Acquisitions

Library Technical Services: Operations and
Management
Acquisitions
Sara C. Heitsbu,
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TT Acquisitions
Sara C. Heitsbu
DEFINITION AND ORGANIZATION
Acquiring library materials is normally done by a unit known as

"Acquisitions," which is located in the technical processing area of
a library. It is in this unit that orders are placed and materials are
received. The other duties and responsibilities of acquisitions units
vary widely from library to library and are usually related to the
type and size of the library, the number of staff available, and type
of accounting controls mandated by the library's parent organi-
zation.
In this chapter, the term acquisitions refers to the process of
obtaining library materials after they have been selected. Information
on selection and other aspects of collection development and man-
agement will not be covered. In general, the discussion will focus on
the purchase of in-print monographs within the context of a large
library, with some discussion of the special problems related to seri-
als acquisition. The operation of both an automated department and
one with a manual system will be covered for the benefit of libraries
which may not yet have access to automation. Additionally, an under-
standing of the manual process enhances the ability to judge the use-
fulness of a particular automated acquisitions system. The business
of acquisitions is essentially the same regardless of the tools used to
accomplish that business.
LIBRARY TECHNICAL SERVICES 101 Copyright 0 1991 by Academic Press, Inc.

SECOND EDITION All rights of reproduction in any form reserved.
102 Sara C Heitsbu
Scope of Acquisitions
In its broadest sense, acquisitions includes all the tasks related to
obtaining all kinds of library materials—books, periodicals, newspa-
pers, government documents, compact disk read-only memory (CD-
ROM) services, media kits, sound recordings, and so on. In a small
library it is easy to understand the scope of these activities, since they
are usually part of the tasks of a single individual. In such a small set-
ting there is little need of elaborate procedures. However, in larger
libraries the scope of acquisitions becomes more complex, and the
tasks may be performed in more than one area of the library. For
example:
1. Accounting functions may be handled by the library business
office or by the accounting department of the parent organization.

2. Acquisitions of special material types may be done by another
section of the library—or even by another part of the institu-
tion—that provides the other services related to that type of
material (e.g., serials department, government documents divi-
sion, audiovisual center, rare book room).
3. Preorder searching may be performed by staff in collection man-
agement or by staff in a cataloging unit that also performs pre-
catalog searching.
The actual selection of library materials is rarely performed in
acquisitions units. This responsibility may rest with library staff in a
collection development or management unit, with staff in reference
areas, or with the library's primary clientele (e.g., faculty in a college
library or research scientists in a special company library).
The two basic operations performed by acquisitions staff are order-
ing and receiving. While it is true that acquisitions staff may have a
host of other responsibilities and be trained to handle a variety of
other tasks, these two tasks are their primary responsibility. A broad
definition of ordering would include the following: preorder search-
ing to prevent duplication and verify order information, producing
and sending the purchase order, claiming, recording of vendors'
reports, and handling cancellations. Receiving may begin with
unpacking shipments, and includes matching the received item
against the purchase order and the vendor invoice, communicating
with the vendor to resolve problems, approving invoices for payment,
and recording the receipt of parts of series and sets. The resolution of
statements from vendors may also be considered part of the receiving
process in some libraries.
4 Acquisitions 103
Working Relationships in the Library

The key to a smoothly functioning library is good working rela-
tionships among all of the staff and the units. Today, when automa-
tion may link every area of the library, this is even more true. The
work of acquisitions staff may become the basis for catalog records,
be viewed by public services staff and patrons, and be transmitted
electronically to vendors. In such an atmosphere of immediate com-
munication, immediate frustration is likely when communication is
incorrect, interrupted, or misunderstood. The "close, friendly work-
ing relationships with other library units and with vendors" which
Evans (1987, p. 214) called for in 1987 are more important than
ever.
Within the library there are several key relationships for acquisi-
tions staff. The first is interaction with the staff responsible for the
selection of materials. No matter how collection management is orga-
nized in a library, and there may be as many individual arrangements
for this as there are libraries, acquisitions staff must consistently and
constantly communicate with the selectors, and selectors with acqui-
sitions staff. First, adequate information must come to acquisitions
with the initial request. This and the form in which the information
is to be transmitted must be clearly delineated to selectors. Second, a
well-regulated flow of orders is the ideal, since it provides a constant
work load and ensures that funds are expended in an orderly fashion
during the fiscal year. Any change in either the flow from the selec-
tors or the flow out of acquisitions to the vendors must be immedi-
ately communicated to the staff in the other unit. A part of this con-
stant dialogue is also the prompt return of orders not placed because
the title is already in the collection and of orders not filled because
the title is no longer available.
Automation can play a key role in the interaction between selectors
and acquisitions staff. When fully implemented, an automated sys-
tem can accept order requests from any staff member with a terminal
and proper authorization. Acquisitions staff in this setting become
the chief trainers of selection staff in subject areas and in branch
libraries when it comes to the matter of order entry. The amount of
latitude given selectors in fund assignment and vendor selection may
vary a great deal. The one constant in any such arrangement remains
the content of the order request, which must be correctly tagged and
input into the system. The lines between technical services and public
services are no longer clear. The need for good interdepartmental
relations becomes more important than ever.
104 Sara C. Heitshu
The acquisitions unit of a library, which includes the accounting

function, is also responsible for providing information necessary for
the allocation of funds to the collection manager. This includes esti-
mates of ongoing obligations such as standing orders, approval plans,
serials subscriptions, and other continuations. Throughout the year
acquisitions staff must regularly communicate the encumbrance and
expenditure of funds to the collection management staff in order to
ensure the proper expenditure of funds.
In libraries where the business operations staff handle the materi-
als budget, the acquisitions unit staff must keep this staff fully
informed about the flow of orders and incoming materials and
invoices. Frequently acquisitions staff will also be charged with the
resolution of statements from vendors since the outstanding,
received, and canceled order records which they have created and
maintain are often the key to the problem.
In large libraries there may be any number of other units also
acquiring materials. In order to prevent duplication of titles as well as
duplication of effort, firm guidelines delineating responsibilities of
the units and good personal interactions are essential. Automation
has provided important assistance in this area since a shared on-order
file is possible. However, the maintenance of this file, the coded con-
tents of it, and the manipulation of it become new points of possible
contention and must be handled with care. Decisions made regarding
it must take into consideration the needs of all affected units.
In a fully integrated library system the creation of an order record
or the selection from an existing file of an order record becomes an
important point of intersection between catalog and acquisitions
staff. Here again, written guidelines for the records' contents worked
out in advance between the two areas are essential. The needs of the
cataloger are not the same as those of acquisitions staff trying to
communicate with vendors. The clarity of the information on the
purchase order as well as the form of entry and the arrangement of
the elements need to be worked out to accommodate the needs of
both units.
In the course of a typical week the staff in acquisitions will also
interact with the staff working in the area of preservation. These con-
tacts may involve gathering materials received in parts to be sent to a
commercial binder or the evaluation of materials received in disrepair
to see if they can be repaired and retained or if they must be replaced
or reformatted. Acquisitions staff who work with periodicals may be
responsible for obtaining missing issues through claiming or ordering
so that a title may be bound, and they may be responsible for record-
4 Acquisitions 105
ing the volumes bound. The automation of library records can smooth
many of these points of intersection, but it cannot replace friendly
one-on-one conversations between acquisitions and preservation staff
about the appropriate care and handling of materials.
The acquisitions staff are also the source of information about the
status of orders, the addresses of publishers, the bibliographic data
for a book of poetry from a small press, and numerous other miscel-
laneous pieces of information related to books and publishing. It is
important for the unit head to balance the amount of time which can
be given to matters not directly related to the work of the unit, espe-
cially if these questions can be answered elsewhere in the library. The
bottom line is the prompt placement of orders, receipt of materials,
and preparation of invoices. The personal interactions necessary to
perform this work well should always be kept in mind.
RELATIONSHIPS WITH VENDORS
Definition of Vendor
Vendor is defined here as the wholesaler through whom library
materials are purchased. It encompasses terms such as book dealer,
jobber, and subscription agent.
Why Use a Vendor?

Over the years the fashion in whether or not to use vendors
changes. Some librarians still believe that rush orders must be sent
direct to publishers in order to secure the fastest possible service,
while other librarians order from the publisher to net a higher dis-
count. Murray's survey indicated that dealing direct was "neither effi-
cient nor economical" for the University of Michigan Library
("Library Survey on Direct Ordering," 1978). Recently, steeply rising
prices, especially among large international scientific, technical, and
medical publishers, have caused some librarians to seriously look at
these publishers' special discount offers to libraries who deal directly
with them for subscriptions, standings orders, and firm orders. And
there are always cases where the only way to obtain a publication or
enter a subscription for a journal is by going direct to the publisher
because that publisher's policy precludes selling to wholesalers.
In the final analysis the advantages in using vendors are several.
First, a vendor provides one source for titles published by many
106 Sara C Heitshu
sources. This eliminates keeping numerous names and addresses on

file for individual publishers. Second, a vendor ships in bulk, thus
cutting down on the packages to open, the invoices to process, and
the checks to issue. Third, vendors typically assign a single individual
to a library's account so that problem solving becomes greatly simpli-
fied. And the matter of speed on rush orders is usually resolved by the
vendor's desire to accommodate a customer, provided the privilege is
not abused. Even when there is a rush service charge or smaller dis-
count on rush titles, the speed of the service offered by a competent
vendor usually exceeds that of most publishers.
Choosing a Vendor: Examining

