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Guidelines on the Selection and Transfer of Materials from General Collections to Special Collections

February 2007, Draft Revision

ABSTRACT

Materials located in a library's general collections may gain, over time, special cultural, historical, or monetary value. Librarians have a responsibility to identify these valuable materials and to transfer them to a special collections unit that ensures they remain accessible while subject to an appropriate level of preservation and security. These guidelines provide an overview of the considerations regarding selection criteria and recommend procedures for an effective transfer policy.

The first edition (1987) of the Guidelines on the Selection of General Materials for Transfer to Special Collections was prepared by an ad hoc committee of the ACRL Rare Books and Manuscripts Section (RBMS), chaired by Samuel A. Streit and published in C&RL News 48 no. 8 (September 1987). An updated version was approved by the ACRL Standards Committee in 1994 and given further minor revisions in 1999.

1.0 Introduction to the Guidelines

Many libraries intentionally acquire rare books, serials, ephemera, documents, manuscripts, media (e.g. photographs, sound recordings, moving images), and other rare or unique items. However, virtually all libraries acquire materials that, with time and changing circumstances, become rare and gain special cultural and historical value. These materials may also gain significant monetary value in the marketplace. Librarians have a responsibility to identify the rare and valuable materials currently in general and open stack collections and to arrange for their physical transfer to a library location that provides an appropriate level of access, preservation, and security. For many libraries the preferred transfer location is the special collections unit. Alternatively, some libraries provide environmentally sound and secure storage of rare materials in a location other than special collections, a location that allows an intermediate level of restrictions on access. While this transfer option is not addressed in these guidelines, it does require policy decisions similar to those considered here.

Selection criteria and transfer policies vary from institution to institution and depend on: the nature and strength of the general and special collections; the use of the general and special collections; staffing; and the physical setting. These guidelines provide an overview of the considerations regarding selection criteria and recommend procedures for an effective transfer policy to a special collections unit.

2.0 The Selection and Transfer Program

A successful selection and transfer program relies upon cooperation and coordination at every level of the library organization. In developing the program it is essential to obtain the support and approval of the library's senior administration. Subsequently, the written selection and transfer policy statement--hereafter referred to as the transfer policy--supports the library's mission and it's philosophical framework, and documents the rationales and recommended procedures for everyone within the library.

The transfer policy is written by those who are administratively responsible for the program and reflects agreement among all relevant components of the library, including but not limited to: special collections, collection development, preservation, cataloging, reference, circulation, government documents, gifts, and systems.

2.1 The transfer policy must:

1. promulgate to the public the library's definition of and policy toward rare and special collections in a statement that strongly justifies the measures being taken to protect rare materials, and describe how these measures will enhance the institution's resources in carrying out its mission;
2. establish firm lines of authority for the conduct of an effective and expeditious program;
3. list and document as necessary the criteria for selection of items for transfer, criteria that may be influenced by the nature and strengths of the library's general and special collections;
4. set forth clear procedures to be followed in the transfer process including: selection and approval of transfers, inspection by preservation staff, physical handling and processing, altering bibliographic and circulation records, and maintenance of security throughout the process.

The library may find it helpful to contact professional consultants and colleagues from other libraries to help write the transfer policy, to refine selection criteria, and to inventory the collections. Once completed, the transfer policy is approved by the library's senior administration and incorporated into the library's overall collection development policy.

3.0 Transfer Policy Procedures

The transfer policy has five procedural phases:

1. identification of materials that fit the selection criteria
2. review and decision to transfer
3. preservation assessment
4. cataloging review and processing, including location changes
5. physical transfer to protected collections, e.g. special collections.

3.1 Identification of Materials That Fit the Selection Criteria

Ideally, a library will systematically inventory large segments of its general collections according to the selection criteria. Few libraries, however, find such a comprehensive assessment possible. They will opt instead to review materials and records selectively, incorporating identification into an existing library program or function. Other effective approaches include a selective review based on the history of the collection or a review that focuses on the areas of known strength. Many institutions find it worthwhile to solicit suggestions and comments on the identification of materials from faculty, students, researchers, professional appraisers, and other experts. Regardless of the scope of the identification program, the direct inspection of both individual transfer candidates and their corresponding bibliographic records is essential.

