College and Research Libraries B y T H O M A S P . F L E M I N G and J O H N H . M O R I A R T Y Essentials in the Organisation of Acquisition Work in University Libraries Thomas P. Fleming is medical librarian and John H. Moriarty, general assistant, Columbia University Library. THE PURPOSE of this article is to give a brief s u m m a r y of the essential proc- esses w h i c h are involved in university ac- quisition w o r k . F u r t h e r articles w i l l treat in detail the organization and function of each process. If much that is seemingly obvious is touched upon here, it is because our experience has shown that some of the more elementary and basic principles of acquisition are frequently misunderstood, especially by those w h o hold executive posi- tions w i t h o u t h a v i n g had previous experi- ence in this specialty. T h e preparatory processes by w h i c h a book is made ready f o r the reader are t h r e e f o l d : ( i ) acquisition; ( 2 ) catalog- i n g ; and ( 3 ) book m a r k i n g a n d / o r bind- ing. In a small l i b r a r y , these activities can be done as a unified process by a single individual. In the larger libraries, w h e r e the v o l u m e of w o r k is greater, the prepara- tory activities are carried out by separate departments. H o w e v e r , this segregation of w o r k is made at a cost, f o r such division necessitates additional records and, to a certain extent, duplicate handling. T h e function of acquisition affects all depart- ments, and their w o r k in turn affects it. Since all departments of the l i b r a r y make contributions to the w o r k of acquisition, the acquisition specialist should foster and coordinate all such possible contributions. T h e function of an acquisition department is to acquire such printed or manuscript material as m a y be required to meet, not only the present, but also the f u t u r e needs of the institution w h i c h it serves. T h i s may be brought about by purchase, dona- tion or e x c h a n g e ; but each of these methods demands certain prerequisites and involves certain definite processes. A m o n g these m a y be mentioned: ( 1 ) educational policies of the institution; ( 2 ) book f u n d s ; ( 3 ) selection; ( 4 ) s e a r c h i n g ; ( 5 ) placing an order or soliciting; ( 6 ) receiving and a c c o u n t i n g ; ( 7 ) acces- sioning a n d / o r m a r k i n g to show o w n e r - ship. T h e physical layout of a department plays an important part in its effective or- ganization and function. I t w i l l be noted that the current trend in large library buildings is to have the catalog depart- ment f o l l o w the public catalog, w h e r e v e r that m a y be located, w h i l e the acquisition department is attracted to the receiving room, w h i c h is usually located on the g r o u n d floor or basement.1 A d e q u a t e pro- vision must be made f o r the receipt of mail, express and freight, as w e l l as f o r JUNE, 1940 23 7 temporary holding of shipments awaiting invoices. T h e r e should be as part of the receiving room, or adjacent to it, a size- able section of shelves to provide space for material received in quantity, which must be opened, examined and collated; g i f t s and other publications a w a i t i n g checking or decision as to their incorporation; dupli- cates awaiting final disposition and simi- lar acquisitions. A n outside loading or delivery elevator is an item of considera- tion, for many inland libraries receive shipments via carloading companies whose drivers are not required to make other than "store d o o r " deliveries. T h e office layout of an acquisition department should contain a separate office for the chief, where book agents, faculty, and staff mem- bers may be consulted privately. A d e - quate quarters and equipment should be provided for searchers, serial checkers, g i f t and exchange assistants, typists, and ac- counting clerks. Belt Line Should Be Established M a n y libraries have failed to take advantage of w h a t has been perfected in the business w o r l d in connection w i t h business organization. Conse- quently, every effort should be made to have the latest office equipment and labor- saving devices: filing cases, dictaphones, visible file serial records, electric adding machines and calculators, as w e l l as type- w r i t e r s whose age is reckoned in months, not in years. F u r t h e r , care should be exercised to see that the various processes involved in acquisition w o r k f o l l o w in their proper sequence. F r o m the time a title is considered until it is received in the catalog department, it should f o l l o w a path that does not cross itself. In other words, a belt line should be established, as in factories, where a product be- ing manufactured does not cross back upon its o w n path or crisscross that path. T h e various processes of acquisition are derived from the budget, which in turn is dependent upon the policies of an institu- tion in regard to teaching and research. T h e s e policies and the