Services Offered
Several factors determine a library's choice of vendors. First,

there are vendors who specialize in service to school libraries, medi-
cal libraries, law libraries, and science and technology libraries.
Because they offer expertise with the publishers who market to these
special areas of interest, highly focused special libraries are inclined
to select these vendors because they can most successfully deliver the
majority of the materials which such a library orders. However,
libraries with more general needs or with a wide variety of special
needs will look at other factors first. Discount, speed of order fulfill-
ment, speed and accuracy of reports, higher percentage of orders
filled in a 6-month time period, and ability to supply elusive items are
some of the things to consider. Today's automated systems add
another layer of complexity to the matter of choosing vendors. The
compatibility of a library's system and a vendors system can be all
important. Can they communicate with one another over telephone
lines in order to transmit orders and claims? Can the vendor produce
machine-readable invoices which can be loaded into the library's sys-
tem? With automation the use of a vendor can be an important labor-
saving device. True, the maintenance of elaborate name and address
files for publishers is easier with an automated acquisitions system,
but how many, if any, of these publishers can provide the kind of
automated services which many vendors now offer to libraries?
Vendors can be identified by checking the "Wholesalers" section of
Literary Market Place; through advertisements via direct mailings, in
library literature, or conference exhibits; by their sales representa-
tives who visit the library; and through contacts with other acquisi-
tions librarians.
4 Acquisitions 107
The first step in selecting a vendor is to carefully survey the services

provided. A good vendor will generally be able to supply the librarian
with a list of publishers which he or she routinely supplies and which
publishers are stocked. The vendor representative should be able to
give a comprehensive listing of services offered by the vendor and
which of these incur a service charge. Geographic location is an
important factor, since it may affect service.
North American vendors currently offer the following services,
although no single vendor provides them all (indeed, some are mutu-
ally exclusive).
1. Scope of stock and discounts: (a) maintains a stock of a certain
quantity of titles from selected publishers, designed to serve certain
types of libraries or to fulfill orders for specific subjects, and (b)

offers discounts for various categories of materials.
2. Ordering aids: (a) offers some type of electronic transfer of
order and claim information; (b) supplies slips or lists of new titles
available which may be used as the library's order; and (c) provides
postage-free, self-addressed envelopes for orders.
3. Special ordering procedures: (a) handles rush orders immedi-
ately; (b) covers prepayments without asking the library to prepay; (c)
automatically back orders titles found to be not yet published; (d)
automatically searches for titles found to be out of print; (e) forwards
to a foreign vendor orders for titles not distributed in North America;
and (f) supplies foreign imprint titles.
4. Customer service: (a) assigns to one person all aspects of han-
dling a library's account in order to provide continuity of service; (b)
makes a toll-free telephone line available; (c) allows automatic return
of books if they are unmarked; and (d) provides free credit memo
forms for use with returns.
5. Billing: (a) customizes invoices according to the library's
requirements, including machine-readable invoices which may be
loaded directly into a library's automated system; (b) clearly indicates
discounts and service charges on a title-by-title basis; (c) accepts
deposit accounts on which interest may accrue; and (d) pays shipping
costs.
6. Products providing special information: (a) special reports on
titles shipped, e.g., arranged by subject with fund and price informa-
tion; (b) regular pricing trends reports based on the mix of titles han-
dled by the vendor; (c) newsletters describing service and personnel
changes; (d) special selection tools; (e) microfiche lists of titles
108 Sara C. Hcitshu
stocked or standing orders serviced; and (f) access to vendors records

through an online database service.
7. Processing services: (a) processes books by affixing customized
book pocket, affixing call number on spine, placing protective cover
on book, and supplying catalog cards and/or machine-readable cata-
log records; (b) offers a customized mix of the above services; (c) sup-
plies special prebound editions; and (d) inserts strips or plates for
theft detection systems.
8. Special ordering plans: (a) leases books for which the library
has a short-term need; (b) automatically provides best sellers; (c)
services standing orders for sets and continuations; and (d) provides
books through an approval plan.
9. Other services: (a) offers an automated acquisitions system for
library customers; (b) manufactures some form of computer output

catalog; and (c) sells library furniture and/or library supplies.
10. Special services offered by subscription agents: (a) annually
provides a renewal list so that the library can review or automatically
continue receiving the same titles on subscription; (b) offers various
ordering schedules designed to take advantage of publisher discounts
on multiple-year subscriptions or to provide schools with 9-month
subscription terms; (c) provides online access to the library's records
in the vendors automated files and allows ordering and claiming
online; (d) offers service charge reductions for early prepayments; (e)
handles change of addresses with publishers on behalf of a library
when the "ship to" address changes; (f) requests sample issues from
publishers for libraries; (g) provides back numbers for new subscrip-
tions; (h) provides online inventory of back issues available; (i)
accepts orders for short runs, single issues, or volumes; (j) accumu-
lates issues of a subscription and sends them to a specified binder so
that the library receives a complete, bound volume; (k) receives and
checks in issues, batches them, and mails them to library with call
numbers, claims information, and current holdings data; (1) gener-
ates union lists of serials; (m) offers full MARC (machine-readable
cataloging) records for all titles handled by the vendor; and (n) offers
an automated serials control system.
Choosing a Vendor: Establishing Specifications
If the vendors services and stock match the library's needs, discuss
library ordering practices and expectations with the vendor. For firm
orders, points to cover include the following:
4 Acquisitions 109
1. Orders: (a) describe the size and format of the library's order
form. If another means of transferring order information is to be
used, i.e., electronic, discuss the technical specifications; (b) give an
estimate of the frequency of the orders sent and the average number
of titles ordered; (c) state whether one of the library's order copies is
to be returned with the book or as a report; and (d) ask whether the
vendor will provide mailing labels or self-addressed envelopes for the
library's orders.
2. Order processing: (a) determine whether rush orders will be han-
dled more rapidly than other orders and, if so, whether discounts
apply to rush orders or will there be service charges; (b) if an edition
is available in both cloth and paper ask whether the vendor can sup-
ply the edition preferred, even if the preference is not stated on the
order itself; and (c) specify by what amount above the quoted price
for a title the library is willing to pay without having the order
returned for clarification.
3. Shipments: determine (a) through what carriers shipments may
be made and state the library's preference; (b) whether the cartons
will be numbered ("1 of 5," etc.) if there is more than one package in
a shipment; (c) whether the invoice is to be included in the carton or
mailed separately; (d) where the packing list or invoice will be found
in the shipment (i.e., in the first box or in an envelope taped to the
box); and (e) if a copy of the order is to be sent with the book, where
it should be placed—in the book, attached to the invoice, or
appended in some other way.
4. Invoices: determine (a) how many copies of the invoice are
needed or, in an automated environment, whether the invoice can be
provided on tape or transmitted online to the library's system; (b)
what information should be provided for each title (e.g., author, title,
purchase order number, fund); (c) in what order the invoice items
should be listed (i.e., alphabetically by title or author, in purchase
order number sequence, grouped by fund); and (d) describe any spe-
cial invoicing needs (e.g., billing items for only one fund per invoice,
double spacing between invoice items, requiring a definite dollar
limit per invoice).
5. Billing: (a) determine what discount the vendor offers for trade
books, scientific and technical books, reprints, and juvenile books,
and which are no-discount items; (b) ask whether there are any ser-
vice charges; (c) if the vendor does not pay for shipping, determine
whether the shipping will be charged separately or is included in the
cost of the book; (d) inform the vendor not to charge tax if the library
has tax-exempt status; and (e) ask whether the vendor has a method
Sara C. Htitshu
no
for handling vouchers efficiently if the library requires a voucher for
each order.
6. Returns and problems: determine (a) under what circumstances
a title may be returned for credit; (b) whether separate permission is
required for each case; (c) whether the vendor provides credit memos
that the library can prepare; and (d) whether the vendor has a toll-
free number for customers to call in order to ask questions and solve
problems.
7. Reports and cancellations: determine (a) under what circum-
stances the vendor sends reports and in what format; (b) whether he
or she will regularly produce a list stating the status of all outstand-
ing orders which can reduce the need for claims and, if so, how the
list should be arranged (e.g., by title, by fund); and (c) whether the
vendor should cancel an order automatically if it has not been filled

and, if so, when.
If the vendor can meet the library's specific requirements, ask that
he or she confirm them in a letter to the acquisitions librarian. If
such a letter is not forthcoming, the librarian should write his or her
understanding of the terms and send them to the vendor for confir-
mation. Establish a trial period and begin sending orders.
Continued communication is essential. Throughout the trial period
tell the vendor what the problems are as soon as they arise and seek
solutions that are acceptable to both parties. Allow enough time for
the proposed solution to take effect. Consider using the vendor on a
more permanent basis if he! or she performs well during the trial
period.
If problems with a proven vendor appear, let the vendor know
immediately. Perhaps procedures have been altered, new staff hired,
or there is a local strike. He or she may never know there is a problem
for a given library unless informed of it.
Vendor Performance Standards

For more than 30 years committees of the American Library Asso-
ciation (ALA) have issued documents outlining what librarians and
booksellers may expect from one another. They include guidelines for
fair practice; for ordering monographs, serials, and microforms. A
subcommittee of the ALA Resources and Technical Services Division,
the Resources Section's Collection Management and Development
Committee, and the Acquisitions Committee published a Guide to
Performance Evaluation of Library Materials Vendors in 1988 (see
4 Acquisitions 111
American Library Association, 1988). This small publication is

invaluable in advising librarians on the points of vendor performance
which can and should be measured and how to go about making
those measurements. Simple statistical methods are explained and
demonstrated. The emphasis is on rational data gathering and not
concentrating on one error and bad incident in the evaluation of a
vendor's service. For a published example of a vendor study see Miller
and Niemeir (1987).
Bids
Some institutions require that their libraries get bids for library
materials to ensure that the library will get the most for its money. In
his 1974 study, Boyer found that the statewide contracts for library
materials frequently require that the staff expend far more time than
the resulting discounts can justify. A librarian selects a vendor for the
service provided as well as for the discount offered. Melcher (1971) and
Osborn (1980) agree that discount alone is emphasized and service suf-
fers in a bid situation. If a bid situation is required, the acquisitions
librarian should request that the institution arrive at a list of approved
vendors, rather than having an entire contract awarded to a single ven-
dor. This provides the institution with a method of doing business with
reliable vendors, yet it allows the acquisitions librarian to use different
vendors according to the services as well as the discounts they offer.
Vendor Relations Recapped

The issue of vendor library relations has been much discussed in
the last decade. At the Sixth Charleston Conference on Issues in Book
and Serial Acquisitions, which was held in 1986, much time was
devoted to reexamining the interrelationships among librarians, pub-
lishers, and vendors. The need for open, honest dialog about the
needs and constraints on all sides is essential. At the conference Dole
(1987) said, "act professionally and ethically," a message intended for
all parties in the library acquisitions business.
RECORDS AND FILES
In this section manual and automated records and files will be cov-
ered. The basic purpose of the records and files, no matter what their
form, is to provide a useful history of the order, receipt, and payment
112 Sara C. Heitshu
of library materials. Library staff use the files to search, receive,

resolve problems, and locate materials in process.
In a manual system, when deciding which acquisitions records and
files to maintain, the basic premise is to use the least number possi-
ble. That premise should be followed with the caveat that one must
have enough information to accurately acquire what is needed as effi-
ciently and as rapidly as possible. If a file is rarely accessed or if its
information is available in another source, do away with it. Remem-
ber that each file adds to acquisitions costs in terms of the staff time
taken to maintain that file.
In an automated system the concept of file maintenance is
changed, but the principle of simplicity is still important. With the
possibilities of so many data which can be kept with each order, there
is the temptation to plan for every conceivable situation for which

data might be gathered. It is as important to manage an automated
database as it is to maintain manual files in good working order.
Working with the library's automated systems staff, guidelines for the
size of the files, the amount of data to be kept online, and a schedule
for the purging of files need to be established.
The Purchase Order