3.1.2 The identification process may include any of the following:

a. reading the shelves (or the shelf list) in classifications likely to contain candidates for transfer
b. examining chronological files for early imprints of particular interest and value
c. producing review lists from the online catalog based on name, title, imprint date, classification, place of publication, literary genre or subject, provenance, or other relevant elements
d. consulting bibliographies, databases, dealer catalogs/Web sites, and other reference tools.

3.1.3 Transfer candidates may also be identified during routine handling associated with the following library functions:

a. acquisitions
b. binding
c. cataloging
d. circulation and stack maintenance
e. collection surveys and assessments
f. reformatting operations (digitization, photoduplication, microreproduction)
g. gifts and exchange
h. identification of materials for off-site storage
i. interlibrary loan (Note: the scarcity of item is sometimes revealed when conducting interlibrary searches)
j. inventory and shelf reading
k. preparation of exhibitions
l. preservation
m. reference
n. retrospective conversion and/or enhancement of existing cataloging records
o. weeding

Transfer candidates may also be brought to the attention of library staff by patrons.

3.2 Review and Decision to Transfer

Not every item identified as a candidate is transferred to special collections. For example, multiple copies are reviewed carefully to determine if transfer of one or more is appropriate. Or, a candidate item may be in such poor physical condition that it cannot be stabilized using standard conservation treatment. In all cases, special collections staff, in consultation with bibliographers, subject specialists, preservation staff, or faculty, make the decision as to whether a given item merits transfer or is returned to the general collection.

3.3 Preservation Assessment

Physical changes made to an item after it was originally published will alter its value as a candidate for transfer. For this reason, the physical condition of candidate materials is assessed by preservation staff prior to the decision to transfer. It is especially important that markings, such as classification labels, not be removed or added before transfer. The preservation assessment also determines whether candidate materials require preservation treatment, including treatment by a conservator.

Once the transfer decision is made, the items are retrieved from the general collections and treated by preservation staff and/or a conservator (or outside preservation service providers) prior to their arrival in special collections. Treatments might include physical stabilization and protective housing, repairs to bindings or to torn pages, or full conservation treatment. The decision to treat, or not, is made in consultation with special collections staff.

3.4 Cataloging Review and Processing

A means must be devised to inform readers promptly when the location of an item has changed. Catalog records are updated with new locations and enhanced if necessary to provide adequate access and description in accordance with standard institutional policies and procedures. In some instances complete recataloging is desirable, but in many cases information regarding a change in location will suffice. (See Appendix I. Changing Catalog Records)

3.5 Physical Transfer to Protected Collections

Once the decision is made to transfer an item to special collections or another protected collection, it is essential that the physical transfer be completed in a timely manner and that an appropriate level of security is provided during each phase of the transfer procedure.

4.0 Transfer Criteria

The criteria for what is rare or unique is not always obvious; what is considered a special collection will vary among institutions. The transfer decision should include an evaluation of the special qualities of an item relative to the institution's collection development policies. Selection for transfer implies that all similar items in the collection (e.g., all books in original bindings printed before 1845) ought to be considered. The constraints on an effective transfer policy are familiar: the institutional mission and the resources needed to carry out that mission (personnel, space, equipment, technology, and budget). The dynamic interaction between mission and resources leads to a realistic approach and, often, compromise.

Still, in most cases a combination of general criteria will apply when evaluating an item for transfer: 1. market value; 2. age; 3. physical and intrinsic characteristics; 4. condition; 5. bibliographical and research value.

It is worth noting that the application of these criteria will be different for each institution. The following discussion of criteria is provided for general guidance and is not meant to prescribe what ought to be transferred. (See Appendix II. Sample Transfer Criteria)

4.1 Market value

Information on the market value for books and other materials located in the general collections of libraries is now easily obtained by searching the Internet. When market value is matched to the location (holdings) information in the national online bibliographic catalogs, library materials having high monetary value are identified and become vulnerable to theft. The transfer criteria will often include a threshold monetary value, an amount that the library defines as a "high" value for an item. Items located in the library's general collections with a market value at or above that threshold should be identified and considered for transfer. [NOTE 1]

4.2 Age

The longer an item survives, the more it becomes one of a decreasing number of witnesses to its own time and to the technology of its creation. Examples can range from books printed during the hand press era (c.1455-1855) to the publication of fire insurance maps (1867-1970).

