Using Circulation Systems for Special Collections: Tracking Usage, Promoting the Collection, and Addressing the Backlogs
Beth M. Whittaker
Innovation and change are perennially hot topics in libraries: traditional library services are being rethought in response to emerging needs. At The Ohio State University (OSU) Libraries, a cross-departmental team responded to a new emphasis on assessment and outreach by using the circulation module of our integrated library system (ILS) to measure the use of special collections and archives materials.This endeavor enabled us to streamline workflow and document our successes, increasing knowledge across the libraries about circulation functions and practices. This project’s findings may apply at other institutions to assist librarians in planning and implementing such a project.
t is worth underscoring a few plague many special collections, and bod- facts about special collections ies such as the Association of Research management. These valuable, Libraries’ Special Collections Task Force rare, or unique materials usu- have consistently a empted to address ally are consulted by patrons in a secure this issue, particularly through the “Ex- reading room. Any desired copying posing Hidden Collections” initiatives.2 or photography is handled by staff, to New resources are being directed to maintain the integrity of the materials and special collections to connect readers with to ensure proper preservation measures currently inaccessible materials. and compliance with copyright or use Traditionally, special collections operate restrictions. Despite perceived barriers parallel systems for many common library to their use, education and outreach have tasks. Registration of patrons is o en very become a greater focus for special col- thorough, providing an additional security lections in recent years, in keeping with screening and documenting users’research the educational mission of larger parent interest in the specific material consulted. institutions.1 The cultural heritage com- Retrieval of materials is also handled dif- munity has been increasingly concerned ferently, echoing pre-automation practices about the undocumented backlogs that with paper call slips. In many institutions,
Beth M. Whi aker is Head, Special Collections Cataloging, at The Ohio State University Libraries; e-mail: whi [email protected]. The author wishes to thank Nancy Helmick, Library Catalog System Manager at the Ohio State University Libraries, and Nena Couch, curator of the Jerome Lawrence and Robert E. Lee Theatre Research Institute for the vision and cooperation that made this project possible.
28 Using Circulation Systems for Special Collections 29 these call slips are then used to mark shelf Throughout this article, the word location until the item is returned to its “circulation” refers to using the ILS to home. Although these paper records of electronically track usage of materials circulation could be analyzed for data, within a secure reading room, a definition time is short and this is rarely possible in of circulation specific to the special collec- the real world. tions environment. Although additional Special collections materials generally circulation of special collections materi- do not circulate outside a carefully con- als is possible, perhaps even desirable, trolled environment. Thus, many of the such as through interlibrary loan to other typical library circulation practices are secure environments or for inclusion at o en seen as superfluous in managing exhibits, such decisions are independent special collections and archives. Specific of this project.3 handling needs of these collections, such as frequent use by users not affiliated with Literature Review the holding institution, and the need to The topic of circulating special collections retain records of users in the event of the , materials is not very o en addressed in the often justify the belief that integrated literature, which is to be expected given library systems are insufficient to handle the peculiar nature of most collections’ records of the collections’ use. Since rare procedures.Articles on circulation analysis books, archives, and other materials are focus mostly on using circulation data to o en held by collections that are part make decisions about collection develop- of a larger library system, this means in ment, such as purchasing additional copies practice that an institution o en has two of very popular items. Circulation data for systems: a sophisticated and expensive special collections materials may also lead ILS for general collections and an idio- to collection development decisions, such syncratic, yet effective, local system for as acquiring resources in an area previ- special collections. ously thought less important to users. This, However, the increasingly sophisti- however, is not the primary motivation for cated needs of the “general collection”— implementing such a system. including the need to manage electronic Recent special collections literature resources and the growth of collections in has focused on a few issues brought to non-Roman languages—have driven ILS light by the current project, specifically vendors to develop more flexible func- the security of materials and records, and tionality. Special collections libraries can the need to increase outreach beyond the take advantage of this growth to eliminate traditional users of special collections redundant record keeping and reduce er- materials (i.e.,“scholars”). However, the rors. Positive results include greater staff author was unable to locate any study of efficiency, increased availability of user how implementing a circulation system statistics, and an overall greater under- could assist with these goals, suggesting standing of collection use pa erns. the prevalence of a two-system mindset. This article focuses on the implementa- tion of the circulation module of our ILS Possible Obstacles for special collections at The Ohio State There are several possible objections to University to assist librarians in defining this type of project that could be advanced the appropriate scope of such an imple- by both special collections professionals mentation at their own institution. Details and colleagues from other parts of the will vary by