COLLECTION DEVELOPMENT POLICY STATEMENT

I. Statement of Purpose

A. Purpose

The purpose of the Special Collections and University Archives Unit of D. Hiden Ramsey Library is to facilitate the educational objectives of the University of North Carolina at Asheville and the broad mission and program objectives of the D. Hiden Ramsey Library. More specifically, the purpose of the Special Collections and University Archives unit of D. Hiden Ramsey Library is to facilitate undergraduate research opportunities related to community-based issues and while doing so to engage in community collaboration and consultation.  To this end the unit provides academic support for the undergraduate research programs of the university and for associated graduate programs offered through the university.  Special Collections acquires materials in support of the undergraduate research mission of the institution and plans instructional programs for faculty and students to facilitate research and interdisciplinary study. The unit encourages interdisciplinary and responsible use of primary source materials in an undergraduate context and where possible, an expanded consciousness of opportunities for local and regional collaboration. 

Instruction in the use of specific primary source materials, training in information systems, guidance on copyright and intellectual property issues, records management assistance, effective electronic information retrieval, care and handling of special materials, and the provision of extended internships which focus on information organization and processing, are also central to the processes of the team-driven unit.  To facilitate learning and to provide access to materials and instruction, the Special Collections unit makes available a public reading room and an instructional and processing environment for students, faculty, staff and volunteers. The physical environment is intended to provide a holistic and cross-disciplinary and cross-generational space where the worker and the user can engage hands-on research, dialogue, experimentation, and skill-set enhancement.

The care and preservation of the special collections whose uniqueness, rarity or cost would make replacement difficult, impossible or financially prohibitive is also part of the purpose of the Special Collections and University Archives Unit. In support of the instructional objectives  and as a service to the broader external community the unit seeks to engage in best practices for the preservation for the materials in their care. The degradation of collections by their physical circulation and handling is mitigated by a vigorous digitization program in the unit, aimed at broad electronic dissemination of the materials held in the collections and archives.  The environmentally safe storage for several categories of information including manuscripts, oral histories, photographs, rare books and assorted other formats, and the reduced handling of the material by patrons, insures the preservation of the materials for future generations of users.

B. Clientele

(See Policy and Procedures manual, Rev. 1998 or Appendix I. A.1) The Special Collections unit seeks to serve a broad clientele, with special emphasis on the academic community of the University and the population of the larger city-county, and regional area as it interacts with the university.

 Special Collections and University Archives seeks to reach the greatest clientele base, possible. To this end the unit is engaged in an ambitious digitization effort that aims to make available the materials in high demand by university users and of value to undergraduate instructional programs. Electronic access to all formats is desired and to this end the Unit seeks to balance its digital collections across the following collection areas:

• Books (rare, unusual, and valuable)
• Periodicals
• Manuscripts
• Photographs
• Oral Histories documenting local history and culture
• Relevant realia, memorabilia, and ephemera
• Closed Collections (at risk books)
• Senior Papers, MLA Theses and other capstone papers prepared across the disciplines.
• Products of research derived from material in Special Collections
• CUR Archives (Council on Undergraduate Research)
• Archives of the University

To facilitate collaboration and consultation with local and regional agencies and institutions, the unit provides a broad range of services to the external community. These services include: consultation on care and handling of materials, the provision of images for publication, targeted reference and research, on-going archival management for active social agencies in the community, including for example, AAUW, YWCA, Carolina Mountain Club, Mountain Dance and Folk Festival and Shindig on the Green, League of Women Voters, Congregation Beth Ha Tephila, Flat Rock Play House, the Housing Authority of the City of Asheville and other civic-minded institutions. Unpaid internships are regularly provided for students wishing to pursue or complete library science training.  

II. Collection Development/Acquisitions

A. Selection

1. Selector’s Responsibility

The primary responsibility for identifying and for proposing the purchase of special collections resources lies with the Coordinator of Special Collections, the Library Assistant, the University Librarian, the Bibliographers with subject responsibilities and other relevant administrative personnel. Responsibility for identifying core materials for the Special Collections and support materials such as indexes, bibliographies, cataloging tools, technical manuals, etc. when under $150.00, lies with the Coordinator of Special Collections. Decisions for purchase of materials over $150.00 will be coordinated with the Library Faculty Committee.

