| Gifts
to the Library General Collections
Guidelines for Processing
Yale University Library This document specifies procedures followed by the Acquisitions Department in processing gifts of monographs and serials for the Yale University Library general circulating collections. The guidelines assume that gifts may be solicited or unsolicited, may be received as single items or in bulk, and may or may not be accepted into the collections. The guidelines also assume that a solicited gift carries with it a clear and documented understanding between the donor and the library on handling procedures and that this understanding is communicated to the library units responsible for technical processing. Definitions Loose gifts. One or up to ten discrete items received by the library without solicitation and without special processing arrangements. Except in clearly documented cases, the library has no obligation to accept loose gifts into the collection. The library may process loose gifts immediately and may acknowledge such gifts before or after processing. Bulk gifts. Multiple items received from a single donor in a quantity sufficient to warrant handling as a group. Bulk gifts may or may not pertain to a single subject area. Bulk gifts may or may not be accepted en toto into the library's general collections. Bulk gifts with an estimated value under $5,000 may be processed immediately. Bulk gifts with an estimated value over $5,000 may be held for two years before processing and will not be acknowledged in detail without special arrangements. It is the responsibility of the donor to arrange for independent appraisals of value of bulk gifts. Special gifts. Multiple items received at once or over time with special processing conditions arranged between the donor and the library. Special gifts may or may not pertain to a single subject area and will be appraised for monetary value only when arranged by the donor in advance of receipt. Depending upon the needs of the donor, special gifts may or may not be acknowledged individually upon receipt. The terms governing the processing of special gifts are documented through internal memoranda exchanged between the responsible selector and the Associate University Librarian for Collection Development and Management. Initial Receipt in the Acquisitions Department The Acquisitions Librarian is responsible for receiving, logging in, and counting loose gifts, bulk gifts, and special gifts. Gifts typically arrive in the Acquisitions Department through the mail addressed to "Gift Unit/Section" or from selectors. Gifts handed across the reference desk or received in other informal ways should be placed either on the shelves in the Department designated for "Gifts Needing Acknowledgment" or "Loose Gifts" for those needing no acknowledgment. Each discrete gift must be marked with the date of receipt, the name and address of the donor, and the name of the person receiving the gift. Once donated, gifts become the property of Yale University. Regulations of the Internal Revenue Service prohibit the Library from providing donors with estimates of worth or value. Upon request, potential donors will be provided a list of individuals who appraise books. Acknowledgment The Acquisitions Librarian is responsible for the coordination of gift acknowledgments and for keeping statistics on acknowledgments completed. The Gift Workstation in the Monograph Support Team contains form letters and electronic copies of each acknowledgment letter. Separate directories of correspondence are established for each fiscal year. The Gift Workstation contains a dedicated laser printer for producing gift correspondence.
Before preparing an acknowledgment letter, search the acknowledgment letter file in the Gift Workstation by name of institution or donor for previously sent letters. The "gift" directory on the Gift Workstation contains a template for acknowledgment letter (template.wpd or johntemp.wpd). A backup copy of the template is in the disk box next to that computer. The important elements to include in the gift acknowledgment letter are:
Some donors of loose, bulk, or special gifts may require an itemized list for all the titles given in a particular shipment. In most cases, lists will be provided to the donor only after the entire gift has been received and processed. Generate a list of titles accepted into the Yale University Library collections after processing by following the special instructions (attached) for using the library's Web version of Orbis. The acknowledgment letter should include a general notation of the scope of the gift and a reference to an attached list of titles. Acknowledgment letters should be printed on a pre-printed form. Extra supplies of this form letter are located in the Acquisitions Department supply cabinet. When a letter is completed, make one copy for the gift letter file. For gifts of significant materials or from important donors, make a second copy of the acknowledgment letter and appropriate attachments and forward to the Beinecke Library. Deliver originals in the bright green folder directly to the University Librarian's Office for signature and mailing. Put the letters and envelops EXACTLY the way as the attached sample shows. Send these in batches if you can, but never hold completed acknowledgment letters for more than five working days. The form of the computer file name of the acknowledgment letters is determined as follows: [a][first 6 letters of the last name and first letter of the first name].[number of letter sent to donor in the current year][wp].