The key acquisitions record is the purchase order, the official
library message transmitted to the vendor that requests a certain
number of copies of a specific title. Over the years the format of the
order has varied from handwritten lists, to typed slips, then magnetic
tape, and finally to library terminal to vendor computer transmission.
Customarily, the library assigns a number to each order issued so that
both the vendor and the library can easily identify that order in future
communications. Sometimes this purchase order number identifies a
list of many titles being ordered, but usually it identifies one title
only. The latter method should be preferred because the multiple
titles on a list are rarely shipped, reported on, claimed, or canceled as
a group.
The purchase order should include enough information so that the
vendor can supply the title wanted. Ideally, the international standard
book number (ISBN) for the edition desired, the title, the number of
copies wanted, and the shipping address should be sufficient.
Although the ISBN for the edition should be enough identification, it
is wise to include the imprint and edition information as well. Fre-
quently, the author information supplied by a library, especially if it is
a corporate author or conference name, is superfluous and therefore
4 Acquisitions 113
confusing for the vendor. This confusion may be unavoidable if the

order information also serves as the basis for catalog records.
Libraries holding membership in one of the bibliographic utilities
such as OCLC (Online Computer Library Center, Inc.), RLIN (the
Research Libraries Information Network), or WLN (the Western
Library Network) may wish to use a printout of the bibliographic
record as their order, adding a purchase order number and highlight-
ing the information which the vendor needs. Be sure that the vendor
is willing to deal with these awkward-sized pieces of paper before
electing this method of order preparation.
Libraries with automated acquisitions systems, either stand-alone
or as part of a larger integrated system, will be limited by the desig-
nated fields available in the system which they use. Many systems
allow for links between the local system and a terminal on the
library's bibliographic utility. Bibliographic data may be passed from
the utility directly into the acquisitions record. This saves a great deal
of keyboarding for libraries who order many in-print United States
imprints.
Standards for order transmission have been developed by the
National Information Standards Organization (NISO, 1982, 1985,
1987), which is accredited by the American National Standards Insti-
tute to develop voluntary technical standards for libraries, informa-
tion sciences, and publishing. There is a standard for single titles
(Z39.30-1982) and one for multiple titles (Z39.52-1987) which should
be followed if a library has an opportunity to design a new form. In
addition, NISO has developed a standard for computerized book
ordering (Z39.49-1985) and a standard for computerized serials
orders, claims, cancellations, and acknowledgments (Z39.55-199x) is
expected to be finalized in 1991. No matter what format is used for
the order, it must clearly communicate to the vendor the item
required, how many copies are needed, and where it is to be shipped
and billed.
Manual Files
The basis of manual acquisitions files is the order request, which
must be reproduced in multiple copies in order to create the files and
signals needed to retrieve the record, encumber and expend the
funds, and allow the title to be found in process. In a typical paper
system a five-part order form might be dispersed as follows: (1) Copy
1 is sent to the vendor, who will return it as a report or with the book.
(2) Copy 2 is filed in the on-order-in-process file until the book is
114 Sara C. Heitshu
received. (3) Copy 3 is filed with copy 2 in the on-order-in-process file

and left there until cataloging is finished with the book. This copy
prevents duplication during the in-process phase of the book's jour-
ney through technical processing and to the shelf. (4) Copy 4 is the
financial record, which signals the accountant to encumber funds if
this is being done in the manual system; copy 4 is then filed by fund.
(5) Copy 5 is filed by purchase order number. Libraries select either
copy 3 or copy 5 as the place to record claiming information, reports,
and problems such as "defective book returned for replacement."
After considering the labor necessary to maintain such a system it is
easy to see why acquisitions was an early candidate for library
automation.
On-Order-in-Process Files
The most important file in the manual acquisitions system is the
on-order-in-process file, which indicates which orders are outstanding
and which have been received but are not yet cataloged. There are a
variety of ways to organize these files, and it is probably most effi-
cient to use a single file sequence rather than create two separate
files. Some libraries are very committed to public access to order
information and may use the public catalog as the on-order-in-pro-
cess file and a smaller file in the acquisitions area filed in purchase
order number sequence to receive, claim, and record reports. This
system prevents duplication and gives the public useful information,
but it can also increase the requests for rush cataloging. The slip in
the public catalog is finally pulled when the filer puts in the perma-
nent card. Whether a private or public file, on-order-in-process files
are usually arranged alphabetically by either title or main entry. Title
arrangement is preferred because titles change less frequently than
do various individuals' interpretations of what constitutes a main
entry.
Financial Files
Encumbered and expended files. Commonsense accounting as well
as institutionally mandated records dictate keeping track of each
annual cycle. This includes not only the materials budget allocations
and expenditures but also the encumbrances—the amount of money
committed to be spent, but not yet spent. By having such data, the
accounting staff can provide up-to-date budget information for the
acquisitions and collection management staff, thus making it easier
4 Acquisitions 115
for them to plan the flow of order requests. Frequently, libraries with
manual systems maintain an encumbered file and an expended file;
each file is composed of copies of the purchase order that are
arranged by fund and within each fund by purchase order number.
When an order is placed, this financial copy of the purchase order is
entered in the ledger in order to keep a running total of commit-
ments; it is then filed into the encumbered file. When the item is
received, the amount of original encumbrance is subtracted from the
encumbered column; and the actual amount spent on the title is
added to the expenditure column. The financial slip is removed from
the encumbered file and inserted into the expended file. Since this
one slip per title fund record is very cumbersome, some libraries may
find that they can function well without retaining these slips. How-
ever, in the very high inflationary climate of the last few years, the
most prudent librarians closely track encumbrances as well as expen-
ditures in order to stay within the budget. Furthermore, such files
provide a clear record of what titles were purchased on each fund.
Invoice files. In order to determine that an invoice has been paid,

the library retains a copy of the invoice and files it alphabetically by
vendor name into an invoice file that contains all other paid invoices
for the current fiscal year. All of the invoices of a given vendor are
arranged either by invoice number or invoice data or by date paid.
Occasionally, in large institutions, the invoice files are divided by sec-
tions that correspond to the organizational units that process the
invoices (e.g., monograph orders, serials, binding). A single alphabet-
ical arrangement is simpler because some vendors bill titles for sev-
eral departments on one invoice; staff members consulting one sec-
tion of the file may overlook the copy of a pertinent invoice filed in
another section. The library's parent organization may also keep
invoice files if a central office prepares the checks to pay library ven-
dors. It is important to know exactly what the library's obligation is to
maintain invoice files and how long they must be kept.
Files for Serials and Standing Orders

Titles that are published in parts over a period of time require a
unique set of records for adequate control. Data that should be cap-
tured in these files include the following:
1. Basic information: bibliographic description, vendor, descrip-
tion of initial order (when placed, purchase order number, fund,
location, and routing information).
116 Sara C. Heitshu
2. Check-in information: numbers or, if unnumbered, abbreviated

titles of parts received.
3. Financial information: what was paid for, when it was paid, and
on what invoice it was paid (identified by invoice number and/or
date).
4. Claiming information: what part was claimed, when it was
claimed, and the vendor's report.
5. Binding information: what parts were sent to the bindery, when
they were sent, when bound volume was received.
There are a number of methods and forms which can be used for
recording this information. Brown and Smith (1980) and Osborn
(1980) offer examples.
Correspondence Files
At one time correspondence files of various types, including claims
letters, queries about payments and invoices, and letters about prob-
lems in shipments, standing orders, damaged books, and so on, were
common in acquisitions. It is still mandatory to keep correspondence
that establishes working agreements for the life of these agreements,
but spoken and electronic communication has replaced written com-
munication even in acquisitions units that are not using automated
systems. A toll-free telephone number is available from nearly all
North American vendors, and even when it is not, libraries have
found that staff time is used more effectively making a long-distance
phone call than in writing a letter. Some vendors have online systems
on which their clients may relay claims and leave messages about
shipment and invoice problems using electronic mail. The weakness
in these new methods of communication is the lack of a paper trail of
the transaction. Staff should keep notes on telephone conversations
and electronic mail communications which require action from the
vendor in the on-order-in-process file and/or in a "tickler" file so that
follow-up is possible.
When paper is still needed to communicate with vendors, a library
should create standard forms which cover the majority of the prob-
lems and questions encountered. The use of these forms can be noted
in the on-order-in-process file, e.g., claimed 7-7-90, so that paper
copies need not be filed. If correspondence about a problem with a
particular title must be kept, it is preferable to file it by vendor and
then by title.
4 Acquisitions 117
If a library is involved in exchange agreements with other libraries

around the world, the correspondence establishing the agreements
may be the responsibility of the acquisitions staff. The arrangement
of these files is usually alphabetically by country, within each country
alphabetically by city, and within each city alphabetically by institu-
tion.
Some libraries choose to retain information pertaining to the orig-
inal request, i.e., publishers blurbs, faculty requests, the original
order request forms with searching notes. This information can be
very useful for problem solving. There are many ways to arrange the
material—by vendor, by title, by date of order, or some combination
of these elements. Using a date order as one component allows the
files to be easily weeded after a set period of time has passed.
Correspondence files are a record of vendor performance, of