However, age can be a relative factor when deciding to transfer. For example, books and other imprints from a specific geographical location, called "regional incunables," might have value if published within the first years or decades after printing was established in the locality. The ages of the regional incunables will vary: Alabama (1815-1825), Oregon (1846-1856), Pennsylvania (1685-1695), Texas (1813-1823). [NOTE 2] Mid-nineteenth-century publications might have value and scarcity if they contain illustrations incorporating early photographic processes. Recording media went through their formative stages in the early twentieth century, thus lending value to objects dating from that period. And at some institutions "early" computer games are now being preserved.

The significance of the age of an object is also relative to the development of the discipline it documents. As an example, special collections that focus on modern science or medicine will collect twentieth-century journals containing seminal articles.

Some libraries select a "trigger" date (threshold date) when reviewing materials for transfer, e.g. all items published before 1850 will be reviewed. Now that materials dating from 1900 are over a century old, it is recommended that libraries relying on pre-set review dates revisit these parameters. It is possible that compelling reasons now exist to adjust the review dates.

4.3 Physical and Intrinsic Characteristics

Library materials may have characteristics--physical and intrinsic--that make them candidates for transfer. Many of these characteristics may also make them vulnerable to mutilation or theft and, therefore, require special protection. Examples of characteristics for which there is wide, but not always general, agreement include:

1. physical characteristics related to the publication process (examples: decorated end papers, vellum, unbound plates, publisher's bindings, book jackets, extra-illustrated volumes)
2. books with significant provenance or association
3. fine printing, fine press
4. books with valuable maps or plates, especially plates with color (hand colored or produced by lithography)
5. broadsides, posters, and printed ephemera
6. local interest, local history, local authors
7. In-depth subject specific collections
8. material requiring security (examples: books in unusual formats, erotica, or materials that are difficult to replace)
9. artistic characteristics and unique structural characteristics (examples: books with moveable parts, pop-up books, books having non-standard sizes or shapes)
10. scarcity (examples: five or fewer copies reported in the national online bibliographic databases; only copy held in the geographic region)
11. limited editions, small press runs
12. custom produced books, handmade books
13. books and other objects made out of unusual materials.

4.4 Condition

When reviewing library materials for possible transfer, condition may be the most important criterion, since all other values--market, age, physical/ intrinsic, bibliographical/research--may be greatly affected by condition. Library materials that are badly worn, much repaired, or rebound should not automatically be considered for transfer unless age or other qualities of the material preempt condition as a criterion. For instance, it is now increasingly difficult for researchers to locate even representative examples of many nineteenth- and twentieth-century printing and binding processes in fine original condition. So many volumes have been rebound that the richness of the decorative art applied to the original bindings and printed endpapers is increasingly difficult to find and study. Therefore, the reviewer must consider whether to transfer less than fine copies.

A book's dustjacket frequently contains important information (e.g. text, illustrative design, and price). If it is still present on a general collection copy it should be retained when transferred.

4.5 Bibliographical and Research Value

Bibliographical and research values should not be overlooked and deserve careful consideration. Reference works and periodicals still needed for general use frequently become quite valuable. They are candidates for transfer especially if facsimile or other reprint editions are available to replace them on the open shelves. Federal, state, and local government documents have also received attention as their research (and market) value increases. Examples of government documents include: reports of scientific discoveries and exploratory expeditions, government publications containing maps or plates, ethnographic reports, and documents produced during major historical events (e.g. federal regulations for World War II internment camps).

Additional factors that may also affect bibliographical and research values are:

1. desirability to collectors and the antiquarian book trade
2. intrinsic or extrinsic evidence of censorship or repression
3. seminal nature or importance to a particular field of study or genre of literature
4. production for use by a specific group with no subsequent public distribution.

5.0 Related Transfer Option: Transfers out of Special Collections

Not infrequently, items that are not rare or do not require a high level of preservation or security are located in a special collections unit and may merit transfer into other protected areas of the library, into the general library stacks, or to a special collections unit at another institution. Examples include subject collections or donations containing a mixture of rare and non-rare materials. Changes in collecting emphasis of special collections or unanticipated space constraints may also result in a decision to transfer materials out of special collections.