2. Selection Criteria

Selection of Special Collection materials is often a complex and difficult process. Many collections are built from materials received as single gifts or from materials donated as a collection. A policy and procedures guide to the acceptance of gifts for Ramsey Library is in the Appendix of this policy statement (Appendix III. C.1.) Generally, the selection is dependent on the special nature of the materials with regard to the following:

• relationship to areas of collection interest and strength
• historical uniqueness
• value, and quality of item
• security needs
• fragility of the format

3. Selectors

Selection of materials to be added to the collection are made primarily by the Coordinator of Special Collections with input from the Special Collections Assistant, library faculty members and from members of the larger academic community at UNCA.

B. University Archives

Materials in the collection come to the division from the various administrative units on campus. In acquiring and retaining these materials, the division follows the guidelines set forth in the recently revised (2007) College and University Records Retention and Disposition Schedule published by North Carolina Division of Archives and History at the Department of Cultural Resources, Raleigh. (For a representative example of the  Disposition Schedule, 2007, see Appendix III. B. 1. The Disposition Schedule is consistent with the guidelines established by the North Carolina State Public Records Law, North Carolina General Statutes, Chapter 132, Public Records, 1995.

University Archives is mandated to follow the guidelines put forward in the College and University Records Retention and Disposition Schedule published by North Carolina Division of Archives and History at the Department of Cultural Resources, Raleigh and recently revised (2007).  The following link represents the schedule by the University of North Carolina, Greensboro: http://its.uncg.edu/Records_Management/General_Schedule/
It is the responsibility of each agency and department to familiarize themselves with this policy and to comply with the state guidelines and the university policies and procedures outlined in the Schedule. 

(See Appendix III. B. 2. for definition of "Public Record": http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_132/GS_132-1.html

The following services are available to the university community:

• Limited storage of records which qualify under the Records Retention and Disposition Schedule guidelines provided to Administration and academic departments and which have enduring value for the university.
• Consultation services regarding records management and disaster salvage practices
• Reference service for records and archival materials and photocopying (fee for external users)
• Recommendations regarding disposal of obsolete and inactive records
• Permanent storage and maintenance for historical records, documents, correspondence, realia, etc.. Records accessioned by the University Archive become the property of the Archives and may be retained or destroyed at the discretion of the Coordinator of Special Collections in consultation with the Office of the Chancellor
• Micrographic service when deemed advisable by the Coordinator of Special Collections

In addition to the above guidelines the policies and procedures for storage of archival records at UNCA are as follows : [these guidelines are currently under revision.]

• Search committee records for faculty personnel searches will be boxed and sealed by the search committee chair and sent to the University Archives area of Special Collections.

----- The records will include all working papers of the committee such as the standard questions asked of candidates, written evaluations of all the candidates and all candidate documents as well as a copy of the advertising and a search committee membership list.

----- The boxes should be clearly labeled by date and name of search committee and sealed with tape.

The University Archives is responsible for maintaining the integrity of the sealed boxes for a minimum of three years. During this period, the only personnel authorized to access those records are the chair of the search committee and the University Librarian. After three years, the committee chair and the University Librarian will be consulted prior to disposing of the records. (Approved by Mel Blowers, University Librarian 9/11/96) (See Appendix III.B.3).

C. Manuscripts/Photographs/Audio Tapes

Materials in this collection are generally acquired as gifts from individual and corporate donors. Photographic materials are collected in all formats (prints, cellulose negatives, glass plate negatives, etc.). The Special Collections attempts to collect those materials that feature the Western North Carolina region, particularly those that document:

• Local and regional history
• Lives of locally prominent persons
• Lives of different types or categories of persons for the purpose of illustration, e.g. country doctors, Rabbis, etc.
• History of locally important as well as representative institutions, e.g. churches, industries, etc.
• Photographs of urban Appalachian environments, as well as rural environments
• Bodies of work of well-known local photographers

D. Monographs

The following categories are collected:

1. Books that have particular relevance for local and regional history and culture, e.g.

• Signed first editions of works by local authors, artists and photographers
• Published works by UNCA graduates and faculty about the region
• All books on all aspects of life in Asheville, North Carolina
• Historical and other works dealing with the local area and its culture
• Historical and other works that relate directly to UNCA and its predecessor institutions

2. Products of research, e.g.

• MLA theses
• Dissertations and theses that have been developed using the resources of the collection, e.g. Memoirs of Reuben Robertson, Sr. edited by Allen Roudebush.
• Senior Theses from academic departments which are collected annually.