course. A sudden ballooning of the paper filed under one particular
vendor can alert staff from several areas of the acquisitions depart-
ment to a problem which might go unnoticed without the file. Cor-
respondence files can also be kept and analyzed as part of a formal
vendor performance study. Staff time, space available, and the type
of acquisitions system used are all factors to be considered in setting
up correspondence files. If time and space are very limited, the deci-
sion may be to do the minimum, especially if an automated system
is in use.
Automated Files
An automated acquisitions system offers files which are very simi-
lar in content and purpose to the manual files which they replace. A
system may stand alone for the sole purpose of supporting the acqui-
sitions process, or it may be part of a larger, integrated library sys-
tem. Either way, the core component of the acquisitions system is the
file of bibliographic records representing the items on order, in pro-
cess, on standing order, or expected on subscription. Access to this
file is usually possible in a variety of ways—title, author, series, ISBN,
or ISSN (international standard serials number). Since this file is a
basic library tool, searching it is usually an activity open to all staff
and, if public terminals are available, all patrons. Various codes indi-
cate the status of the order—on order, received, claimed, and so on.
The work of entering bibliographic information to create purchase
orders, claiming titles not received, and receiving titles is usually lim-
ited to designated staff in acquisitions who have special authoriza-
118 Sara C. Heitshu
tions which allow them to maintain the file. The act of entering an
order, including the price the library expects to pay, automatically
adjusts the funds to show the encumbrance. However, staff who do
order entry are generally not authorized to enter the fund accounts
directly. Only the staff responsible for the accounting functions have
authorizations which allow them to adjust the financial files by enter-
ing invoice payment information.
Other files exist in an acquisitions system to support the main file.
These include a vendor name and address file, location code file, fund
name code file, material type file, and order type file. Access to these
files is also carefully controlled since the integrity of the system
depends on the stability of the code system. Acquisitions systems in
large libraries are frequently used in several library departments and

must be managed cooperatively.
Special searching techniques allow librarians to prepare special
lists based on the acquisitions files—French books received in the
past month, books paid for on the American history fund, books
received from a particular vendor in the last month. Such informa-
tion can be used to study collection management, to inform faculty of
new receipts, and to study a vendor's performance.
The fund files allow up-to-the-minute review of the status of the
acquisitions budget. Records of expenditures on materials in many
formats paid for on many funds can be generated. These are excellent
collection management tools and provide the library administration
with detailed local information on how the materials budget is used.
This information can be important in defending the library's need for
budget increases.
Serial check-in files include the same basic information as a man-
ual serial file although the display of these data may be very different
from the traditional check-in card. Because most automated systems
allow for some kind of automatic claiming, additional data regarding
the length of time expected between the arrival of pieces must be
entered. Since serials rarely behave in a totally predictable manner,
automated records provide extra flexibility, such as alternative title
fields which can assist in locating records. Indeed, automation has
done a great deal to assist in the processing of serials, e.g., labels
automatically printed upon check in, review of the file on a regular
and rapid basis for claiming and binding with slips or forms auto-
matically produced, and it has been invaluable in providing immedi-
ate access to information about new receipts, binding, and claiming
wherever a terminal is located, thus assisting in dispelling the "serials
mystique" among public services staff.
4 Acquisitions 119
ORDERING PROCEDURES
Basic ordering procedures occur in all libraries, but the degree of

detail involved with each depends on the specific needs of that
library.
Receive the Order Request
Requests to purchase materials come into acquisitions in many

forms. The library may have a formal order request form which is
used by staff and patrons, but many requests also come in the form
of a letter, a phone call, a publisher's advertisement or catalog with
requested titles marked. In an automated environment a request may
be input into the system at remote locations after searching to be
coded and sent to a vendor by acquisitions staff. When paper is used,
a form is easier, for the acquisitions staff since it standardizes the
information and the method in which it is organized, thus facilitating
searching and order preparation or inputting. In systems which are
still manual, requests received in ways other than on a standard
request form may be transcribed onto a form by the acquisitions staff
to facilitate searching, since the forms can be arranged and rear-
ranged to accommodate the checking of manual files.
No matter what the person submitting the order request uses, he or
she should be encouraged to also include either the original source of
the information if it is a publisher's advertisement or a citation to the
source, e.g., a book review in a journal. Acquisitions staff will fre-
quently find such documentation provides important ordering infor-
mation or additional bibliographic detail that was not included on
the request form itself. The person submitting the request form
should also be encouraged to indicate any library files that have
already been checked, especially if this person is a member of the
library staff. Such notation will keep acquisition staff from repeating
that work.
It may be important to know when an order was submitted to the
acquisitions area. This is especially true when an irate patron wants
to know why a book has not arrived. If this is important, each order
request should be stamped with the date received. Automated sys-
tems solve this problem by assigning the date entered to each record
as it is input.
120 Sara C. Heitsbu
Search and Verify

Acquisitions staff must search the library's holdings records to be
sure that the title requested is not already in the collection, on order,
or received but not cataloged (the process known as searching); and
they must determine that the title is indeed available and that its bib-
liographic description is correct (the process known as verification).
These two processes are usually thoroughly intertwined, especially in
the increasingly automated environment which exists in many
libraries today.
Searching the Library's Records

The classical searching procedure includes checking each title

against the catalog, the on-order-in-process file, and pertinent ancil-
lary listings, such as the serials or standing order record if the item is
an ongoing one.
More and more libraries have access to one of the bibliographic
utilities and use these enormous databases to determine whether or
not a title is already held by the library. If it is not held, but is found
in the database, the verification process is also accomplished. Online
catalogs with or without an integrated acquisitions system also aid
enormously in the searching process. However, the acquisitions staff
must be well aware of the date range for which they may expect to
find a machine-readable record and/or the completeness of their
library's record conversion for the online catalog. If a title falls out-
side of the date range of the work in these two files, it must also be
checked in the card catalog. If the title is found to be part of a series
for which the library has a standing order, the order request should
signal a review of this series to see if a claim should be generated. In
either manual or automated acquisitions procedures, it is a matter of
judgment as to when to search the on-order-in-process file. The act of
adding the new title to the file either by inputting it or filing the slip
may be a sufficient check. However, if the number of duplicates
found outweighs the amount of effort required to check every title
against the on-order-in-process file, each title should be checked
before its purchase order is produced. In automated systems this
need will be affected by the duplicate checking mechanisms which
are built into the system.
Occasionally, information found when searching the catalog
requires further decisions in the selection process. If the library has a
4 Acquisitions 121
different edition of a work, should an order be placed for another? If

the order duplicates a title in the collection, should a second copy be
ordered for another location? If the order is for Volume 3 of a set and
the library does not have any of the set, should Volumes 1 and 2 be
ordered as well? If acquisitions staff do not have the authority to
make such decisions, the order involved should be referred to those
who do.
If an online catalog which represents all of the library's collections
does not exist, care must be taken to check all of the library's hold-
ings. If the order request is for a document, and if the documents are
not included in the card catalog or are not yet in the online catalog,
the order should be referred to the documents area. The distinctions
become blurred when dealing with commercially marketed microre-
productions of documents with a unique bibliographic identity, with

titles which may be sets or may be serials or with CD-ROMs which
may be either monographic or serial in nature. Good working rela-
tionships with other units involved in acquisitions and mutually
agreed on guidelines delineating which area searches and orders
which types of materials are essential when dealing with the complex
materials requirements of libraries today.
Verifying Bibliographic Information

If a title is new, has it really been published? If a title is older, is it
still in print? In the past there have been many tools available to
determine this information, and today there are even more sources.
The important point in verification is to determine what is absolutely
necessary for smooth operations and what is possible given staffing
and time available. Past practice has been to search to the "bitter
end," as described by Fristoe (1966), but such labor-intensive activity
is not cost effective in today's libraries.
The acquisitions librarian must determine how much verification
is enough but not too much for the needs of the library. The presence
of an automated system will also seriously affect the type of search-
ing done and the data gathered. In the typical integrated system, the
order record becomes the basis for the catalog record. The searching
staff in acquisitions thus become part of the precatalog process and
must be aware of cataloging standards as they search the biblio-
graphic utility for a record. Phelps (1988) describes the relationship
between preorder and precatalog searching in the context of an inte-
grated library system and reorganization which resulted in increased
122 Sara C. Hcitshu
productivity in cataloging in his library. Other reports which might

be of help in analyzing search and verification processes are those of
Neikirk (1981), Groot (1981), and Reid (1985).
Verification Tools
Verification tools are used to answer three primary questions: (1)

Does the title exist? (2) How much does it cost? (3) Is it still in print?
Does the title exist? If a library holds membership in a biblio-

graphic utility, the first step its acquisitions staff should take to
answer this question is to see if the title is included in the utility's
database. Finding a title in the database does not always mean that
the title has indeed been published. Through the Library of Congress
Cataloging in Publication (CIP) Program, titles are cataloged prior to
publication from galley proofs or from title pages and tables of con-
tents. The CIP record may be prepared as long as 24 months ahead of
the title's actual publication, although 3-6 months is a more usual
time frame. A CIP record can be recognized by the fact that its bibli-
ographic description lacks collation information, by its encoding
level in the database, and by the expected date of publication in the
MARC 263 field. By checking the number of libraries that have used
the database record for cataloging, it is possible to make an educated
guess as to whether the CIP title is indeed published. If the Library of
Congress (LC) is reflected as the only location, the title is most likely
still in press. Even though there are one or two locations other than
LC, the book may not be published; some libraries, especially public
libraries, strive to have the cataloging done in advance of receiving a
title in order to make it available almost as soon as it is received.
The time-honored tool used to verify a titles existence is the
national bibliography. However, as the bibliographic utilities have
grown to include more and more titles, including many older ones
added through retrospective conversion programs, they have virtually
replaced the National Union Catalog (NUC) in United States libraries
as the basic verification source. The National Union Catalog, Pre-1956
Imprints (1968-1980), known as Mansell (the publisher), is still use-
ful for searching older materials, but the need for searching the NUC
and its numerous supplements is gone. The Library of Congress pro-
vides a tape service of its machine-readable cataloging to which all of
the bibliographic utilities subscribe. These records plus the new
4 Acquisitions 123
records added daily by member libraries as they do original cata-
loging make the bibliographic databases available to searchers in the
1990s incredibly rich resources. Some libraries which regularly use
one utility for cataloging also subscribe to another one for search
purposes. The new EPIC service offered by OCLC gives searchers,
frustrated by the limited search keys of the old OCLC system, new
ways to find records for difficult titles such as conference proceed-
ings, serials, and government documents.
How much does it cost? The price information provided by the

acquisitions staff along with the bibliographic information for a title
to be ordered should generally be accepted if the title's imprint date is
for the current year or immediate past 2 years. If the price is not sup-
plied, a knowledgeable staff member familiar with the prices of mate-
rials generally purchased by the library can estimate the price, or the
appropriate books in print for the country of publication can be
checked. Other sources of prices include serials vendors' catalogs and
vendors' online databases.
The R. R. Bowker Company of New York publishes a spectrum of
works that list in-print and forthcoming trade titles published in or
exclusively distributed in the United States. The annual Books in
Print (BIP) provides access by author, title, and subject and a list of
publishers and distributors with their addresses. Forthcoming Books
is a bimonthly cumulation of the forthcoming titles and titles pub-
lished since the previous July. Paperbound Books in Print lists in-print
and forthcoming paper trade and paper text editions. The Publishers
Trade List Annual (PTLA) is a massive collection of catalogs and other
data on publisher output issued annually. Bowker's newest product is
Books in Print Plus, a CD-ROM version of the paper titles, which is
now updated six times a year. The subscription plus the cost of the
hardware necessary to run it represent a substantial sum of money,
but for a library which uses BIP heavily, the time saved may well be
worth the investment.
Is it still in print? If the imprint date for a title is more than 3 years
old, acquisitions staff should check the current Books in Print for the
country in which the title was published, even if the price is already
included in the order information. The purpose of such a check is
twofold: It verifies that the title is still available, and it establishes the
current price.
124 Sara C. Heitshu
Preventing Duplication of Procedures

and Materials
In order to provide the most efficient search process possible it is
important to keep several things in mind:
1. Work with library selectors to codify when and how much they
will search and how the data they gather will be communicated to the
acquisitions staff.
2. Determine guidelines for record selection in concert with the cat-
alog staff.
3. Record search information so that if the order is held because it
is not yet published or expected on approval, it does not need to be
completely researched the next time it is handled. Record informa-
tion about the titles relationship to other editions or copies of the

same title in the collection for cataloging staff.
4. If, during the verification procedure, the author or title of a
requested work is found to be incorrect, research the library holdings
records under the correct information. Serials or standing order
records should be checked for each item discovered to be an ongoing
title or part of a series.
Placing the Order

