The Division of Responsibility
Revised 10/14/99
To many library personnel "acquisition" is synonymous with "collection development." OSUL's pre- 1987 organizational structure of a combined Collection Development Office/Acquisition Department may have contributed to confusion regarding the division of responsibility and distinction between functions related to "selection" versus those related to "acquisition."
It is often difficult to delineate the responsibilities of each area because of the extremely close link between the two. The Collection Development Office (CDO) and the Technical Services do have distinctly different responsibilities, although they share concerns and relationships that demand that they work together closely and harmoniously. There are several areas which fall clearly within the jurisdiction of either the Associate Director for Collections or various departments in technical services. However, the majority of areas are interrelated with specific aspects of each designated to one or the other.
Policy decisions regarding acquisitions and collection development are made in consultation with the Assistant Director for Collections and the Associate Director for Technical Services as well as members of the Library Executive Committee. Two caveats are essential to this decision. First, even in areas where responsibility is clearly assigned, the OSUL's interests are best served by frequent consultation between the two areas.
Finally, the role of the collection managers and staff in the Department of Language and Area Studies (DLAS) and the Special Collections Roundtable (SCRT) cannot be overlooked. Because of their language skills or special needs, staff in DLAS and SCRT do much of their own bibliographic searching and in some cases, vendor selection. In addition, DLAS assumes a great deal of responsibility for their approval programs and assists with transliteration as needed by Technical Services.
| 1. | Budget allocation - The Assistant Director for Collections, with the approval of the Library Executive Committee, sets the allocations of funds for purchase of library materials.
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| 2. | Budget management - Once the budget is set, it becomes the Assistant Director for Technical Service's responsibility to monitor the budget and keep the Assistant Director for Collections and the Library Executive Committee informed of its status through regular written and oral reports. |
| 3. | Information requests - Requests for information concerning allocations, annual expenditures, or questionnaire completion are the responsibility of the Assistant Director for Collections acting in consultation with the appropriate collection manager. The Assistant Director for Collections will consult with the Assistant Director for Technical Services as appropriate. |
| 4. | New program fund requests - Planning for new program funds is a joint responsibility shared by the responsible academic unit, the appropriate collection manager and the Assistant Director for Collections. A collection manager should consult with the Assistant Director for Collections upon the first sign of a new program, a faculty appointment in a previously unstaffed area or the development of new curricular areas. It is extremely important that collection managers develop an awareness of such changes and notify the Assistant Director for Collections and/or the Assistant Director for Public Services. |
| 5. | Shared funding with academic departments - Efforts/initiatives to arrange shared funding with academic departments should be discussed with the Assistant Director for Collections and the Assistant Director for Technical Services before initiating such arrangements or as early in the process as possible. Once arranged, the details of the agreement and a contact person in the department should be conveyed to the Assistant Director for Technical Services. The Assistant Director for Technical Services will make arrangements for the actual transfer of funds. |
| 1. | Initiation of new plan - Because of the financial implications, requests for new plans must be reviewed first by the Assistant Director for Collections. However vendors often contact the Acquisitions Department to offer new plans and the Department plays an integral part in evaluating vendors and their plans both before and after initiation. The Acquisitions Department will convey information about new plans to the Assistant Director for Collections and appropriate collection manager, but no new book or notification slip plan will be initiated without the approval of the Assistant Director for Collections and the Head, Acquisitions Department. |
| 2. | Design of profile - Shared responsibility among the collection managers, the Assistant Director for Collections and the Head, Acquisitions Department. |
| 3. | Plan monitoring and revision - Monitoring of all approval plans is the responsibility of the Acquisitions Department. Technical problems and procedures will be dealt with and resolved by the Acquisitions Department. Profile changes with financial implications must be approved by the Assistant Director for Collections. |
| 4. | Bids, contracts, and vendors selection - Responsibility of the Acquisitions Department in consultation with the Assistant Director for Collections and the Assistant Director for Technical Services. |
| 5. | Profile interpretation for collection managers - Responsibility of the Acquisitions Department. Any requests for profile changes must be approved by the Assistant Director for Collections. |
| 6. | Referral of items not selected - Items which are not selected during the first display week will be referred by the Acquisitions Department to appropriate collection managers. All books unselected after referral will be reviewed by the Assistant Director for Collections. |
| 7. | Review of notification slips - Responsibility of the collection managers. |
