Large Collections Workflow Guidelines
- Purpose of the guidelines.
These guidelines establish parameters for the selection, acquisition, review, storage, processing and disposition of large collections for those Library units that are customers of Central Technical Services. The goal is to handle these collections expeditiously so that their benefit begins to accrue to the Library’s users as soon as possible. Generally speaking, it is the responsibility of the relevant subject selector (hereafter referred to as the sponsoring selector) to shepherd a collection through the process.
- Assumptions and Definitions.
1. For purposes of these guidelines “large collection” is defined as any collection consisting of 200 or more titles, regardless of format.
2. Existing CUL policy on the integration of collections will obtain in all cases, unless an exemption is granted by the AUL for Collections or the University Librarian. This policy is that collections will not be kept together as separate entities within the Library. Individual pieces selected for retention will be cataloged and integrated into the existing CUL collections.
3. The guidelines cover collections acquired by whatever means—purchase, exchange, gift—and from all sources.
4. The guidelines cover both collections that are acquired all at once and collections that come to the Library in installments, either a finite number or ongoing indefinitely.
- Selection.
Determining initially whether a collection should be acquired or accepted is the responsibility of the sponsoring selector. The determination should be based primarily on the contents of the collection, although other factors such as condition, storage, costs of processing, and the potential for disposal of unwanted portions should be considered. In all instances, the sponsoring selector should ask for a list of the contents of the collection. The sponsoring selector should assess the intellectual value of the collection, preferably by means of a physical inspection, even if a list of the contents has been made available. Inspection may be supplemented by searching sample titles against CUL’s holdings, as appropriate, given existing staff resources at the time.The collection will add value to CUL’s existing holdings if a reasonable percentage of its titles are not yet held, although the definition of “reasonable” should be flexible on a case-by-case basis. Please refer to the Policy on Duplication of Library Materials when reviewing potential donations. Political considerations, such as donor relations, may also have an impact.
If the collection is deemed sufficiently valuable to add, the sponsoring selector makes a recommendation to the AUL for Collections. Selectors may not commit CUL to acquire or accept a collection without AUL approval. If a collection is to be purchased, the sponsoring selector will work with the AUL for Collections and others to secure the necessary funding. A written purchase agreement will be drawn up. In the case of donated collections, there should be a written record of the donor’s and CUL’s agreed understanding regarding ownership and disposition of the collection.
Unless there is a strong expectation that any items out of scope for CUL can be easily sold or otherwise disposed of, the sponsoring selector should always try to purchase or receive as a gift only that subset of the collection that will actually be added to CUL’s holdings.
- Transportation and storage.
It is the responsibility of the sponsoring selectors to arrange for and coordinate the packing, shipping, unpacking and storage of collections. In doing so, they may call on administrative support in IRIS or elsewhere in CUL. All arrangements must be in place before the collection is packed, and the AUL for Collections should be kept informed throughout the planning process.
1. Packing,shipping, and unpacking.
Several options are available: selectors may chose to do it themselves; use CUL shipping Room staff,or CUL staff of their own or other departments; contract with professional movers; or use some combination of the above. Unpaid volunteers not on the University’s staff may NOT be used because of insurance considerations.
2.Storage.
Storage space should be identified before the collection is shipped, in consultation with the AUL for Collections. Upon arrival, the collection must be unpacked and placed on shelves in the designated staging area. The principal staging area for IRIS is the shelves earmarked for Collection Development in the sub-basement of Olin. If no space is available there, other shelving space should be secured ahead of time either in a library building, other university building or in rented non-university space. The storage space should be secure, environmentally controlled and conveniently accessible to CUL staff for review and processing. Collections may not be kept stored in boxes.
- Plan of processing work.
Before the collection is accepted or purchased, the sponsoring selector should work with the AUL for Collections to develop a plan for the expeditious processing and disposition of the collection.
1. Searching
All items that are potential candidates for addition to CUL’s collections should be searched against existing holdings. If the collection includes items that the sponsoring selector knows will not be added, these need not be searched. The sponsoring selector cannot assume that the searching will somehow be taken care of by the Library, but is responsible for taking the lead in organizing it on a project basis, working with appropriate administrators in IRIS, CTS, the AUL for Collections and, if outside funding is needed, CUL External Relations. The searching process includes: arranging for searching staff, drawing up a work plan and time table for completion, keeping track of work in progress, and being available to answer searchers’ questions.
2. Cataloging and end-processing
The sponsoring selector reviews all searched items and decides which should be added to the collections. As is the case with searching, it cannot be assumed that CTS can simply absorb the cataloging of large numbers of items without careful planning. Therefore, the sponsoring selector should take the lead in making the arrangements with CTS in advance, involving other administrators and staff as necessary and appropriate. This means reaching agreements about the levels, rate and time table of processing.
3. RMC Review
Prior to the cataloging and disposition of any items in the collection, arrangements should be made for the appropriate curator in the Rare and Manuscripts Collections to review the entire collection as received. The RMC curator will decide whether any of the items intended for the general stacks or for disposition should be added to one of the RMC collections.
4. Disposition of unwanted items
The sponsoring selector is responsible for establishing a clear strategy for disposing of unwanted items, in consultation with appropriate collections administrators (AUL for Collections, Director of World Area Collections, et al.). As noted above, the sponsoring selector should always try to avoid receiving materials that will require disposition, unless there is clear evidence that such disposition will be cost effective. If disposition will be required, a strategy should be formulated early in the process; it is understood, however, that such a strategy may need to be modified, once the precise nature and condition of disposable materials become known. It should conform to established CUL policies on disposition.
F. Selection and Processing Checklist In order to assist sponsoring selectors in planning for the purchase or receipt of large collections, a checklist has been created. This checklist should be completed and signed by (a) the sponsoring selector, (b) the Head of Acquisitions, Bibliographic Control and Documents, and (c) the AUL for Collections before the collection is accepted. The checklist can be found at http://www.library.cornell.edu/colldev/largecollectionsworksheet.html
Initially drafted by Y. Szekely, 12/06/02.Revised by CDExec 12/19/03; 9/22/06