3. Books that support the established collections, e.g.:

• World War I primary source materials, particularly personal narratives
• Colonial and Revolutionary War materials (both primary and secondary), particularly those materials relating to the Scots and Scotch-Irish influence and the westward expansion of the early nation.
• Scottish history including Scotch-Irish immigration and materials relating to the Jacobite rebellion
• Appalachian history and culture, focusing particularly on the western North Carolina and eastern Tennessee region
• North Carolina history and culture

4. Selected artist’s books and small press books of remarkable form and/or content.

5. Works on paper by local artists.

6. Books of such a nature that they are at risk of theft or mutilation, referred to as Closed Collections materials e.g. (see Closed Collections, below). These materials may be loaned at the discretion of the Special Collections staff.

7. Books of such monetary value that they would be impossible to replace.

8. Books requiring special handling due to fragility, condition or format.

9. Books which, due to their value as a group, need to be kept together. (Note: In some cases, books which are part of such a group but which have no other particular need to be housed in Special Collections may be inventoried into the collection but  physically placed in the circulating collection. This allows special gift collections to be tracked without having to physically maintain the entire group in Special Collections.)

10. Books of special value which relate to the institution’s curriculum.

Note: More than any other division, Special Collections relies on gifts , both voluntary and solicited, as a means of collection building. In addition to gifts, the division also purchases materials out of a small line-item in the library’s materials budget. On the recommendation of Library Faculty, items purchased out of other library accounts are also added to Special Collections when they fall into one of the above mentioned categories, particularly Nos. 6, 7, and 8.

E. Relevant realia, memorabilia, and ephemera

General guidelines for collection:

• Materials should be relevant to the existing collection.
• Materials should have unique and lasting value for the collection.
• General physical condition of the materials should be good.

F. Products of research resulting from use of Special Collections materials

Materials collected must have been developed using the resources of the Special Collections and must exhibit evidence of scholarly effort. Dissertations and theses which relied upon Collection resources and works such as the Memoirs of Reuben Robertson, Sr., edited by Allen Roudebush, MLA Theses, and Senior Theses from the Literature and History departments, are examples.

G. Closed Collections

Books and other material formats which are at risk of theft or of mutilation may be placed in Special Collections and may be loaned at the discretion of the Special Collections staff. For example this material may include items vulnerable to mutilation and theft and which may be difficult or expensive to replace.

H. CUR Archives (Council on Undergraduate Research

Established to maintain a permanent public record of the activities of the Council of Undergraduate Research, this archive will receive materials similar to the original donation. This collection will be maintained in the original order in which the materials were given. The materials consist of the following categories:

• CUR founding documents including constitution and bylaws
• Documents (including correspondence) related to the changes in the scope and mission of CUR
• CUR publications, including CUR Quarterlies, CUR Notes, and Directories
• CUR National Conference documents and descriptions of other major CUR activities (April Dialogue; Institutes; funded projects)
• Minutes of CUR Council Meetings and Executive Committee Meetings
• Labeled photographs related to CUR activities

As specified by the CUR Agreement (12/9/97) to create a CUR Archive at UNCA:

"The Archival Material does not include routine financial and accounting records. The archives will be maintained and managed under the rules of the Special Collections section. Access will be open to any qualified scholarly user. The material will physically remain within the library. UNCA will be responsible for developing finding aids for the material, and will provide for physical storage materials to house the Archives. CUR will advertise among its associates and members the existence of the Archives. Donations received by either UNCA or CUR for this purpose will be disclosed and accounted for to the other party. CUR’s expenses in maintaining the Archives will be related to the preparation and shipment of new material to the Archives; UNCA’s expenses will relate to housing and user services, including preparation of finding aids for the collection."

III. Special Collections Gift Policy

A. Donation of Library Resources

The Special Collections division welcomes gifts to the collections. Gifts are often invaluable sources for primary research and for helping to strengthen the Collection’s holdings. Many of our most important collections have come through generous donations of library resources by individuals and families. The Kelly Lynn Harrison collection and the Ball Collection of photographs are but two of the important acquisitions which have greatly enhanced the collections and which came as gifts.

B. Financial Contributions

The Special Collections also welcomes and appreciates financial contributions. The development of a modest endowment will ensure the continued maintenance and development of the collections. Offers of financial contribution should be directed to the University Librarian.

