SOUTHERN REGIONAL LIBRARY FACILITY
Guidelines for Deposit and Access of
Special Collections Materials
Rev. 05/23/03
Due to their rarity, fragility, and value, special collections materials deposited in the Southern
Regional Library Facility require special storage, handling, processing, security, and loan
procedures.
The purpose of this document is to provide guidelines for depositing libraries in preparing
special collections materials for deposit in the SRLF, and to provide guidelines for SRLF staff in
handling, processing, and safeguarding these materials.
A. PHYSICAL PREPARATION
1.0
Storage area specifications
1.1
All special collections materials are shelved on Phase 1 Level 2 or Phase 2 Level A of the
SRLF. These shelving areas are keyed off master, locked at all times, and access by staff is
restricted.
1.2
The SRLF shelves special collections books and boxed materials in the following size
categories:
BARCODE SEQUENCE
G (Books)
H (Books)
F & FF (Boxes)
N & NN (Oversized Boxes,
Folders, & Folios)
HEIGHT
WIDTH
6” to 12”
Maximum 9”
Less than 6” or more than 12”
Maximum 18”
Overall dimensions within 18” x 36”
Overall dimensions within 48” long x 48” wide
(height is variable)
1.3
Each book is measured by the total height, which will include any housing or label which
accompanies it.
1.4
These size categories and the letter designations are specific to special collection deposits
and other restricted materials that are shelved at the SRLF. Circulating collections are
shelved on other levels in the book storage areas, and have different letter and size
designations.
1.5
One barcode label (5/8" x 2") is affixed to each volume or closed box by SRLF processing
staff in accordance with processing guidelines (see sections A.3-A.5).
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1.6
Book materials are shelved double-deep at the SRLF unless they are oversized (size
category H).
2.0
Circulation Status
2.1
All special collections materials are non-circulating, as designated on the SRLF Special
Collections Deposit Checklist (see attached sample).
2.2
The circulation code of "N" (non-circulating) should appear on each special collections book
and box sent for deposit.
3.0
Processing Non-Book Materials
3.1
See the SRLF Guidelines for Deposit of Non-Book Material for processing instructions and
description of standard enclosures.
4.0
Processing Hardbound Monographs and Serials
4.1
Since many special collections materials are not permanently or visibly labeled in the same
way that general collection materials are labeled, staff of depositing libraries must enclose
and/or label all materials being deposited so that SRLF staff can match each item with its
corresponding bibliographic record (found in ORION2 or the campus online catalogs). The
enclosure or label also allows placement of the SRLF barcode label without damaging or
altering rare or valuable materials.
4.2
Any monograph that has an individual bibliographic record and is to be retrieved at the item
level must be enclosed and/or labeled at the item level.
4.3
Preservation quality materials such as acid-free paper or inert polyester (such as Mylar) are
preferred for enclosures and labels, but existing enclosures such as glassine book jackets
and custom slipcases may also be used to protect materials.
4.4
Enclosures and labels must be securely affixed to or inserted in each item so as not to
become inadvertently separated during the course of normal processing and loan activities.
4.5
Each enclosure should fit the size of the volume as closely as possible in order to prevent
damage caused by shifting.
4.6
Acceptable enclosure and label formats include:
--Envelopes;
--Book jackets;
--Wraparound strips (wrapped around entire item and secured with a fastener such
as a Velcro tab, not with tape; the tab should be positioned at the item's head, foot,
or fore-edge to avoid damaging adjacent materials);
--Paper strips (at least 60#, 2.5 inches wide to accommodate the SRLF bar code
label, and ca. 1.5"-2" longer than the volume is high).
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4.61
Wherever adhesive labels are used, they must be of a type that will remain securely
attached indefinitely.
4.62
As necessary, SRLF processing staff may temporarily remove enclosures in order to
identify access points for search and retrieval of the online bibliographic records.
4.7
Each item must be labeled with depositing campus/branch information, call number, and
circulation status. The suggested label format is:
--------------------------------------------------------------------------Depositing campus/branch
Call Number
Circ Status=N
---------------------------------------------------------------------------
4.71
If the item lacks a specific call number, an accession number, collection name, or other
identifier must be supplied so that SRLF staff can identify the correct holding in the
online record.
4.72
If the call number already appears on the volume's spine, front cover, or title page,
the label will contain only campus/branch information, circulation status, and any
other information necessary to identify the correct holding in the online record.
4.8
4.81
Each item receives an individual barcode label to be affixed by SRLF staff to the top left
corner of the enclosure or label, NOT to the item itself.
Items deposited without an enclosure and which have been labeled by the
depositing unit directly on the spine, front cover, or title page will receive their
barcode label affixed to the top left corner of the front cover.
5.0
Processing Softbound Monographs and Serials
5.1
Volumes that do not have a hard cover are considered softbound.
5.2
Softbound volumes that have a stiff paper cover and can stand alone may shelve as is.
Follow processing instructions in section A.4.
5.3
Softbound monographs that are less than 1/4" thick, with or without a stiff paper cover,
should be processed according to section A.4, then placed in a container with two open
sides (open top and open back), such as a Princeton file.