A library should use the most convenient ordering method in rela-
tion to its acquisitions system. This may be a typed order, a printer-
generated order, a terminal-to-terminal transmission, a checked list,
or a phone call. Whatever method is used should be documented as a
standard procedure, and proper authorization to order should be
clearly delegated. It is not considered good practice by fiscal auditors
to use the same staff to order and receive although this is often
impossible to avoid in acquisitions departments with a small number
of staff.
Receiving the Book

When the order is received,
1. Unpack the carton. Keep together a shipment that arrives in
more than one carton. Match the books with the invoice or, in the
absence of an invoice, with the packing list. If there is no invoice or
packing list, save the package label; it might later provide clues as to
who placed the order.
4 Acquisitions 125
2. Retrieve the order record. Call it up on a terminal, look it up in
the computer printout, or pull it from the on-order-in-process file.
3. Check the book against the invoice and the order. Make sure that
the title ordered is the title received and verify that the cost billed is
correct.
4. Resolve any problem. Communicate with the vendor concerning
an incomplete shipment, incorrect book received, or erroneous
billing. Recheck library holdings records if author and/or title infor-
mation used in ordering was incorrect or if the item is now found to
be part of a series or a set. Some vendors will allow return of dupli-
cates if the books are still unmarked and if the library does not abuse
the privilege.
5. Approve the invoice for payment. Any invoice adjustments must
be explained to the vendor so that credit may be issued and reflected

on the vendor's statement of the library's account.
6. Process the book. Add theft detection devices or barcodes if nec-
essary. Insert special processing flags (such as a rush streamer) for the
catalogers or bindery staff. Forward the book to the appropriate area.
Claiming Titles Not Received

If the title ordered has not arrived after an established length of
time (e.g., 3 months for domestic titles, 4 months for foreign titles),
and if the vendor has not sent a report to explain why, send a claim
notice asking for the status of the order. The claim notice may be a
form letter generated by computer or a copy of the order slip with an
attached explanation. No matter what kind of printed notice is used
it should be clearly marked "CLAIM" in bold letters to prevent the
dealer from treating it as a second order.
As reports are received from the dealer, they should be recorded in
a location that is automatically checked at the beginning of the claim-
ing process. Reports that indicate that the vendor cannot supply a
title but that it is available elsewhere should cause the order to be
rerouted to the suggested source. Reports that indicate that a title is
no longer in print should be reviewed to see if they should be put
through the out-of-print process.
Cancel Orders for Titles Not Received

Orders that have been outstanding for more than a year should be
canceled in order to keep the financial encumbrance records viable.
When canceling, remove the title's entry from the on-order-in-process
Sara C. Heitshu
126
file and the financial posting from the fund records. Keep a cancella-
tion record that explains when and why the item was canceled.
Return the original order request, along with the reason for cancella-
tion to the person who submitted the order.
Throughout the entire ordering procedure it is important to estab-
lish and document routines which are economical, yet detailed
enough to assure that the library materials ordered are indeed the
library materials received.
OTHER MEANS OF PROCUREMENT

This section describes methods by which a library can obtain mate-
rials other than by sending firm orders, e.g., orders for a specific
book or journal title believed to be readily available, to a vendor.
Subscriptions and Standing Orders

There are two types of orders which can be placed for the first part
and all future parts of a title on a "til forbid" basis—that is, until the
library notifies the vendor that it no longer wishes to receive future
parts. Subscriptions is the term used to describe such an order for a
serial title (an ongoing publication with no end in sight). Serial sub-
scriptions are handled by vendors called subscription agents. There
are many types of serials and vendors may further specialize by type
or by subject matter of serials. The ALA directory entitled Interna-
tional Subscription Agents (Buckeye, 1978) is a good, but old, source
for agents' names, addresses, and specialities. In order to ensure cur-
rency, check listings against the Magazine Industry Market Place
(1987). Current issues of journals which deal with acquisitions and
serials topics frequently contain advertisements from serial vendors.
Major firms as well as specialized or local firms are usually repre-
sented at state and national meetings.
The special nature of serials calls for special handling. The unique
set of services that subscription agents offer is listed at the end of the
section "Choosing a Vendor: Examining Services Offered."
There are some general facts to remember in dealing with serials.
1. They take more time than firm orders to start and are difficult to
stop quickly. Contrary to firm orders for single book titles, serials
orders must specify exactly with which issue the subscription is to
begin. The subscription agent must be notified far enough in advance
of when the order is to begin so that the agent has enough time to
4 Acquisitions 127
contact the publisher, who in turn actually starts the process of send-
ing issues to the library. Most subscriptions must be paid in advance
just as personal subscriptions to magazines are paid prior to the
receipt of any issues. Subscription agents may wish to receive orders
for new subscriptions up to 4 months in advance of the date on which
the subscription is to begin. Once a subscription is begun, it is con-
sidered open for at least 1 year, although some publishers offer spe-
cial multiyear plans which include a payment discount. It is rare that
one can stop a subscription midyear and receive a refund.
2. The decision to renew or to cancel must be made well in
advance. Here again the agent must have time to transmit the
renewal along with the library's payment or the cancellation notice to
the publisher. Most libraries place their serial subscriptions on an
annual renewal basis which coincides with their fiscal year. In a fiscal
year beginning on July 1 the renewal invoice from the vendor is usu-
ally paid in July or August. Most serial publishers begin their sub-
scription year with the new calendar year. The intervening time
between payment to the agent is used by the agent to notify the pub-
lisher of renewal and to receive and pay the publisher's invoice on
behalf of the library. Therefore, any notices of changes in the list of
serials received must be communicated to the vendor before the end
of May to ensure that the invoice is corrected. Cancellation projects
need to be done well in advance of May in order to allow the acquisi-
tions department sufficient time to notify the subscription agent
about titles which are to be dropped from the annual invoice.
3. Subscriptions represent an ongoing financial obligation. Placing
a subscription is an act that commits a portion of the library materi-
als budget until the serial is canceled or ceases publication. In recent
years, high inflation in serial prices has had a major effect on how
many libraries spend their materials budgets. Serial subscriptions
must be selected with great care, and regular review of existing sub-
scriptions is not an uncommon practice. Each year the existing sub-
scription costs plus an estimated inflation factor must be prepared in
order to manage the library materials budget in the coming year.
4. Claims require good timing. The time of a claim must be care-
fully gauged so that the claim is not too early, producing duplicates,
and not too late, such that the issue or piece is no longer available.
Libraries using automated systems can easily examine receipt pat-
terns and set an automatic default period after which a title not
received will be claimed. However, some review and adjustment is
always necessary due to the unpredictability of serials and other
external problems such as holidays and mail strikes. In manual files
128 Sara C. Heitshu
some kind of ongoing review is necessary to know what has not been
received. Subscription agents suggest the following timetable for
claiming serials with regular publishing frequencies: Claim month-
lies and quarterlies 3 weeks after their normal receipt date; claim
weeklies 2 weeks after normal receipt date; claim dailies 1 week after
normal receipt date.
Few serial publishers print many copies more than those sent out
on subscription and for sale at newsstands. Thus, many claims for
missing issues cannot be filled by the publisher. This means that the
library must then decide to search elsewhere for the missing issue.
5. Replacements are often difficult to obtain. As just mentioned,
some issues cannot be successfully claimed. In addition, many issues
do not survive in the library long enough to be available when a serial

title is ready for binding. In these cases the missing issues must be
ordered from either the publisher if he or she maintains a back stock
or from a vendor specializing in back issues. Information on ordering
individual issues from a publisher, if this is possible, is usually avail-
able by checking a recent issue of the title. An alternative is using a
vendor who specializes in back issues and back runs. For years the
Universal Book and Serial Exchange (USBE) ran as a not-for-profit
organization which libraries joined and then used as a source for
back issues, back runs, and out-of-print books. Members could send
unwanted materials to USBE rather than throw them away. In the
late 1980s USBE fell on hard times and declared bankruptcy. The
stock and the name have been purchased by a private vendor, and it
appears that this valuable serial service will continue for a while
longer.
6. Consider serials in microform. A library may wish to order some
serials titles in microform as an alternative to binding or as a way of
filling in backfiles. Guide to Microforms in Print lists journals and
other serials available in microform as well as books and sets.
The ongoing nature of serials combined with the rapid price
increases of the 1980s has made their acquisition and management a
topic of great interest to librarians in recent years. Osborn (1980) and
Tuttle (1983) offer information on the handling of serial acquisitions.
Okerson (1986) gives a history of periodical prices with a discussion
of the tools used to chart price inflation.
Standing orders for sets (e.g., monographic titles such as encyclo-
pedias and dictionaries published in parts), monographic series (e.g.,
monographs published with a continuing series title and related
4 Acquisitions 129
numbering), and annual or irregular serials offer many of the same