present resources of the library determine fundamentally the kind of book budget upon which acquisi- tion must depend. T h e r e are acquisition theorists w h o w o u l d allocate book funds scientifically, based upon a hierarchy or established subject fields and on the ex- pected trade output in such fields.2' 3 Such allocation may not be too unrealistic for the standard liberal arts college library, but for the specialized school and for the university it offers no assistance whatever. In universities, where the policies are de- fined, the distribution of the book f u n d follows as a logical sequence. A l l too frequently, however, institutions do not define such policies; or, if they do, the poli- cies are not carried out. O f t e n an institu- tion is faced w i t h the fact that the business school or the l a w school is its c r o w n j e w e l , and that, consequently, the book collection in such a field must be kept standard or above par, regardless of other weaknesses in the collection. W h e r e a " c r o w n j e w e l " situation exists, the director of the library and the several department heads must face it and allocate book funds accord- ingly. ( F o r a further consideration of this problem see the articles by C o n e y 4 ' 5 and v a n P a t t e n . 6 ) B u d g e t making and the distribution of funds in a university li- brary are a definite process, in which the university administrator and library ad- visers from the f a c u l t y w o r k w i t h the di- rector of libraries and the heads of his several departments. T h e selection of material is another 230 COLLEGE AND RESEARCH LIBRARIES process in w h i c h the f a c u l t y should play a v e r y l a r g e role. I n f a c t , the effectiveness of the l i b r a r y depends upon the extent to w h i c h the librarian can organize his f a c u l t y so as to use their bibliographical and spe- cialized k n o w l e d g e in building up pur- poseful collections. O n e practical device f o r this type of organization is the use of the f o r m illustrated (devised by C h a r l e s C . C O L U M B I A U N I V E R S I T Y L I B R A R Y 19 T o Please check one of the f o l l o w i n g lines to indicate your opinion as to the importance f o r the U n i v e r s i t y L i b r a r y of the publica- tion noted on the attached. C. C. Williamson Director of L i b r a r i e s • V e r y important—Immediate purchase recommended • I m p o r t a n t — P u r c h a s e recommended • F a i r l y important — P u r c h a s e recom- mended if f u n d s permit • Of slight importance—Purchase may be d e f e r r e d • Probably worthless—Not recommended • No opinion at this t i m e — W o u l d hold f o r more i n f o r m a t i o n Comment: ( S i g n e d ) W i l l i a m s o n ) , w h i c h can be attached to a book advertisement, a catalog, a book itself, or a periodical and routed w i t h it to a member of the f a c u l t y . I t is by such means that the k n o w l e d g e of a highly specialized f a c u l t y can be utilized in the acquisition of the subject material w h i c h scholars must have to do effective w o r k . T h e acquisition depart- ment can be of g r e a t assistance by c a l l i n g attention to old, as w e l l as n e w , publica- tions of possible interest to subject special- ists. I t knows, perhaps, more intimately the interests of certain of its f a c u l t y mem- bers and can, therefore, more easily cope w i t h the flood of catalogs and circulars. A l l departments n a t u r a l l y assist in the selection of material. T h e reference de- partment, through the examination of its interlibrary loan requests and its daily w o r k , is perhaps the most potent f a c t o r . T h e role of the f a c u l t y in selection is primarily confined to separates, rather than continuations and serials. O n c e the f a c u l t y has made its decision, it is not necessary that these be placed back f o r annual r e v i e w , but occasionally the f a c u l t y should be requested to make a n e w ap- praisal of all the continuation orders to see w h e t h e r they are still w o r t h y of being continued. O n c e an item has been selected f o r acquisition, either because of f a c u l t y rec- ommendation, or because of the unques- tionable importance of the material, the next process is searching. T h e mistake should not be made of considering this activity clerical. I n any large l i b r a r y the w o r k involves not merely the checking of the pending files in the acquisition depart- ment, as w e l l as the official or general catalog, but also a k n o w l e d g e of the special and often uncataloged collections inevita- ble in most large libraries. G e n e r a l l y , the k n o w l e d g e of such collections must include the ability to see their subject ramifica- tions. A searcher should realize that a collection of British history before 1 8 0 0 A.D. w i l l probably include A m e r i c a n a , but such realization is no clerical process. Some comprehension of corporate entry and a f a m i l i a r i t y w i t