5.31
Fill these containers to capacity with one size category per file. The containers are
not labeled or barcoded, since each item inside the container is labeled and
barcoded.
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5.4
5.41
Unbound serials that are less than 1/4" thick, with or without a stiff paper cover, should be
placed in closed acid-free document boxes (see section 4.21 of the SRLF Guidelines for
Deposit of Non-Book Material for standard sizes). Retrieval will be at the box level, not by
individual issue.
Label each document box with the depositing campus/branch information, call
number, volume numbers or dates, and circulation status. The suggested label
format is:
--------------------------------------------------------------------------Depositing Campus/Branch
Call number
Title
Volume Numbers/Dates
Circ Status=N
---------------------------------------------------------------------------
6.0
Damaged and Fragile Volumes
6.1
Volumes that are damaged or fragile must be enclosed in order to preserve them and to
maintain a dust-free environment at the SRLF.
6.11
Books in any of the following conditions are considered damaged or fragile: the text
block and covers have separated; soft covers are torn or coming off; individual
pages are falling out of the item; or leather binding is disintegrating.
6.2
The depositing unit may enclose damaged or fragile volumes for storage using any standard
enclosure and labeling procedure (see section A.4 and the SRLF Guidelines for Deposit of
Non-Book Material).
6.3
The enclosure should fit the size of the volume as closely as possible in order to prevent
damage caused by shifting.
6.4
Each item must be labeled with depositing campus/branch information, call number, and
circulation status. The suggested label format is:
--------------------------------------------------------------------------Depositing campus/branch
Call Number
Circ Status=N
---------------------------------------------------------------------------
6.41
If the item lacks a specific call number, an accession number, collection name, or other
identifier must be supplied so that SRLF staff can identify the correct holding in the online
record.
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7.0
Loading Book Trucks for Deposit
7.1
Each book truck must be accompanied by an SRLF Special Collections Deposit Checklist
(see attached sample). Always include on this form the campus and library name and the
size category(ies) of the material on the truck.
7.11
7.2
Individual titles also may be accompanied by a separate SRLF Special Collections
Deposit Checklist that includes the online record number and the number of volumes
in the archival collection, monographic set, or serial run. Inclusion of this individual
checklist facilitates processing at the SRLF.
Whenever possible, load serials, monographs and archival materials on separate book
trucks. Sort them by size category (one size per truck) to facilitate SRLF staff's adherence
to special collections security procedures (i.e., less time spent in the unsecured sorting
area).
7.21
7.3
If a collection (with a single bibliographic record) includes materials of different size
categories, keep the collection together on the book truck(s), rather than separating
it into size categories.
Load book trucks from left to right. They may be double shelved if the spines do not extend
over the edge. Books should be loaded upright, or on their spines if necessary. Very large
oversized volumes may be laid flat on the book truck, or shipped separately in boxes.
7.31
Multi-volume sets and collections should be kept in volume number or box number
order. If a multi-volume set or collection does not fit onto one book truck, load the
remainder of the set onto additional trucks. Attach a separate SRLF Special
Collections Deposit Checklist for each truck of a multi-volume set.
7.4
Double shelve open file boxes (such as Princeton files) with closed sides facing out. If such
boxes are single shelved, use additional security, such as string, to protect each file box
during transport.
7.5
Secure the volumes and boxes on the book trucks by shelving them as snugly as possible.
Use wood blocks to pack the shelves when necessary; a supply of wood blocks is available
on the SRLF truck.
B. SECURITY
1.0
The value, rarity, and fragility of special collections materials call for stringent
security measures during the processing phase at SRLF.
1.1
Upon receipt at the SRLF, deposits are counted, statistics are recorded, and book trucks are
taken into the secured stack areas while they await processing and permanent shelving.
1.11
Book collections are barcoded and processed online in the processing area.
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However, boxed collections are shelved in the special collections stacks, barcoded,
and then processed online. During processing, special collections books are kept in
a secured storage room until the barcoding is complete and the books are ready for
permanent shelving.
1.12
SRLF provides a secure holding room in the work area for materials in process. A
locked storage room in the processing area is used for this purpose. This room is
keyed off master and holds 6-8 book trucks.
2.0
Size of shipments for deposit.
2.1
To ensure the prompt processing of materials and make adequate security possible, special
collections shipments should be limited whenever possible to no more than 600-800
volumes, which can be contained on 6-8 book trucks. While in process, these 6-8 book
trucks can be secured in the locked storage room of the Processing section. Shipments
consisting of boxed collections may occupy up to 20 book trucks, since barcoding and
processing of the collections are completed after the boxes are permanently shelved in the
special collections stacks.
2.2
Whenever possible, campuses should provide a schedule of their special collections
deposits in advance to the SRLF Deposits Supervisor. The schedule should include dates
of shipments and an estimated number of volumes or boxes. By doing so, SRLF staff will be
able to plan for and schedule the necessary staff to complete processing work.
3.0
A limited number of SRLF staff process and have access to special collections
materials.