C. Conditions of Acceptance

General materials become the property of the University library upon receipt of the materials. At that time the library retains the right to determine the disposition of the materials. Materials deemed not suitable for inclusion in the Special Collections may be considered for inclusion in the General Collections. Those items which are duplicates or which are in poor condition, or out of the scope of the collections, may be sold and the money used to purchase materials the library needs. (For a complete description of the Ramsey Library Gift Policy and Procedures see Appendix III C. 1 or the Collection Development Policy and Procedures manual, section 6.1, 6.2)

D. Tax Deductions

Often patrons will request that their gifts be evaluated for the fair market value of the item so they may qualify for a deduction for income tax purposes. The responsibility for establishing the fair market value of the donated item lies entirely with the donor. They may be referred to the IRS Department of Treasury publication, "Determining the Value of Donated Property," Publication 561, in the IRS Forms and Publications series, if questions arise regarding the items value. (See Appendix III. D. 1). Or, they may be referred to local book dealers who specialize in valuation. (For addresses of appraisers in the western North Carolina area see Appendix III. D. 2.)

While the following does not constitute advice, the general guidelines regarding tax deductions are

• Gift(s) valued at $500 or more in one calendar year must file an IRS Form 8283
• Gift(s) in excess of $5,000 must have an appraiser complete the appropriate section of IRS Form 8283.
• Appraisals will cost the donor. Costs may qualify as a miscellaneous tax deduction.
• Substantial gifts may require the assistance of an attorney or tax advisor.

E. Pickup and Delivery of Donated Material

Every effort needs to be made to determine the value and scope of the proposed donation before committing to pick-up and delivery of the material. Donors may deliver boxes of materials to the loading dock of the library during working hours (8:00 - 5:00 Monday -Friday). Individual items may be taken directly to the Special Collections division or to the office of the Coordinator of Special Collections located in Reference. If pick-up and delivery is agreed to, arrangements should be coordinated with the Special Collections staff.

IV. Transfer of Materials Policy

Materials, which over time have become unique or rare or may have acquired some particular historical value or some special cultural significance, or may need preservation due to poor physical condition, may be transferred from the general collections to Special Collections. Materials to be transferred must conform to the following general guidelines:

A. Consistency

Must be consistent with the nature and the strengths of the Special Collections and fit the selection criteria for Special Collections.

General criteria may cite:

• age of the item
• intrinsic characteristics and qualities of the item
• condition of the item
• what we know from other sources of the item

(See Appendix IV.A. 1, RBMS Ad Hoc Committee for Developing Transfer Guidelines, "Guidelines on the selection of general collection materials for transfer to special collections," C&RL News July/August 1985)

B. Criteria

Criteria for rarity must be listed, reviewed, and approved by the Library Faculty, if it falls outside the general realms of intellectual value, consistent with collection scope, or artifactual value, if it falls outside collection scope regardless of format.

Criteria which may need general agreement include:

• fine and signed bindings
• early publishers bindings
• extra-illustrated volumes
• books with significant provenance
• books with decorated end papers
• fine printings
• printing on vellum or highly unusual paper
• volumes or portfolios containing unbound plates
• book with valuable maps or plates
• broadsides, posters and printed ephemera
• material requiring security (erotica, etc.)

C. Processing

1. Single copies selected for transfer from the general collection must be reviewed and approved by Library Faculty for transfer. Duplicate copies transferred from General Collections to Special Collections do not require Library Faculty approval.

2. Physical processing and relocation procedures must be established with the Cataloging unit.

3. The bibliographic record must alert the patron to the status of the material so it may be located during the transfer process.

D. Conservation/Preservation

Any required conservation treatment should be undertaken prior to transfer to Special Collections

V. Cooperative Collection Development

At present no cooperative collection agreements exist among the WNCLN special collections. Currently each library in the network collects according to its specific user's need. All the WNCLN libraries show a strong interest in collecting Appalachian materials and ASU has built a significant Appalachian collection. Duplication in the area of Appalachian studies is common. The potential for trade, gift, or sale of items, particularly duplicates of materials of common interest (such as Appalachian materials), has yet to be explored. Cooperative purchase of very expensive items holds great promise for all the libraries in the network and needs directed study.

Cooperative collection development discussion will continue with the other WNCLN libraries in a effort to enhance the opportunities for more cooperative efforts.

VI. De-selection

Materials in Special Collections will be reviewed periodically (approximately a 5-year cycle) by the primary selector to determine their continuing value. It will be the prerogative of the Coordinator to de-select those materials deemed no longer appropriate to the guidelines of the Special Collections Collection Development Policy. Materials will be handed-off to the general collections when appropriate. De-selection of materials for the purpose of resale shall be made with the full consent of the University Librarian and/or Library Faculty.

Revised 04/16/98 ; 2008-12-27 - Helen Wykle, Coordinator Special Collections

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