In consultation with the collection development and preservation staff, it is recommended that the Head of Special Collections give final approval for materials that are deaccessioned from the special collections unit. Donor records, including existing deeds of gift, should be consulted to determine if there is an obligation for the item to remain in special collections. The impact that the transfer might have on the physical condition of the item, once it is relocated to the circulating collections, should also be considered (e.g. loss of the book jacket, added markings and stamps, damage during circulation, and possible loss or theft.)

6.0 Selected Readings

The process of developing, defining, and updating a selection and transfer policy is ongoing and complex. It requires vision and good judgment, and profits from wide and informed reading. Although there is no literature dealing with transfer per se, the following Web sites and publications may assist those charged with forming and reforming their library's policies. Several of the citations can be used to determine monetary value and scarcity. [NOTE 3] In addition to the sources listed below, there are many print and Web-based bibliographies that include reference materials for specific disciplines and topics.

6.1 Web Resources

1. Addall. http://www.addall.com/Used/
2. Antiquarian Booksellers' Association of America. http://www.abaa.org/
3. Association of College and Research Libraries (ACRL). January 2006. Guidelines for the Security of Rare Books, Manuscripts, and Other Special Collections. http://www.ala.org/ala/acrl/acrlstandards/securityrarebooks.htm.
4. Association of College and Research Libraries (ACRL). January 2003. Guidelines Regarding Thefts in Libraries. http://www.ala.org/ala/acrl/acrlstandards/guidelinesregardingthefts.htm
5. Council on Library and Information Resources. The Evidence in Hand: Report of the Task Force on the Artifact in Library Collections. Council on Library and Information Resources (CLIR), November 2001. http://www.clir.org/PUBS/reports/pub103/contents.html
6. FirstSearch (OCLC) [Note: requires paid subscription; available in most libraries.]
7. Rare Books and Manuscripts Section. Bibliographic Standards Committee. Directory of Web Resources for the Rare Materials Cataloger. http://lib.nmsu.edu/rarecat/
8. Rare Books and Manuscripts Section. Publications Committee. Your Old Books, revision 2005.2 (February 7, 2006). http://www.rbms.info/yob.shtml

6.2 Bibliography

1. Antiquarian Books, edited by Phillipa Bernard, Philadelphia: University of Pennsylvania Press, 1994.
2. Book Collecting: A Modern Guide, edited by Jean Peters, New York: R.R. Bowker, 1977.
3. G. L. Brook, Books and Book Collecting. London: Andre Deutsch, 1980.
4. John Carter, ABC for Book Collectors, Eighth edition, revised by Nicolas Barker. New Castle, De.: Oak Knoll Press, 2004.
5. John Carter, Taste and Technique in Book Collecting; with an epilogue. London: Private Libraries Assoc., 1970 (1977 printing).
6. Roderick Cave, Rare Book Librarianship, Second edition revised, New York: R.R. Bowker, 1983.
7. Philip Gaskell, A New Introduction to Bibliography. New Castle, De.: Oak Knoll Press, 1995.
8. Jean Peters, Collectible Books: Some New Paths. New York: R.R. Bowker, 1979.
9. Lawrence Clark Powell, "Rare Book Code," College & Research Libraries 10 (October, 1949): 308.
10. Standard Citation Forms for Published Bibliographies and Catalogs Used in Rare Book Cataloging, prepared by Peter VanWingen and Belinda D. Urquiza, Second edition. Washington, D.C.: Library of Congress, 1996.
11. Samuel Streit, "Transfer of Materials from General Stacks to Special Collections," Collection Management 7 (Summer 1985): 33-46.
12. Jim Walsh, Barbara Hulyk, George Barnum. Rare and Valuable Government Documents: A Resource Packet on Identification, Preservation, and Security Issues for Government Documents Collections. Chicago: Rare Books and Manuscripts Section [and] Government Documents Round Table [and] Map and Geography Round Table Joint Committee on Government Documents as Rare Books, American Library Association, 1993.