3.1
The Technical Processing Supervisor trains and supervises 2-4 processing assistants who
handle the processing and security of special collections materials.
3.2
The Technical Processing, Public Service, and Stacks Supervisors, along with their
shelving/paging assistants are the only staff with daily access to Special Collection levels.
3.3
SRLF staff do not open or examine the contents of boxes at any time.
3.4
Staff from depositing units may have access to Special Collections storage areas; see
procedures in section C.3.
C. LOANS
1.0 Depositing Library Responsibilities
1.1
1.11
Paging requests.
Requests for special collections materials housed at the SRLF are initiated either at
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the depositing library, or directly from library users through CDL Request. All special
collections requests must be reviewed and approved by the depositing library before
any paging request is filled at the SRLF.
1.12
1.2
1.21
.
1.22
1.3
Each campus's Department of Special Collections has procedures within its library to
assure that the SRLF receives an authorized request from a designated source.
Authorized requests are forwarded to the SRLF electronically (via OCLC or ORION)
or by email or fax.
Scheduling pick-ups and deliveries.
Special Collections libraries may use one of several courier/delivery options for
paging special collections materials. Special collection items can be shipped with
other paged materials for the same campus, using Tricor delivery service, or the
special collections items can be shipped separately using other delivery vendors.
This decision is made by the owning Special Collections library, and is then
communicated to the SRLF Public Service Supervisor.
The loan period for all special collections materials is designated as annual loan to
UC libraries only. Depositing libraries may renew their loans annually if needed.
Transportation.
1.31
Each Department of Special Collections is responsible for arranging transportation
and portal-to-portal security within its library for materials paged from and returned to
SRLF.
1.32
The library staff member or courier sent to pick-up or return materials to SRLF must
be prepared to present identification to SRLF staff, as well as documents authorizing
the pick-up or delivery of materials.
2.0 SRLF responsibilities
2.1
2.11
2.2
Verifying requests.
SRLF staff establishes a procedure to assure verification of requests from depositing
libraries for the retrieval of special collections materials. This includes using an
accurate list of names for library contacts whom are authorized to make special
collections requests.
Paging and holding materials awaiting pick-up.
2.21
Once a special collections request is verified, SRLF staff pages materials for
depositing library pick-up onto book trucks, according to SRLF's own schedule and
using staff authorized to enter the restricted stack areas.
2.22
Materials awaiting pick-up are placed in a locked storage room in the processing
area which has been designated as a holding area for incoming and outgoing
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special collections materials.
2.23
Requests that have been approved for loan to non-owning special collections
libraries within UC are packaged according to the owning library’s instructions and
held in the secured area until the courier arrives.
2.24
Under no circumstances are special collections materials left unattended in an
unsecured area of SRLF.
2.3
Check-out procedures.
2.31
Special Collections items are pulled from the secured holding area when the
courier/staff member arrives at the SRLF.
2.32
SRLF staff requests identification and authorizing paperwork from the page.
2.34
SRLF uses a receipt for each item, which both parties sign to complete the
transaction. Some campuses may choose to waive this procedure for their
materials.
2.35
This procedure is performed together by both parties: the SRLF staff and requesting
library courier. Under no circumstances are materials left unattended by SRLF staff
for pick-up by the requesting library's courier.
2.4
Receiving procedures for returned materials.
2.41
Receiving procedures are the reverse of the check-out procedures. The library to
which special collections materials have been paged informs appropriate SRLF staff
of arrival, and both parties check in the returned materials. The materials must not
be left unattended in an unsecured area.
2.42
SRLF staff receiving the special collections material moves the items immediately to
a secured staging area, either the locked storage room in the processing area or to
the special collections stacks.
2.5
2.51
Reshelving procedures.
SRLF staff designated for access to special collection stacks reshelve materials
according to a schedule set by SRLF. Materials remain in secured staging areas
until the reshelving is completed.
3.0 Access to Level 2 by staff from depositing libraries
3.1
From time to time, special collections staff from depositing libraries may need to examine
their material on site at SRLF. Visits to SRLF and access to special collection areas must
be authorized by the head of special collections of the depositing unit and by the SRLF
Public Services supervisor, who will schedule an appointment for SRLF stack access.
Special collections staff who visit the special collection areas will sign in and out with the
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Public Service or Stacks supervisors.
3.2
A schedule for access by depositing libraries' staff can be established if regular, routine
paging activity is expected.
3.3
Materials that need to be returned to the depositing libraries by the visiting staff must be
checked out following standard SRLF procedures for paging special collections materials.
4.0
Lending of special collections materials to other UC Library Departments of Special
Collections
4.1
Readers may request the use of materials deposited by one Department of Special
Collections at the campus of another. The depositing Special Collections library has sole
authority to grant or deny the request.
4.2
If the reader's request for use of materials at another campus is approved, the depositing
Department arranges with SRLF to authorize paging to the other campus following the
procedures outlined in sections C.1.0-C.2.51 of these Guidelines.
4.4
Readers may not use materials on site at the SRLF, nor may the depositing Department
authorize use of materials on site.
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