challenges as serials subscriptions. Prepayment is usually not
required, but each part is billed as it is shipped. Many book dealers
are willing to handle standing orders for sets and monographic series
as part of their service to libraries. Standing orders for annuals or
irregular serials are more often placed with a subscription agent.
Each of these types of standing orders represents an ongoing com-
mitment on the library materials budget, and the amount obligated
from year to year is difficult to calculate since the publishing pattern
of all but annuals is often highly irregular. Claiming is also difficult
for this reason and because the parts of sets and series may not be
published in order. Canceling must be handled with the same care as
when canceling subscriptions with plenty of lead time for the vendor
to stop the order with the publisher.
Approval Plans
An approval plan is a plan whereby the vendor supplies the library
with books according to a predetermined profile, defining such
parameters as subject, country and language of publication, level of
complexity, and publisher. Library staff responsible for collection
management review incoming shipments and may return titles which
are not wanted in the collection. Libraries may elect to receive slips
instead of books for areas where they do not want comprehensive
coverage but do wish to collect selectively. The slips may be used as
the order by returning one copy to the vendor. The other copy is filed
in the on-order-in-process file or the information entered into the
automated system.
There are important differences which must be considered in han-
dling a library approval plan or plans instead of using firm orders,
particularly if any significant amount of material is to be acquired
through approval plans.
1. Profiles must be carefully established which clearly reflect what
the library expects to receive from the vendor. A profile may be a
highly sophisticated computer-driven document or a simple letter
outlining the library's wishes. In either case it is important that both
parties agree on the intent of the profile.
2. Display space must be set aside so that each shipment can be
examined by the collection managers, and books should not be
marked, security stripped, or barcoded until the decision to retain
has been made.
130 Sara C. Htitsbu
3. Either a regularly scheduled time must be established for review-

ers to come to acquisitions to examine shipments, or they must be
notified promptly and respond promptly to requests to review a ship-
ment. Approval plans shift the decision-making process from pre- to
postreceipt for collection managers but they do not negate it. The
decision to keep a title must be made thoughtfully and promptly in
order to ensure that the acquisitions workflow is smooth.
4. Searching is done after receipt. In fact, in some libraries acquisi-
tions staff actually catalog the piece using copy found in the biblio-
graphic utility during the search process.
5. If subject funding is required for internal allocation purposes, a
method of assigning funds and monitoring approval expenditures
must be developed. Alternatively, vendors may be able to provide
financial data by subject areas after the fact.

6. The approval plan should provide a mechanism that tells the
acquisitions librarian what titles may be expected to come as part of
the plan. Firm orders for titles whose status is not clear should go to
the approval vendor to prevent duplication.
7. Approval plans depend upon good communication between the
vendor and the acquisitions staff and the acquisitions staff and the
collection management staff. If titles which are expected do not
come, or if there are too many returns, the parties involved must
revise the profile so that the library's needs are met.
Because the basic selection of a library's collection in one or more
subject areas or from an entire country may depend on the perfor-
mance of an approval plan vendor, it is imperative that the vendor be
selected with care. Many of the same questions asked about firm
order vendors apply to approval vendors. In addition, it is useful to
know something about the caliber of the employees handling the
selection of materials. In a series of articles in Library Acquisitions:
Practice and Theory, Reidelbach and Shirk (1983, 1984, 1985) explore
the many ramifications of selecting and evaluating approval plan
vendors.
Other Plans Involving Direct Cost

Several other purchasing methods are worthy of note.
1. Lease plans: Some vendors offer lease services, whereby a library
can acquire popular titles, in multiple copies if desired, for recre-
ational reading, and when the demand for them has waned, return
them or purchase those appropriate for the regular collection at a
4 Acquisitions 131
greatly reduced cost. This is an excellent way to provide quick access

to popular titles and is used even in academic libraries to allow recre-
ational reading collections for students. The books usually come in
protective jackets and may be labeled and pocketed by the vendor.
2. Blanket order: Through a blanket order arrangement with a pub-
lisher, a library arranges to purchase one copy of each title published.
The term is also used to describe plans with foreign vendors which
have very broad terms and are intended to gather all history or liter-
ature published in the country. There is usually no right of return in
such plans.
3. Greenaway Plan: With a Greenaway Plan, a library places a
standing order for one copy of each trade book to be delivered prior
to publication so that each title can be reviewed and multiple copies
can be ordered in advance of publication. Such a plan is popular with

public libraries needing multiple copies quickly in order to meet
patron demand. It is named for the former director of the Philadel-
phia Free Library, Emerson Greenaway, who initiated the first such
arrangement with Lippincott (Evans, 1987, p. 230).
4. Library of Congress Cooperative Acquisitions Program: The
Library of Congress's present program grew out of the Public Law
480 which began in 1954. Publications were sent to the United States
and distributed free to libraries as partial payment for goods and
loans given to a country. Nearly all of the countries covered by the
program, known to most librarians as "PL-480," have been on at least
a partial payment basis for a number of years. Library of Congress
staff in the country select and catalog materials for LC and for the
participating libraries and ship them to the United States. The coun-
tries currently covered by the plan are Egypt (Cairo), Brazil (Rio de
Janeiro), India (New Delhi), Indonesia (Jakarta), Kenya (Nairobi),
and Thailand. Other areas which the Library of Congress is consider-
ing including are Mexico and West Africa.
Participants prepare profiles showing their language and subject
interests for the country from which they wish to receive materials.
At the beginning of each fiscal year (October) a library deposits a
payment for the year based on an estimate of the cost to fulfill its
profile. Quarterly reports show how much of the deposit has been
applied to payments for materials shipped. Because the Library of
Congress bridges the difficult language and cultural gaps by using
staff in the country, these acquisitions plans work well for countries
without a well-established book trade or for libraries needing for-
eign materials but lacking sufficient staff to handle a regular acqui-
sitions program.
132 Sara C. Htitshu
5. Memberships: Because some associations provide their publica-

tions only to their members or because there is a significant price
break for members, libraries, when permitted, become members of
associations. This may automatically entitle the library to all publica-
tions from the association or a separate standing order may need to
be established for all or selected publications.
Gifts
Libraries receive solicited and unsolicited gifts—both materials and
money. If the money is to be used to purchase library materials, acqui-
sitions staff must clarify any stipulations that affect the acquisitions
process. Considerations include the following: Is the money to be spent
for a specific type of material? Are book plates to be used? If so, how
should they be worded? Where are these books to be housed? Is the
library committed to keeping a list of titles purchased on this fund?
Who will thank the donor and notify him or her of the purchase?
The library should have a written policy establishing methods for
handling gifts of library materials. The library may wish to restrict
the types of gifts accepted and may wish to review gifts before actu-
ally accepting them. It must be tactfully explained that the gift will
not be retained if it does not fit in with the library's selection policy,
perhaps outlining the means by which the library disposes of
unwanted materials. The gifts should be acknowledged in writing and
the quantity of titles given should be listed, with a brief description of
their nature. The library should select the gifts to be added to the col-
lection using the same guidelines used for the selection of purchased
materials since gift volumes cost just as much to process, preserve,
and shelve as other volumes. Library holdings files should be
searched after the unwanted titles have been removed from the gift
collection in order to prevent unnecessary searching. Whenever pos-
sible, the library should avoid accepting gifts which have "strings"
attached. Strings may include special processing, special location, or
special book plates. Of course, an unusual and valuable gift collection
may warrant special treatment. Agreements with donors which
include special stipulations should be carefully documented so that
the requirements are honored.
The Tax Reform Act of 1986 changed the relationship of libraries
and their donors a great deal. Under no circumstances should the
staff of the library provide an appraisal of a gift. Acquisitions staff
may wish to keep a list of local professional appraisers on hand to
give to donors who require that a value be placed on a gift. For more
4 Acquisitions 133
information about gifts under the new law, see Payne (1988, p. 150).
Unwanted gifts may be disposed of in several ways:
1. Offering them to other libraries in the area: Relevant items may

be offered to a library with a special interest; or a storage area
may be designated for these materials, and staff from other
libraries may be invited to review them prior to a prearranged
deadline.
2. Offering them to other libraries by issuing a list: Requests should
be honored as the lists are returned; the recipient library may be
asked to pay the postage.
3. Selling them to library patrons or dealers either through a book
sale, by auction, or through other special arrangements: The
method used will depend on the library's parent institution's reg-

ulations, the type of materials to be sold, and its amount and
value.
4. Using them for exchange with third world libraries: See the fol-
lowing section on exchanges.
5. Throwing them away: Such outright discard must be done with
care so it will not offend patrons or staff.
The amount of staff a library invests in a gift operation should be

governed by both the net gain of gift materials added to the collection
and the public relations value received. Much more detail is available
in Lane (1980). With more and more libraries implementing develop-
ment plans to attract outside donations and grants, it is more imper-
ative than ever that the gift materials operation be handled with care
and sensitivity to the donors.
Exchanges
Many libraries establish exchange arrangements with other
libraries, in which each sends the other library materials without
charge. Such an arrangement supports the International Federation
of Library Association commitment to the Universal Availability of
Publications (UAP) and occasionally is the only method through
which some serials titles are available.
Some libraries exchange monographs, but more and more are
exchanging serials only. This concentration on serials exchanges is
probably due to two reasons: (1) as Kovacic (1980) notes, such an
exchange, once established, is easy to maintain, and (2) an exchange
of monographs requires tedious attention to titles to be sent and
134 Sara C. Htitshu
received and is more difficult to evaluate monetarily. Usually the

exchange titles that a library supplies to others are items published in
association with its institution. However, some exchange titles might
be purchased by a library to have sent to an exchange partner. Such a
buying arrangement may be worthwhile, especially if the titles
bought are serials, requiring little maintenance. Buying monographic
titles requested by an exchange partner is rarely a reasonable invest-
ment of time and money. At times gift materials may be suitable for
exchange if they are relatively new, in good condition, and in a sub-
ject area of interest to the exchange partner.
Exchange agreements should be reviewed periodically to determine
their true value to the library. Questions to ask include the following:
Does the library really want the titles it receives on this exchange? Is
the exchange balanced monetarily? Is it more economical to disband

this exchange agreement and purchase the titles received instead?
Articles by Barker (1986) and McKinley (1986) discuss exchange pro-
grams in their respective libraries and come to different conclusions
on cost effectiveness. With the opening of Eastern Europe and the
Soviet Union the methods used to acquire materials from these coun-
tries may render exchanges no longer viable.
Duplicate Exchange Unions

The ALA Association of Library Collections and Technical Services
sponsors a Duplicates Exchange Union in which more than 500 mem-
ber libraries irregularly send lists of their own duplicates to all other
members. A library wanting a title notes the fact on the other library's
exchange list and returns the list, along with a self-addressed mailing
label. Requests are processed in the order received. Other library
associations and state libraries or state library associations also spon-
sor duplicate exchange programs.
SPECIAL MATERIALS AND SPECIAL