6.3 Appendices

Appendix I. Changing Catalog Records

Appendix II. Sample Transfer Criteria

ACRL Rare Books and Manuscripts Section. Task Force to Review Guidelines on the Selection and Transfer of Materials from General Collections to Special Collections (2005-2007):

Emily Epstein
Janet Gertz
Ron Lieberman
Daryl Morrison
Phyllis Payne
Andrea Rolich
Bruce Tabb
Jennifer Hain Teper
Charlotte B. Brown, Chair

Notes

1. The urgency of determining market value for selected library items has increased since the guidelines were last published. Web sales of materials stolen from general library collections have occurred. Plates, maps, and other graphic materials are also subject to theft. For additional information on the security of special collection materials, see: Association of College and Research Libraries. January 2006. Guidelines for the Security of Rare Books, Manuscripts, and Other Special Collections. Available online at http://www.ala.org/ala/acrl/acrlstandards/securityrarebooks.htm. [Accessed 19 February 2007]. For a list of publicly reported thefts of rare books and other special collections materials, see: Rare Books and Manuscripts Section, "RBMS Security Committee. Theft Reports." Available online at http://www.rbms.info/committees/ security/theft_reports/index.shtml. [Accessed 19 February 2007].
2. Roger J. Trienens, Pioneer Imprints From Fifty States. Washington, D.C.: Library of Congress, 1973.
3. Sole reliance on Web-based resources to determine scarcity and value can be mitigated by consulting rare book specialists.

Appendix I. Changing Catalog Records

Non-automated libraries may choose to:

1. annotate (or jacket) catalog cards; all cards might be treated or, less successfully, only some (e.g., main entry);
2. charge transferred items via a circulation record;
3. place a dummy in the old location to refer to the new;
4. transfer all materials published prior to a stated date (e.g., 1751 or 1801) in some or all subject classifications without record changes but with general publicity. This systematic change has been received well in some libraries.

Automated libraries:

The most efficient way to change location information in large numbers of bibliographic records in an online catalog is to group records together and edit them with one command. Each online catalog system may have its
own unique set of protocols, which are required to perform these "global" changes. The following steps are generally required:

1. identify and define the group of records to be transferred. For example, choose all records with the same author, location, date range, or call number.
2. select these records and create a file or "list."
3. complete editing of the file to change location information in each record. This should trigger the change in the public display (public online catalog) as well.
   

Often a special collections department uses multiple location designations in the online catalog for their materials. Therefore, this procedure must be repeated for each different group to be transferred from the old location to the new locations(s).

After the "global" change is completed, each bibliographic record should be examined to resolve possible conflicts in the following fields:

a. Call number conflicts

• duplicate call numbers
• different call numbers for the same title entered under editor vs title
• different call numbers for the same title cataloged under different names (e.g. pseudonym vs real name)
• different call numbers for the same title cataloged under title page title vs uniform title
• different call numbers for a single issue vs whole serial
• Library of Congress (LC) classification call number vs library's inhouse call number scheme
• different call number designation for oversize, graphic, computer files or media material

b. Name and title conflicts which may also require the creation of authority records

• pseudonym vs real name
• different forms of the same name
• uniform titles e.g. for translations
• serials title changes

c. Holdings conflicts which may require editing the item record

• monographic sets vs single volumes
• multiple copies
• serials
• editions

In addition, the cataloger may need to complete the following tasks:

• eliminate duplicate records;
• upgrade records to AACR2/DCRM;
• add special notes and access points for provenance, printers, bindings and other titles bound with the item - all according to the MARC format for rare materials;
• add notes that document where the material came from and where it was transferred to (852 (location)) or 583 (action) fields;
• record call numbers on acid free strips and add barcodes to strips;
• input a record when no record is found in the local online catalog.

Appendix II. Sample Transfer Criteria

The following is an example of transfer criteria that might be employed by a public research university library established in the mid-nineteenth century and located in the mid-west United States:

Use the following guidelines to flag books for review by the Department of Special Collections:

• books published in [name of state] prior to 1835
• books published in the U.S. prior to 1850
• items published prior to 1825
• children's books published prior to 1920
• travel books published prior to 1900
• items published in the Confederate States, 1860-1865
• items published in Africa prior to 1851
• items published in Latin American prior to 1851
• items having market value over $500.00
• items printed in editions of 100 copies or less
• publications by authors formerly residing in [name of city]

If Special Collections does not accept the item for transfer, forward the item to the subject specialist for review.