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Report on the Review of Acquisition Processes for Collections

December 2010

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Annex C: Review Criteria

1. Governance

1.1 The branches responsible for collection development have a collection development management framework, strategic directions, annual work plans and management tools that ensure the coordination, oversight and representativeness of acquisitions.

1.2 The branches responsible for collection development have internal policies and procedures that ensure the appropriate coordination and oversight of acquisition processes and minimize the risk of arbitrary acquisitions.

1.3 Mechanisms are in place to ensure appropriate accountability for acquisitions made and to enable informed decision making in terms of directions and activities for achieving LAC's expected results.

1.4 The divisions responsible for areas of interest that comprise LAC's collection have established acquisition criteria that ensure appropriate and consistent oversight of acquisitions in line with LAC's priorities and that minimize the risk of arbitrary acquisitions.

1.5 The decision-making process in the collection's strategic development and approval of major acquisitions is supported by formal committees that have specific mandates and clearly defined responsibilities, supported by appropriate results reporting.

1.6 The roles and responsibilities of managers and other stakeholders in the collection development process are clearly defined, communicated and understood.

2. Risk Management

2.1 The branches and divisions responsible for collection development have established frameworks to help determine the risks and mitigation measures associated with their acquisition sections to ensure sound collection management based on LAC's acquisition priorities and strategies.

2.2 Acquisition resource planning and allocation is carried out based on the risk assessment.

3. Acquisition Management Controls

3.1 Control mechanisms are in place to ensure that acquisitions are made in a manner consistent with the directions, plans and processes established by the collection branches and minimize the risk of overlaps and arbitrary acquisitions.

3.2 Acquisitions are formally evaluated before they are made. They are covered by a contract that includes standard, complete clauses. They include formal documentation and are captured in the appropriate databases and catalogues in order to minimize the risk of overlaps and arbitrary acquisitions, ensure representativeness, and provide appropriate acquisition management and monitoring in accordance with acquisition priorities.

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