institution, of course, but by library system. breaking out of the existing mindset that special collections “do not circulate,” cre- Maintenance of Circulation Records ative professionals will see opportunities The first obstacle, and perhaps that with to make similar changes. the most merit, is the need for security of 30 College & Research Libraries January 2008 records. In the event of the or vandal- Need to Mark Collections ism, special collections and archives rely To facilitate inventory control and rapid on perpetual records of who consulted checkout, books, manuscripts, and which materials, to track down wrongdo- other materials should be marked with ers. The primary professional organization barcodes or other tags that can be easily for special collections professionals in the recognized by the system. Even if the United States, ACRL’s Rare Books and larger “parent” collection of a library has Manuscripts Section, recommends that undergone a large marking project, spe- registration information (including name, cial collections might have been excluded. address, institutional affiliation (if any) Professionals are still discussing the pa- and photo identification) be collected for rameters for marking rare books. Many each researcher who uses special collec- options exist to a ach identifiers, ranging tions materials and that these records be from those that are not permanent (such kept permanently. 4 Of course, this conflicts as paper flags or polyester filmstrips directly with a larger library ethos that val- with the information) to those of a more ues privacy and confidentiality, advocating high-tech nature, such as RFID (radio- purging records so that they cannot be mis- frequency identification) tags affixed to used. For example, the American Library materials.8 Marking a large collection can Association’s Questions and Answers on be very time-consuming, particularly if Privacy and Confidentiality states: done in one batch. At OSU, the majority of the books and serial volumes in the In protecting the privacy rights and special collections were labeled with call the confidentiality rights of library numbers and barcodes on acid-free flags users, librarians should limit the de- many years ago, and the remainder are gree to which personally identifiable being labeled during preparation for a information is monitored, collected, collections move or on an ad-hoc basis disclosed, and distributed.5 as they circulate. This approach certainly makes the task more manageable, and the As one special collections administra- result is more accurate volume counts tor has stated about this apparent conflict, and other information in the system. We “Most integrated library systems are not highly recommend such an approach to designed to facilitate the separate man- inventorying, regardless of whether a agement of special collections circulation circulation system will be used. records, if indeed they are designed to manage special collections materials at Lack of Flexibility of ILSs all.”6 Special collections librarians may have an The much smaller market share of unrealistically negative view of the flexibil- special collections means that most ILSs ity of their organization’s ILS, particularly are not designed to manage special col- if they do not have hands-on experience lections in the way they accommodate with its setup or management. Special resource sharing among large library collections staff may not have contributed systems or patron-initiated checkout, to initial decisions about ILS implementa- but the OSU experience proves that they tion, with predictable results. Nonetheless, can be adapted to do so. If objections are many setup decisions (such as creation raised about the need to maintain a paper of distinct “locations” or circulation loan trail, an institution could always main- rules) can be revisited to adapt the system tain separate files, using the traditional to a more holistic environment. multipart call slip or a database, and use Many systems are very flexible, allow- circulation data in the aggregate for sta- ing specific rules for special cases; the tistical purposes. This approach seems to need to accommodate various types of be quite common.7 material into catalogs, such as born digital Using Circulation Systems for Special Collections 31 resources, reserves, and foreign language collection retains an identity and exists materials, has driven the development of as a separate location in our ILS, Innova- systems to become more accommodating tive Interfaces Inc.’s Millennium. Existing to the needs of special collections as well.9 policy ensured that all recently acquired We found at OSU that other nonstandard books and serials are reflected in the materials, such as reserves or electronic catalog, so new materials are added with materials, o en presented “unique” needs bibliographic and item records, although that could be accommodated reasonably many materials (particularly unpublished within the existing parameters of the cir- items) remain uncataloged. culation module. By fostering cooperation Although staff have a empted over the among those responsible for various types years to standardize some administrative of materials, the needs of special collec- record keeping, even going so far as to tions can be met more easily. create a common patron registration form, many differences in servicing materials Perception of Effort persisted across the collections. Paper To the objection that such a project would forms were used for both patron regis- take too much work, we can only say tration and material requests. Locations that such an implementation does take had different policies about who needed time and effort. However, years of effort to register and how to handle materials have gone into keeping paper statistics. It “on hold” for users who would return may appear easier to maintain the status later. Most important, all these paper quo than to revisit everyday procedures forms were rarely, if ever, analyzed, due central to the collection’s operation; but to the overwhelming nature of the task no system, no matter how long-lived, that was, understandably, a low priority. operates without a considerable amount However, given the increased emphasis of support. on outreach and serving broader user