h series cataloging must also be possessed. T h e searching of expensive items usually involves investiga- tion as to their probable location in nearby libraries. Such a procedure w i l l avoid duplication of the more special material JUNE, 1940 23 7 which may be available within reasonable distance. A competent searcher w h o sys- tematically records the sources consulted w i l l produce data which, w h e n passed on to the catalog department, w i l l consider- ably minimize their routine. Searching has other interdepartmental values as w e l l . Because of the nature of the w o r k , the searcher becomes one of the most frequent critics of the general catalog, reporting errors in form and filing, inconsistencies and other desirable adjustments. T h e alert searcher w i l l also strengthen the col- lection by suggesting the purchase of es- sential bibliographies. T h e fact that a desired item is not in the library and that its acquisition is authorized requires further action. It is here that the unique knowledge and in- genuity of the acquisition specialist comes into play. Shall the item be purchased, begged, or sought on exchange? 7 T h e decision may be based on the nature of the material. O n e probably buys a British government annual report, begs such re- ports from A m e r i c a n government agencies, and tries to exchange one's o w n w i t h sister institutions. T h e question may be raised as to the purchase of domestic material f r o m a local bookstore or a national jobber. A problem in discounts and services arises, only to be settled in actual situations.8' 9 In handling foreign purchases particularly, a knowledge of agents' specialties, prices, and service must be built up and often relearned. A familiarity w i t h the possi- bilities of telephone, telegraph, cable, mail, freight, and ship communication is basic. Foreign orders and shipments call for more than superficial knowledge of decla- rations, consular invoices, customs brokers, importation l a w s and fluctuating foreign exchange. I t must be remembered that the book trade is a commercial w o r l d in flux, and no knowledge about it can ever be more than relative. W e do not mean to imply that such knowledge is not pos- sible and indispensable to the successful acquisition specialist, but that such knowl- edge is pragmatic, valid only in instances, and to be learned primarily in practice. P l a c i n g orders for books, dependent as it is upon an understanding of the book trade and other factors, is not to be trusted to the routine treatment given the purchas- ing of supplies for an educational institu- tion. I t must be performed by a subor- dinate under the control of the director of libraries. A c c o r d i n g to the l a w of some states, all purchases made by a tax-sup- ported institution must be placed through its duly appointed purchasing agent. L i - braries usually circumvent this by having the head of acquisitions also hold an ap- pointment as assistant purchasing agent (in charge of books). T h e order forms used by the library can readily be adapted to meet the requirements of state purchas- ing laws. A l t h o u g h order forms w i l l be treated in detail later, it must be empha- sized here that clear and concise instruc- tions to an agent may be the means of eliminating extra w o r k in the department and thereby save several hundred dollars a year. M o s t agents w i l l invoice and ship material in accordance w i t h instructions, provided these are clearly and concisely stated. Financial Records In order to keep accurate financial rec- ords, acquisition departments all too f r e - quently become involved in complicated and time-consuming accounting practices. M a n y such systems n o w in use were be- gun at a time w h e n the library had a small appropriation, and where a little extra bookkeeping enabled the librarian 232 COLLEGE AND RESEARCH LIBRARIES proudly to announce, at a moment's notice, the status of any given f u n d . Increases in their library appropriations, however, involving multiple funds and endowments, have brought little or no change in li- brary financial methods. In recent years, mechanical systems of accounting have been adopted by most universities,10 yet many librarians have refused to permit their budgets to be integrated w i t h the general university system. T h e s e librari- ans labor under the mistaken idea that control of their funds w i l l be lost if han- dled by the business office. In our opinion, the saving of staff time and the benefits accruing to the library through such inte- gration entirely outweigh any theoretical "loss of c o n t r o l . " In any event, experi- ence has strengthened our belief that the accounting and most of the financial as- pects of acquisition properly belong in the university business office.1 1 T h e receiving of material is an activity which is a continual challenge to the acquisition specialist. I t w i l l be found that the receipt of domestic orders is f a i r l y routine. Nevertheless, libraries, whose