| 8. | Review of books - When a collection manager is not able to review approval books, the collection manager must notify the Acquisitions Department, regarding who will act in his/her place. |
| 9. | Vendors relations - Vendor relations are the primary responsibility of the Acquisitions Department with the assistance of the Assistant Director for Collections and the Assistant Director for Technical Services when appropriate. This includes such issues as establishment of acceptable return rates, correspondence, and any direct communication with the vendor. Correspondence with Language and Area Studies vendors is a cooperative responsibility shared among the Acquisitions Department, appropriate collection managers, the Assistant Director for Collections and the Assistant Director for Technical Services. In all cases an approval plan is considered a University Libraries plan and correspondence should be coordinated prior to sending. |
| 1. | Bibliographic searching - Responsibility of the Acquisitions Department to determine library holdings and availability and to ensure that information sent to the vendor is correct. |
| 2. | Monographic price decisions - Responsibility of the collection managers. Substantial price increases received from the vendor after order are referred back to the requesting collection manager. However, materials that exceeds $500 per title must also be approved by the Head, Acquisitions Department and the Assistant Director for Collections. (This additional check is intended to prevent unintentional duplication and avoid other possible problems associated with expensive titles.) All requests for electronic resources must be approved by the Assistant Director for Collections. |
| 3. | Serial duplication - Responsibility of the Assistant Director for Collections in consultation with the Collections Advisory Council. |
| 4. | Vendors - Most of the time, the vendor's chief contact in the library is the Acquisitions Department or the Serials/Electronic Resources (S/E/R) Department. The responsibility for vendor selection, evaluation, negotiation of discounts, and maintenance of good working relationships falls primarily to the Acquisitions Department. The involvement of the Assistant Director for Collections and the Language and Area Studies collection managers in maintaining these relationships is extremely beneficial to the Libraries. |
| 1. | Establishment of new exchanges - New exchanges are added only when the material is not available for purchase. Responsibility for determining that a new exchange agreement is required falls to the S/E/R Department and the appropriate collection manager. Extensive exchange agreements, particularly those with financial implications, are rarely initiated. All negotiations and exchange agreements are the responsibility of the S/E/R Department. |
| 2. | Acceptance of gifts - Gifts without special conditions may be accepted on behalf of the Libraries by collection managers and must be reported to Friends according to the procedures outlined by Friends. The Friends of the Libraries is the official recipient of all gifts in consultation with the Assistant Director for Collections. Friends consults with the Assistant Director for Collections when large gifts or special circumstances arise. Processing arrangements are arranged in consultation with the Acquisitions Department. |
| 3. | Management and monitoring of the exchange program - Responsibility of the S/E/R Department. |
| 4. | Management and monitoring of the gift program - Joint responsibility of Friends, the Assistant Director for Collections and the Acquisitions Department. |
To further delineate the divisions of responsibility, the following sample questions have been posed. The questions are followed by the appropriate person/persons to contact.
| Contact the Assistant Director for Collections who will then inform/consult with the Assistant Director for Technical Services. |
| Contact the Assistant Director for Collections to see if the fund can be over-encumbered or if other funds are available. The Assistant Director for Collections will contact the Assistant Director for Technical Services to authorize over-encumbrance or transfer of funds. |
| Contact the Technical Services Accounting and Administration (TSAA) Department. |
| Contact the TSAA Department. |
| Contact the TSAA Department. |
| Contact the Head, Acquisitions Department or the Head, S/E/R Department. |
| Contact the Assistant Director for Collections. |
| Contact the Assistant Director for Collections first. The mechanics of payment or donation of funds must also be evaluated by the Assistant Director for Technical Services. |
| Contact the Head, Acquisitions Department first to determine how the profile is set up and whether the problem is technical or procedural. If the approval profile requires revision, the Head, Acquisitions Department will consult with the Assistant Director for Collections. |
| Contact the Assistant Director for Collections. |
| Contact the Assistant Director for Collections first. The Assistant Director for Collections will consult with the Head, Acquisitions Department regarding the new plan. |
| Contact the Acquisitions Department. |
| Contact the Acquisitions Department (mono orders) or S/E/R (serials, exchanges). |
| Contact the Acquisitions Department (mono orders) or S/E/R (serials, exchanges). |
| Contact the Head, S/E/R Department to determine if the issues can be purchased from replacement funds. |
| Collection managers may accept gifts of library materials informally so long as there are no restrictions on the disposition of the gift. Friends of the Libraries has responsibility, on behalf of the University, to act as the official gift acceptance body. No one at Ohio State may provide appraisals of materials accepted on behalf of OSU Libraries. Contact the Assistant Director for Collections for any questions (also see Gift and Exchange section in memo). |
Page last modified: 8 November 2011