PROBLEMS
Some library materials require ordering procedures that vary from

firm order practices and vendors that differ from monograph and
serials vendors. Included here are paperbacks, government docu-
ments, small press publications, music scores and sound recordings,
audiovisual materials, electronic formats, and out-of-print materials;
even this list is limited. Libraries acquire many more types of mate-
4 Acquisitions 135
rial than can be covered in this chapter. In large libraries, specialists

in media, music, rare books, and so on may actually fully prepare the
orders for these special materials, including vendor assignment. In
smaller organizations, acquisitions staff will need to be familiar with
those special materials regularly acquired by the library. For a fuller
discussion of materials requiring special attention, see Magrill and
Corbin (1989).
Paperbacks
Popular paperback books are difficult for acquisitions librarians to
acquire by title because most are available through magazine distri-
bution channels rather than through vendors who handle hardcover
and softcover trade and scholarly items. If a distributor is willing to

handle orders from around the country, he or she usually will accept
orders only for 20 or more copies. If distributors do accept orders for
a single copy, they will usually fill them only if it is in stock.
It is possible to persuade a local magazine distributor to provide
paperbacks for a library if it can be shown that it will be worth the
distributors time. For example, the librarian could set up orders for
all Gothic novels and Westerns received. With this steady stream of
business, it may be possible occasionally to special order other titles.
It may be possible to purchase wanted titles from a local store or
newsstand. Paperbound Books in Print is the best source for in-print
information for popular and trade titles.
Government Publications
Documents, that is publications produced by local, state, national,
and international governmental agencies, are another category of
materials not usually handled by book vendors. A library that does
not receive government publications automatically by virtue of being
a depository must acquire them on a title-by-title basis. The Monthly
Catalog is the basic source for United States government documents.
Once an item is verified, it may be ordered from the Government
Printing Office (GPO). Since the GPO requires prepayment, a library
expecting to do business with them on a regular basis is best served
by maintaining a deposit account. Some vendors specialize in docu-
ments, either United States, United Nations, or foreign, and will also
accept deposit accounts. Many document serials can be obtained
through a subscription agent. Local and state publications usually
must be ordered directly from the issuing agency.
136 Sara C. Htitshu
Small Press Publications

Materials published outside of the mainstream of publishing are
difficult to discover and often equally difficult to buy. When a library
has an interest in subjects covered by groups outside of the establish-
ment, the task of identifying needed titles is time consuming and
requires the selectors to cover a wide variety of magazines, newslet-
ters, and fliers. The information from these selection sources must be
fully communicated to the acquisitions staff if they are to be success-
ful in obtaining the titles. There are vendors who specialize in small
presses, but even they cannot obtain many publications from fringe
groups. Prepayment is almost always required by these small publish-
ers and may not always be in cash. Stamps are often requested, and
payments may be called "donations" to the cause of the group.
Microforms
Microforms are usually available direct from the publisher
although some vendors offer them as well. The marketing of large
microform sets to libraries continues to be a lucrative business. Pre-
publication orders may save a library a great deal of money. It is
important to verify the reputation of the publisher before making
large prepayments. Guide to Microforms in Print is an excellent
source for what is available. As individual libraries do more and more
microfilming of brittle material they are becoming important sources
of out-of-print books and periodicals. Plans call for the information
concerning the availability of microfilm masters to become part of
the bibliographic utilities' databases.
Audiovisual Materials
Audiovisual materials come in a bewildering variety of formats,
and each format may have several standard forms (e.g., 16-mm, 8-
mm, and Super 8-mm films). The preparation of the order request for
these numerous formats requires special knowledge and must be
done in concert with the staff of the library's media center or music
branch library.
The basic guide to films and videos availability is Policies of Audio-
visual Producers and Distributors; a Handbook for Acquisitions Per-
sonnel (Pemberton, 1989). This useful tool tells whether the title is
available from the producer or a distributor, the language, the date of
production, and the grade level of the material if appropriate. It will
4 Acquisitions 137
also provide information about restrictions and licensing agreements

which may apply to libraries. The National Information Center for
Educational Media offers indexes to many types of media, including
films and videos. These indexes are available in paper, online, and in
CD-ROM. Casciera and Roney (1988), Evans (1987), and Magrill and
Corbin (1989, pp. 172-180) all cover various aspects of acquiring
audiovisual material for libraries and media centers.
Sound recordings also require different vendors. Notes, the journal
of the Music Library Association, is a good source of names and
addresses for national vendors who will offer a variety of services.
For strictly popular collections, titles may be best obtained by work-
ing with a local distributor. Music scores, while not audiovisual mate-
rial, are also speciality items which must be obtained through music
vendors or directly from the publisher.

Any media item should be previewed after it is received to confirm
that it is in good condition. This usually means that the staff in acqui-
sitions must pass the material on to the area where it will be housed
and used because of the special equipment needed to view or listen to
the materials. In order to pay invoices in a timely manner, previewing
must be done as soon as possible after receipt.
Electronic Formats
This category of materials covers a wide range of formats which
may or may not be handled by the acquisitions staff. Examples of
smaller, self-contained services are Infotrac or Newsbank. The sub-
scriptions for these types of services, which are available only from
the publisher, including the database and equipment and printer nec-
essary to use it, are analogous to similar services on microfilm
offered with readers for a "bundled" price. CD-ROMs are now widely
available for a variety of indexes and abstracting services, dictionar-
ies, encyclopedias, and directories. Since many of these titles are
serial in nature, just as the paper version of the same title, they are
handled by serials vendors. Some network offices, as a service to
members, offer CD-ROM subscriptions and equipment in a package.
For a small library with little expertise in microcomputers, this might
be a good way to obtain CD-ROMs.
Textual data for use on microcomputers or microcomputer pro-
grams are also acquired by libraries. These must be purchased
directly from the producer. Others arrive unexpectedly as part of a
book or serial issue. No matter how they are acquired the library
must then provide the means to preserve and use these items.
138 Sara C Heitshu
Computer tapes with numerical data are purchased by some

libraries and used on campus computing facilities. Databases which
consist of material from various indexes and abstracts, encyclope-
dias, and dictionaries are available and may be purchased and
mounted in a library's online catalog or made available through other
computer resources. Purchasing such materials is best done in con-
junction with the systems staff of the library and/or the computer
center staff on a college or university campus.
Nearly all of these electronic formats have licensing agreements
associated with them and offer a new challenge to librarians. Under
these agreements the library may be acquiring access to but not nec-
essarily ownership of these various information sources. In some
cases the price paid is determined by the size of the user population
or the number of terminals which can access the system. While

librarians have long dealt with special circumstances and honored
restrictive agreements for some materials, typically expensive and
restricted business or financial reference materials, the extreme flex-
ibility and accessibility of electronic information sources are over-
whelming. The Association of Research Libraries has asked for a spe-
cial study of the problems of licensing which should be available in
1991. Many of the licensing agreements are related to the issue of
copyright restrictions which must be understood and honored. Since
this an area of copyright which is changing rapidly, it brings the
library acquisitions department into a new cooperative relationship
with the institution's attorneys, systems staff, and publishers.
Out-of-Print Materials
Titles which are out of print (OP) provide a unique challenge for
acquisitions staff. It is first necessary to determine if a title is really
OP. A report from a vendor is not as reliable as actually checking
directly with the publisher, who may still have a few copies in stock.
Also, other vendors who keep large stocks of titles may be tried for
recent imprints which have been declared OP. If the United States
edition is not available, search Whitaker's Books in Print for a British
edition and vice versa if the title if British. Has a new edition been
issued and will it be an acceptable acquisition? Finally, is a reprint or
a microform edition available? Guide to Reprints and Guide to Micro-
forms in Print can assist in answering these questions. Has the title
been filmed as part of a preservation project? The RLIN database
now contains this information and other utilities are expected to
make these data available also.
4 Acquisitions 139
If the title is not available through any of these methods, special

out-of-print dealers can be asked to search for the title or titles
needed. This can be an extended process, since the dealer needs to be
allowed a specified amount of time, usually 6, 12, or 18 months, in
which to search for the items. Check dealer directories such as Book
Dealers in North America for lists of OP dealers including those which
specialize in subject area.
A library may advertise in The Library Bookseller and AB Bookman's
Weekly. OP dealers regularly scrutinize these publications, and this
may be a quicker way to obtain needed titles.
If staff time permits, dealer's catalogs may be read and titles
selected. This requires that the selector be very familiar with the OP
needs of the library and that a desiderata list be readily available for
searching either online in the acquisitions system or in a paper file.

For this method to be successful, catalogs must be checked soon after
receipt, and titles desired must be searched at once. If any delay
occurs, contact the dealer prior to searching to determine if selected
titles have been sold, thus eliminating useless searching. The dealer
must be notified by the most rapid means possible which titles the
library wishes to acquire. Alternatively, the dealer may be requested
to send titles after selection but prior to any in-depth searching of the
library's files. Titles not wanted must be returned immediately.
Some libraries in areas which have large used bookstores may send
staff to search the stock. Trips which go further afield must be done
with prior arrangements so that lists of titles selected from stock can
be transmitted to the library for searching before materials are pur-
chased and shipped.
In all OP buying it is important to keep in mind the physical condi-
tion of the material being purchased. Since materials published after
1850 in this country and abroad were probably printed on acidic paper,
there is a high possibility of older materials having a very limited
shelflife unless they are kept under special conditions. A microform
copy or a photocopy on acid-free paper which is then bound may be
better alternatives to purchase of the original unless the title is destined
for the special collections area of the library.
TRENDS AND HOW TO COPE