Gift Files Management The Acquisitions Librarian is responsible for overseeing the maintenance of the Library's official files of gifts. The Gift Letter File is an alphabetical arrangement of miscellaneous acknowledgment correspondence on loose gifts and any bulk gifts that carry no special processing terms. Certain libraries/units occasionally send copies of their acknowledgment letters to the Acquisitions Department for filing. File such letters in the Gift Letter File by last name of the donor. For significant gifts and important donors, send a copy of the acknowledgment letter to the Beinecke Library (Drika Purvis). A separate file should be established under the name of the donor for each bulk gift needing special handling and each special gift. Donor files contain copies of acknowledgment letters, documentation on dates and terms of acceptance, special processing instructions, copies of independent appraisals, and other appropriate documentation. At the end of a fiscal year, all the letters in the letter file are placed in a Paige Box and sent to David Henderson in Manuscripts and Archives for processing into the official records of the University Library. At the beginning of each fiscal year a new gift correspondence directory is established on the Gift Workstation. Electronic files in active directories should be backed up weekly. Loose and Bulk Gifts: Initial Processing The Order Support Team of the Acquisitions Department is responsible for initial gift processing of all routine gifts, including searching for the existence and condition of duplicate copies in the Yale University Library, and for the placement of gift volumes in the appropriate location in Review Plaza. At the time of receipt, insert a blank Gift Form in the book, date the form, and place the book on the appropriate shelf (loose gifts, bulk gifts, special gifts). Loose gifts should be searched within one week of receipt. Bulk and special gifts will be searched based upon a schedule established by the Acquisitions Librarian. Bulk and special gifts that will not be processed immediately will be placed in the Gift Cage in SML Room 3. Unprocessed gifts stored in the Gift Cage must be marked clearly with the date of receipt and the name of the donor. The default searching practice for all gifts is similar to the procedures followed for pre-order requests. The Gift Form provides clear guidance on search sources. Most gift titles with imprint dates after 1980 will be searched only in Orbis. It may be necessary to search the public or official card catalogs to verify Yale holdings. The Order Support Team Leader is responsible for guiding the extent of searching for a given title. No NTO (New Titles Online) or other databases designed for new books should be searched. Enter all search results on the Gift Form. If a gift title has an imprint date before 1970 and Yale University Library owns at least one copy, check the stacks copy or copies for physical condition and note the results on the Gift Form.
Consult the Book Distribution Guidelines and place searched material on appropriate selector shelves in the Review Plaza. If the title in hand is a continuing volume/issue of an already established gift subscription, route to the Serials Support Team for receiving. Loose and Bulk Gifts: Final Processing
Bibliographic review takes place at the discretion of the Selector. Selectors will route the book to any of the following shelves: "Discard" (if indicated on the form); "To Order Support Team" (if the selector requests additional searching); Optionally, a selector may elect to request review by one or more additional selectors. The initials of other selectors slated to review the volume and the direction to re-route should be indicated on the Gift Form and the book placed on the "To Order Support Team" shelf. The Order Support Team is responsible for the timely routing of reviewed volumes placed on the team shelves. The appropriate team will receive in Orbis the selected gifts according to the guidelines for receiving regular new materials: serials go to the Serials Support Team and monographs go to the Monograph Support Team. Once receiving work is done, all gift volumes can move directly through one of the three standard processing streams: FastCat, Priority Cataloging, or the Frontlog. If a gift title can be FastCat'd, follow established FastCat guidelines. If no acceptable cataloging copy is available, all gift volumes should be processed to the Frontlog according to established guidelines for handling new monograph acquisitions, unless specific priority cataloging instructions are provided. A selector may indicate on the Gift Form that a "negative decision" should be recorded for future reference. In these rare cases, the Serials or Monograph Support Team staff will create a provisional record with the following note in the holdings record: "Discard gift copy automatically per [Selector's initials]". The provisional record should then be suppressed from public view. Special Gifts: Initial Processing Sometimes gifts are accepted with special processing provisions (e.g., a donor might ask us to return gifts that we decide not to add to the collection). When such gifts are received in the department, it is important that clearly documented processing instructions accompany the gift. A separate file should be established for each gift with special instructions and held in the file cabinet near the Gift Workstation. To ensure that special gifts are handled appropriately, they should be processed as a batch only after the special processing procedures have been tested and approved by the Acquisitions Librarian. The Gift Form for each title carrying special processing instructions must include the name of the donor or the special name of the gift established at the time of donation.
Special Gifts: Review Procedures It is quite possible that special gifts will receive the same bibliographic review designed for loose and bulk gifts. The Acquisitions Librarian is responsible for establishing review procedures for special gifts based upon the documented terms of the gift. Special Gifts: Final Processing Claiming EARL is generated from Orbis for both gift monographs (RECUNIT 50) and gift serials (RECUNIT 51). Claiming needs to be done for these titles on a regular basis. At the beginning of each calendar year, the Order Support Team must process claims for not-yet-received Yale University Press titles based on the annual Yale University Press Catalog. Claiming of these titles should not be delayed beyond the first quarter of the year, because books go out of stock quickly. Disposition of Unneeded Gifts The Acquisitions Librarian, in concert with the Associate University Librarian for Collection Development, is responsible for managing the timely disposition of unneeded gifts to the library according to established policies and guidelines. Processed gifts that are not accepted into the Yale University Library collections are placed on the shelves labeled "Discard." Other departments/units may also place their withdrawn library materials on the discard shelves. All gifts received that are not accepted into the collections will be relocated on a regular basis to the Gift Cage in Room 3 [key!] to await final disposition. All books placed on the discard shelves that have been withdrawn from the library collections must be properly processed according the terms of the official withdrawal policy of the library. If a withdrawn book has a bar code, a security tag, or was not properly defaced, return the volume to the department/unit along with a note suggesting reference to the library's withdrawal policy. Gift discards need to be trucked down to the cage in Room 3, where they are held pending disposal according to the library's official procedures covering such matters. Each full shelf of discards in Room 3 must be clearly tagged with the date when the shelf was filled. þ Gift Statistics The Acquisitions Librarian is responsible for assembling, maintaining, reporting, and analyzing department-level statistics on gift processing. The following statistics are mandatory; optional statistics may be kept by the individual teams responsible for particular stages of gift processing. Accuracy is essential.
prepared, January 1997 revised, April 1997 last updated: May 2000
© 2006
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