invoice procedures involve special official and governmental regulations, find that their instructions are often disregarded by the smaller bookstores. O n e frequently finds that small bookstore orders for sup- posed separates turn out to be series parts, or that special bibliographical features re- quired in a title are ignored, or a w r o n g copy delivered. Such irritations come to be expected and can be satisfactorily han- dled by routine correspondence. M u c h time and expense w i l l be saved when ordering " a n t i q u a r i a " from foreign booksellers, if explicit instructions are given to the dealers regarding the ship- ment of desired items, especially if they are bulky, and more particularly if the value is over one hundred dollars. A t the time of ordering, a customs broker and a f o r w a r d i n g agent should be specified, and notification given that consular invoices are expected to be prepared where needed. T h e accession book is the time honored method used by libraries to record volumes added to the library in the order of their receipt. F o r each item recorded, there is given a condensed description including binding, source and price. Since all this information, except binding condition, al- ready appears on the order card and order sheet, many libraries have discarded the accession book and, in its stead, use either the order card or order sheets. Still others have found it efficient to transfer source, price, and order number to the shelf list card. T h i s shelf list method is much to be desired. T h e necessity of keeping an accession book or of preserving order cards for long periods is thus eliminated. Some Special Processes W h e n an item has been passed on to the catalog department, the w o r k of ac- quisition is theoretically completed. T h e acquisition specialist is judged by his effec- tiveness w i t h f o l l o w - u p w o r k , claims, acknowledgments, and careful supervision of the vital processes outlined in this paper. A s w o u l d be expected, however, the ac- tivities of many libraries show a tendency to emphasize a specific acquisition process. O n e important university, for instance, is giving considerable time and attention to receiving through an exchange system many of its scholarly serials and checking on the whole scheme by careful cost rec- ords. 1 2 A n o t h e r university has been utilizing its favorable position in a Scandi- navian community to persuade the Scandi- navian countries to help in developing its collection of their official publications.1 3 JUNE, 1940 23 7 Still another is found to be concentrating some very logical thought on budget plan- ning, to determine how to keep its very generously endowed book fund from dis- torting the nature of its already excellent collection.14 M a n y of the trial and error methods in university acquisition work would be elim- inated if librarians, who have gained valu- able experience in solving difficult or unique acquisition problems, would con- tribute articles which present, in detail, the reasons, methods and results of their particular activities. It is our intention to follow this preliminary paper with a series of articles treating in detail the organiza- tion of various acquisition procedures. References 1. Hanley, Edna R. College and Univer- sity Library Buildings. A.L.A., 1939. pp. 24-77. 2. Falley, Eleanor W . "An Impersonal Division of the College Book Fund." Library Journal, 64:933-35, Dec. 1, 1939- 3. Moment, Gairdner. "Books and Money in Colleges." Proceedings, 31st Annual Conference, Special Libraries Associa- tion, 1939. pp. P - 1 2 1 - P - 1 2 4 . 4. Coney, Donald. "Some Unsolved Prob- lems in University Library Administra- tion." A . L . A . Bulletin 32:1041-43, Dec. 1938. 5. . "Administration of Technical Processes." In Current Issues in Li- brary Administration. University of Chicago Press, 1938. pp. 163-80. 6. van Patten, Nathan. "Buying Policies of College and University Libraries." College and Research Libraries 1:64-70, Dec. 1939. 7. Fleming, Thomas P. "Developing Li- brary Resources with Limited Funds." Library Journal, 63:137-39, Feb. 15, 1938. 8. van Patten, loc. cit. 9. Fleming. Discussion of van Patten. Op. cit., pp. 70-71. 10. Baehne, G . W., ed. Practical Applica- tions of the Punched Card Method in Colleges and Universities. Columbia University Press, 1935. 1 1 . Iben, Icko. "Relationship of the Busi- ness Office and the Library in Educa- tional Institutions." Library Journal, 64:935-38, Dec. 1, 1939. 12. Maclver, Ivander. " T h e Exchange of Publications as a Medium for the De- velopment of the Book Collection." Library Quarterly, 8:491-502, Oct. 1938. 13. Lund, E. D., McGrail, A. A., and Rus- sell, H. G . "Scandinavian Public Docu- ments: Their Acquisition, Organization and Use." In Jerome K. Wilcox and A. F. Kuhlman, eds. Public Documents, A.L.A., 1938. pp. 67-81. 14. Laing, Alexander. " T h e Future of the Library." Dartmouth College Library Bulletin, 3:35-46, June 1939. 234 COLLEGE AND RESEARCH LIBRARIES