WITH THEM
The external long-range trends which continue to affect acquisi-

tions are inflation, the proliferation of information and information
140 Sara C. Heitsbu
formats, and steady-state or even decreasing financial support from

the library's parent organization.
Inflation in library material prices has been a major concern in the
last decade, and there is no sign that inflation will not continue to run
at rates which exceed the Consumer Price Index. A check of the
"Library Materials Price Index" in R. R. Bowker's annual Library and
Book Trade Almanac for the past few years graphically illustrates the
trend. Okerson (1989) prepared a study for the Association of
Research Libraries which cogently lays out the history of the situa-
tion, with an emphasis on serials, and suggests what librarians must
do to check the trend. Leaving the national scene aside, it is clear that
the professional responsible for monitoring and spending the
library's materials budget needs to be constantly aware of inflation
and prepared to inform and explain the situation to administrators

and funding agencies.
The publishing industry continues to produce far more material
than any library can acquire. The proliferation of books and serials is
only one aspect of the growth. Media and electronic publishing also
are growing at a rapid rate. Electronic journals and specialized
online databases must be acquired or accessed and managed. New,
open relationships with China and Soviet bloc countries are allowing
more material to be available to research libraries as well. Increasing
production of traditional products, new formats, and access to previ-
ously unobtainable printed sources make demands on inelastic
"book" budgets, which might more correctly be called information
budgets.
The information budgets of most libraries have been unable to
keep up with the inflation of the recent past and are, therefore,
already in a stressed condition without the added burdens mentioned
above. The acquisitions professional must be aware of these trends
and prepared to work closely with the library's collection managers to
achieve some kind of expenditure pattern which meets most of the
needs of the library's clientele. On the one hand, the librarian in
acquisitions must be prepared to explain price increases and the pro-
liferation of materials and formats to library staff and administration
and provide the data needed to make a case with funding sources for
increased support. On the other, this librarian must see that the
library gets the best discounts in order to stretch the resources avail-
able. The balance between service and discount will be keenly felt
throughout the publishing industry anq! the library community.
Since no library can acquire all the information sources its patrons
may require, alternatives to ownership must be found. Two responses
4 Acquisitions 141
to financial pressures are cooperative acquisitions and acquisitions

on demand. Acquisitions librarians will be involved in seeing that
these arrangement are smoothly handled. Cooperative arrangements
are facilitated by use of the conspectus form of collection develop-
ment policy and by online access to many other libraries' holdings,
but they still require an aggressive acquisitions program on the part
of each library if all members are to be well served. As journals are
canceled from library collections alternative means of obtaining
required articles are being used. Acquisitions staff may become more
involved in the selective purchase of materials from commercial serv-
ices using information budget monies instead of requiring library
patrons to wait for traditional interlibrary lending procedures.
Aside from the large financial issues facing acquisitions staff there
are also numerous areas about which professionals must be well

informed and if possible play an active role. Standards are important
to librarians and to publishers and vendors. NISO was previously
mentioned as a source of order standards. It is also responsible for
standards for advertising books, Z39.13-1979 (R1984), criteria for
price indexes, Z39.20-1983, and the ISBN and ISSN, which are now
used throughout the book and serials publishing industry. In addi-
tion, the work of two industry groups should be followed with
care—BISAC (Book Industry Systems Advisory Committee) and
SISAC (Serials Industry Systems Advisory Committee). For back-
ground on SISAC see Clapper and Goessling (1986). SISAC continues
to pursue barcoding of serial titles in a way which will allow them to
be read with a light pen for check in.
Automation of library records and processes will mature and
change in the coming decade. It has already reshaped the acquisi-
tions process in many libraries, and integrated library systems have
caused acquisitions librarians to rethink the type and content of the
records they use, the long-term records which they keep, and the type
of postreceipt processing which they do. Since automated systems
and the bibliographic utilities and other sources used for verification
are never static, librarians must be prepared for training and retrain-
ing staff and rethinking processes and procedures on a regular basis.
Similarly, publishers and vendors will respond to financial pres-
sures, new technology, and increasing automation. The librarian
working in acquisitions must be aware of these forces in the commer-
cial sector and prepared to deal with the outcome. The for-profit part-
ners in the acquisitions equation are just that—for profit, and their
behavior will be dictated by this principle. In order to cope with the
multiple forces shaping information markets, the successful librarian
142 Sara C. Hcitshu
must be active in state or national library associations, read library

and publishing literature, and network with colleagues and vendors
regularly.
American Library association meetings and preconferences and
state and regional associations all offer programs and opportunities
for acquisitions personnel. In addition, specialized meetings for pro-
fessionals in acquisitions are held in various parts of the country
independent of the professional associations. An annual conference
in Charleston, South Carolina is devoted exclusively to acquisitions.
Opportunities such as Charleston are announced in the literature and
through mailings to librarians who are members of ALA and the
Association of Library Collections and Technical Services. In addition
to the formal programs at these meetings there is ample opportunity

for informal exchange between librarians and publishers and ven-
dors.
It is important that librarians keep abreast of the professional liter-
ature in book and serials acquisitions. There are journals devoted to
acquisitions and several that specialize in serials issues, including
serials acquisitions. Library Acquisitions: Practice and Theory, Acqui-
sitions Librarian, Serials Review, and Serials Librarian are all useful.
The publications of ALCTS (Association of Library Collections and
Technical Services), the ALCTS Newsletter and Library Resources &
Technical Services, deserve attention since not only acquisitions but
the other related activities of technical services and collection devel-
opment are covered. ALCTS also publishes guides for acquisitions
such as The Guidelines for Handling Library Orders for In-Print Mono-
graphic Publications (American Library Association, 1984). Publish-
ing trends must not be neglected, and here Publishers Weekly is
invaluable. Library Journal publishes journal price inflation data
every spring, and Serials Librarian has published journal price reports
based on the Faxon Company's data in recent years. Automation and
collection development have their own selection of journals which
offer materials of interest to acquisitions specialists as well.
The professional in acquisitions must not only be knowledgeable
about bibliography but must also be an astute business person. It is
no longer possible for successful acquisitions librarians to be igno-
rant of cataloging trends or preservation issues. The advent of
automation has interwoven the activities associated with buying and
processing library materials and information as never before, and fis-
cal pressures add another layer to the mix. Combine these factors
with the volatile world of publishing and it is easy to see that acquisi-
tions work will be doubly challenging in the future.
4 Acquisitions 143
REFERENCES
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Chicago: American Library Association.
American Library Association. Collection Management and Development Committee
and Acquisitions Committee. (1988). Guide to performance evaluation of library
materials vendors. Chicago: American Library Association.
Barker, J. W. (1986). Case for exchange: The experience of the University of California,
Berkeley. Serials Review, 12(1), 63-73.
Boyer, C. J. (1974). State-wide contracts for library materials: An analysis of the atten-
dant dysfunctional consequences. College and Research Libraries 35, 86-94.
Brown, C. D., & Smith, L. S. (1980). Serials: Past, present, and future. Birmingham, AL:
EBSCO.
Buckeye, N. (1978). International subscription agents (4th ed.). Chicago: American
Library Association.
Casciero, A. J., & Roney, R. G. (1988). Audiovisual technology primer. Littleton, CO:
Libraries Unlimited.
Clapper, M. E., & Goessling, T. (1986). Bar codes, serial publications, and the SISAC
test. Serials Review, 12(1), 35-42.
Dole, W. (1987). Librarians, publishers and vendors: Looking for Mr. Goodbuy. Library
Acquisitions: Practice and Theory, 11, 125-134.
Evans, G. E. (1987). Developing library collections (2nd ed.). Littleton, CO: Libraries
Unlimited.
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Services, 10, 91-95.
Groot, E. H. (1981). Comparison of library tools for monograph verification. Library
Resources & Technical Services, 25, 149-161.
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& Technical Services, 24, 155-163.
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Magazine Industry Market Place (1st ed.). (1987). New York: R. R. Bowker.
Magrill, R. M., & Corbin, J. (1989). Acquisitions management and collection develop-
ment in libraries (2nd ed.). Chicago: American Library Association.
McKinley, M. (1986). Exchange program at UCLA: 1932 through 1986. Serials Review,
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Melcher, D. (1971). Melcheron acquisition. Chicago: American Library Association.
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1982. Rutgers, NJ: Transaction Publishers.
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144 Sara C. Htitsbu
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loging. Library Acquisitions: Practice and Theory, 5, 89-94.
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Management, 1, 101-134.
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the Association of Research Libraries. Washington, DC: Association of Research
Libraries.
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Chicago: American Library Association.
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for acquisition personnel (2nd ed.). Metuchen, NJ: Scarecrow Press.
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tion Quarterly, 9(1), 5-9.

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Library Technical Services: Operations and

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DEFINITION AND ORGANIZATION

Acquiring library materials is normally done by a unit known as

LIBRARY TECHNICAL SERVICES 101 Copyright 0 1991 by Academic Press, Inc.

office or by the accounting department of the parent organization.

Working Relationships in the Library

The acquisitions unit of a library, which includes the accounting

perform this work well should always be kept in mind.

RELATIONSHIPS WITH VENDORS

Why Use a Vendor?

sources. This eliminates keeping numerous names and addresses on

Choosing a Vendor: Examining

Several factors determine a library's choice of vendors. First,

The first step in selecting a vendor is to carefully survey the services

types of libraries or to fulfill orders for specific subjects, and (b)

stocked or standing orders serviced; and (f) access to vendors records

library customers; (b) manufactures some form of computer output

Choosing a Vendor: Establishing Specifications

vendor should cancel an order automatically if it has not been filled

Vendor Performance Standards

American Library Association, 1988). This small publication is

Vendor Relations Recapped

RECORDS AND FILES

of library materials. Library staff use the files to search, receive,

is the temptation to plan for every conceivable situation for which

The Purchase Order

confusing for the vendor. This confusion may be unavoidable if the

received. (3) Copy 3 is filed with copy 2 in the on-order-in-process file

Invoice files. In order to determine that an invoice has been paid,

Files for Serials and Standing Orders

2. Check-in information: numbers or, if unnumbered, abbreviated

If a library is involved in exchange agreements with other libraries

Correspondence files are a record of vendor performance, of

large libraries are frequently used in several library departments and

Basic ordering procedures occur in all libraries, but the degree of

Receive the Order Request

Requests to purchase materials come into acquisitions in many

Search and Verify

Searching the Library's Records

The classical searching procedure includes checking each title

different edition of a work, should an order be placed for another? If

productions of documents with a unique bibliographic identity, with

Verifying Bibliographic Information

productivity in cataloging in his library. Other reports which might

Verification tools are used to answer three primary questions: (1)

Does the title exist? If a library holds membership in a biblio-

How much does it cost? The price information provided by the

Preventing Duplication of Procedures

tion about the titles relationship to other editions or copies of the

Placing the Order

Receiving the Book

be explained to the vendor so that credit may be issued and reflected

Claiming Titles Not Received

Cancel Orders for Titles Not Received

OTHER MEANS OF PROCUREMENT

book or journal title believed to be readily available, to a vendor.

Subscriptions and Standing Orders

do not survive in the library long enough to be available when a serial

numbering), and annual or irregular serials offer many of the same

to stop the order with the publisher.

3. Either a regularly scheduled time must be established for review-

financial data by subject areas after the fact.

Other Plans Involving Direct Cost