Despite perceptions that using an populations, curators were o en asked automated circulation system would not to document use without having such work in a special collections and archives information easily at hand. For example, environment, a team of staff working on the university’s Academic Plan contains the project at OSU (including a systems Strategies that include “Create a Diverse manager, the head of special collections University Community” and “Help Build cataloging, and the curators responsible Ohio’s Future,” both of which suggest a for each collection) have developed a sys- need to reach beyond the traditional users tem that not only overcomes these objec- of special collections.10 tions but returns significant results. The team realized it would be essential to the project’s success to start on a small Institutional Context scale, ensuring that any work done would To illustrate the scope of this implementa- be scalable to the much larger special col- tion, it is important to understand that the lections environment. With both cataloged OSU system has holdings of over four mil- and uncataloged materials in the picture, lion bibliographic records and over seven and the need to accommodate both local million item records and is part of a state- (OSU) and visiting users, we decided to wide consortium of more than 85 institu- implement the project in phases. tions using a shared catalog containing 45.3 million records. Special collections at Implementation OSU consist of ten individual collections, Phase One consisted of “circulating” cata- each with distinct subject foci, located in loged materials at the Jerome Lawrence several physical spaces. Although an on- and Robert E. Lee Theatre Research Insti- going renovation project will consolidate tute (TRI) to users affiliated with the uni- four collections into a shared space, each versity. These users already have patron 32 College & Research Libraries January 2008 records in the system. Fully cataloged new patron records for nonaffiliated materials (those with both bibliographic users. Both the on-the-fly bibliographic and item records) only needed small and item records and the patron records changes to their status, accomplished were created with templates devised by through batch updates, along with the project team, reducing the chance for changes to the circulation parameters, to data entry errors. allow “checkout.” Student assistants were Several ILS system details required then trained to use the circulation system manipulation, of course. Materials needed instead of paper forms for these materials, to circulate without staff manually over- with special documentation created to riding their status each time, but local explain only those circulation functions and consortial patrons, accustomed to for which there was a need. having materials delivered, needed to A er approximately one year of test- be prevented from placing requests on ing, with very encouraging results, we these items. Luckily, such an item status began Phase Two. This consisted of creat- already existed for in-library-use music ing “on-the-fly” records for uncataloged materials. material. Again, the ILS already had this Patron types are locally defined at OSU functionality, but we made minor adjust- with a high degree of granularity; we can ments for special collections records. identify faculty, graduate students, etc. A We also created a “cataloging queue” new patron type for “special collections location, so that once materials were restricted” was created to track nonaf- returned, they were funneled for prior- filiated users. We are exploring ways to ity cataloging. At the same time, senior define this category further that includes staff members were authorized to create community members and visiting schol-
FIGURE 1 Selecting Template for “On-the-fly” Item Record Creation, Millennium Circulation
© Innovative Interfaces, Inc. Using Circulation Systems for Special Collections 33 ars. We are also implementing a special the same type of simplified documenta- patron record to track interlibrary loan tion we used in our project. usage via photocopies. The “promotional” aspect of this Obviously, training was, and continues project should not be overlooked. Many to be, an issue. We found that student as- materials that were not reflected in either sistants, previously assigned to the desk OCLC or our local or consortial catalogs based more on their schedule than their are now cataloged in these systems. As experience, needed specific training and bibliographic records are repurposed and authorization for these tasks. Front -desk exposed through efforts like Open World- duties were assigned to fewer students Cat, special collections materials at OSU than was previously the case. Learning will receive additional exposure. the circulation interface took time for se- nior staff who had been more accustomed Future Plans to the catalog’s public interface. Ongoing The success of this limited implementa- training will be required as new staff tion has encouraged the team to expand arrive and as the inevitable changes are the project, with plans calling for all made to the ILS. collections to be involved within a few years. The addition of another collection Results has revealed the need to address new Within the first few months of Phase One, issues, such as recalling material from the results were impressive. Circulation remote storage and tracking use of subject data showed a very high level of collec- clipping files, all of which can easily be tion use by undergraduates and honors accommodated through our system and undergraduates, which was a pleasant which will continue to figure largely in surprise. This trend underscored the OSU special collections and archives admin- curators’assertions that special collections istration. support the curriculum and the mission Obviously, ongoing review of records of the university, in addition to being and statistics will be needed to catch the used by external researchers. As the months progressed, other trends were visible, and will be FIGURE 2 useful for planning purposes, Percentage of Users by Patron Type, particularly as the collections January 2006–April 2007 consolidate many operations in the renovated space. 3.60% Cataloging of nonbook mate- 4.00% rials has increased due to their 13.20% circulation and subsequent placement in the cataloging 37.40% queue. Manuscript collections, 5.00% in particular, are being cata- loged as they are used, with item records being created that more accurately reflect the extent of the collection. Addi- 21.80% tionally, the process for creat- 14.90% ing “on-the-fly” records led to OSU undergraduates OSU Honors undergraduates adoption of a simplified process OSU graduate students OSU staff for cataloging free electronic OSU faculty Locally restricted patrons books, created by collection Other affiliations managers themselves and using 34 College & Research Libraries January 2008
