

When appropriate, a title binder shall be obtained by the University prior to the acceptance of the real property gift. The cost of the title binder shall generally be an expense of the donor.
Prior to acceptance of the real property, the gift shall be approved by the Development Committee and by the University’s legal counsel. Criteria for acceptance of the property shall include:
a. Is the property useful for the University’s purposes?
b. Is the property marketable?
c. Are there any restrictions, reservations, easements, or other limitations associated with the property?
d. Are there carrying costs, which may include insurance, property taxes, mortgages, or notes, etc., associated with the property?
e. When called for, does an environmental audit reflect that the property is not damaged?

5. Remainder Interests In Property: The University will accept a remainder interest in a personal residence, farm/vineyard/ranch, or vacation property subject to the provisions of paragraph 4 above. The donor or other occupants may continue to occupy the real property for the duration of the stated life. At the death of the donor, the University may use the property or reduce it to cash. Where the University receives a gift of a remainder interest, expenses for maintenance, real estate taxes, and any property indebtedness are to be paid by the donor or primary beneficiary.

6. Oil, Gas, and Mineral Interests: The University may accept oil and gas property interests, when appropriate. Prior to acceptance of an oil and gas interest the gift shall be approved by the Development Committee, and if necessary, by the University’s legal counsel. Criteria for acceptance of the property shall include:

a. Gifts of surface rights should have a value of $20,000 or greater.
b. Gifts of oil, gas, and mineral interest should generate at least $3,000 per year in royalties or other income (as determined by the average of the three years prior to the gift).
c. The property should not have extended liabilities or other considerations that make receipt of the gift inappropriate.
d. A working interest is rarely accepted. A working interest may only be accepted when there is a plan to minimize potential liability and tax consequences.
e. The property should undergo an environmental review to ensure that the University has no current or potential exposure to environmental liability.

7. Bargain Sales: The University will enter into a bargain sale arrangement in instances in which the bargain sale furthers the mission and purposes of the University. All bargain sales must be reviewed and recommended by the Development Committee and approved by the Board of Trustees. Factors used in determining the appropriateness of the transaction include:

a. The University must obtain an independent appraisal substantiating the value of the property.
b. If the University assumes debt with the property, the debt ratio must be less than 50% of the appraised market value.
c. The University must determine that it will use the property, or that there is a market for the sale of the property allowing the sale within 12 months of receipt.
d. The University must calculate the costs to safeguard, insure, and expense the property (including property tax, if applicable) during the holding period.

8. Life Insurance: The University must be named as both beneficiary and irrevocable owner of an insurance policy before a life insurance policy can be recorded as a gift. The gift is valued at its interpolated terminal reserve value, or cash surrender value, upon receipt. If the donor contributes future premium payments, the University will include the entire amount of the additional premium payment as a gift in the year that it is made.

If the donor does not elect to continue to make gifts to cover premium payments on the life insurance policy, the University may:
a. continue to pay the premiums,
b. convert the policy to paid up insurance, or
c. surrender the policy for its current cash value.

9. Charitable Reminder Trusts: The University may accept designation as remainder beneficiary of a charitable remainder trust with the approval of the Development Committee. The University will not accept appointment as Trustee of a charitable remainder trust.

10. Charitable Lead Trusts: The University may accept a designation as income beneficiary of a charitable lead trust. The Board of Trustees of the University will not accept appointment as Trustee of a charitable lead trust.

11. Retirement Plan Beneficiary Designations: Donors and supporters of the University will be encouraged to name the University as beneficiary of their retirement plans. Such designations will not be recorded as gifts to the University until such time as the gift is irrevocable. When the gift is irrevocable but is not due until a future date, the present value of that gift may be recorded at the time the gift becomes irrevocable.

12. Bequests: Donors and supporters of the University will be encouraged to make bequests to the University under their wills and trusts. Such bequests will not be recorded as gifts to the University until such time as the gift is irrevocable. When the gift is irrevocable, but is not due until a future date, the present value of that gift may be recorded at the time the gift becomes irrevocable.

13. Life Insurance Beneficiary Designations: Donors and supporters of the University will be encouraged to name the University as beneficiary or contingent beneficiary of their life insurance policies. Such designations shall not be recorded as gifts to the University until such time as the gift is irrevocable. Where the gift is irrevocable, but is not due until a future date, the present value of that gift may be recorded at the time the gift becomes irrevocable.

VII. Miscellaneous Provisions
A. Securing appraisals and legal fees for gifts to the University: It will be the responsibility of the donor to secure an appraisal (where required) and independent legal counsel for all gifts made to the University.
B. Valuation of gifts for development purposes: The University will record a gift received by the University at its valuation for gift purposes on the date of the gift.
C. Responsibility for IRS Filings upon sale of gift items: The University, with the approval of the Development Committee, is responsible for filing IRS Form 8282 upon the sale or disposition of any asset sold within two years when the charitable deduction value of the item is more than $5,000. The University must file this form within 125 days of the date of sale or disposition of the asset.
D. Acknowledgement: Acknowledgement of all gifts made to the University and compliance with the current IRS requirements in acknowledgement of such gifts shall be the responsibility of the University.

VIII. Changes to Gift Acceptance Policies
These policies and guidelines have been reviewed and accepted by the Board of Trustees. The Board of Trustees must approve any changes to or deviations from these policies.
Approved on the twenty-second day of February, 2012

_________________________________
Anne Hannigan, Chair, Board of Trustees
Notre Dame de Namur University

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