FIGURE 3 systems staff, con- Percentage of Circulated Material by sult with circula- Format, January 2006–April 2007 tion experts even if it means educating 21.50% them about special collections. We were surprised to learn that many things we thought would 6.60% be exceptional were already possible in 0.20% limited ways with 3.30% our circulation mod- 68.50% ule. In addition, sys- tem vendors may provide a broader view of the possibili- Monographs Serials Microforms Audiovisuals Manuscripts/Other ties of the so ware than those “in the trenches” of a par- inevitable mistakes that creep in due to ticular institution. human error, but this is much easier to Flexibility is a must, both in the man- do than in the previous paper system. agement of the collection and the imple- Standardization of registration and cir- mentation of the system. Since student culation practices will allow for a more assistants or staff will be critical to the accurate reporting of usage statistics as success of this kind of project, it is cru- well as collection size. cial to provide them with support and to listen to their feedback. Using the current Recommendations for Other generation of systems is much easier than Institutions those of years past. Based on our experiences, we would Small steps are o en very effective. If like to share some recommendations for resistance is encountered based on one those interested in exploring the use of or two perceived limitations, it might their ILS’s circulation system for special be possible to address these perceptions collections and archives. without abandoning the entire project. Tailor the implementation to the needs Finally, continue to use whatever system of your organization. There might be is currently in place for as long as is nec- simpler ways to accomplish your goals essary. Eventually, the superiority of the than we needed at OSU. Determine what automated system will become obvious. kinds of information should be collected, and figure out how to get it, rather than Conclusion creating more complications than neces- While using an integrated library system sary. For example, we explored the option is hardly revolutionary in the age of social of using the “track in-house use” function networks, user tagging, and other cu ing- for this project, a feature that is designed edge library applications, the rethinking to count use of serials found sca ered of processes involved in this project has throughout the stacks but not actually in many ways transformed “circulation” checked out. This practice might be suf- of special collections and archives. The ficient for some collections. emphasis on outreach and assessment Cooperation and collaboration are that drives a culture of accountability essential. In addition to the expertise of has reached libraries, and, in respond- Using Circulation Systems for Special Collections 35 ing to this need, OSU has realized many same time, the involvement of library staff benefits. across the organization has led to a type In addition to simplifying the daily of cross-training that has given all of us a work of materials management, this proj- higher level of appreciation for the differ- ect continues to provide a great deal of ent aspects of library service in which we useful information about the users of our specialize. Most important, we are “doing materials that will be essential in the future right” by the library materials and patrons for projects such as seeking grants and we serve every day by making our collec- making internal funding requests. At the tions more accessible to the world.
Notes 1. Daniel Traister, “Is There a Future for Special Collections? And Should There Be? APolemi - cal Essay,” RBM 1, no. 1 (2000): 54–76. 2. Association of Research Libraries Exposing Hidden Collections initiatives. Available online at www.arl.org/rtl/speccoll/hidden/l. [Accessed 24 February 2007]. 3. Association of College and Research Libraries, Guidelines for the Interlibrary Loan of Rare and Unique Materials, available online at www.ala.org/ala/acrl/acrlstandards/rareguidelines.htm and Guidelines for Borrowing and Lending Special Collections Materials for Exhibition, available online at www.ala.org/ala/acrl/acrlstandards/borrowguide.htm. [Accessed 23 February 2007]. 4. Association of College and Research Libraries, Guidelines for the Security of Rare Books, Manuscripts, and Other Special Collections, section VI. Researchers. Available online at www.ala. org/ala/acrl/acrlstandards/securityrarebooks.htm. [Accessed 30 November 2007]. 5. American Library Association. Available online at www.ala.org/Template.cfm?Section=inte rpretations&Template=/ContentManagement/ContentDisplay.cfm&ContentID=141474. [Accessed 24 February 2007]. 6. Christian Dupont, “Online/automated circulation / patron record retention.” Available online to list subscribers at h p://lists.ala.org/wws/arc/rbsm/2006-08/msg0000.html. [Accessed 6 August 2006]. 7. Christian Dupont, “Online/automated circulation / patron record retention—summary of responses to date.” Available online to list subscribers at h p://lists.ala.org/wws/arc/rbsm/2006- 08/msg00004.html. [Accessed 14 August 2006]. 8. E. C. Schroeder, “RFID in Special Collection Libraries.” Available online to list subscribers at h p://lists.ala.org/wws/arc/rbsm/2006-10/msg0000.html. [Accessed 2 October 2006]. 9. Beth M. Russell, “Description and Access in Rare Books Cataloging: A Historical Survey,” Cataloging & Classification Quarterly 35 no. 3/4 2003: 518. 10. The Ohio State University Academic Plan. Available online at www.osu.edu/academic- plan/strat.php. [Accessed 24 February 2007].