Refer for replacement overview: missing and billed items

Author

Elizabeth Dupuis

Approval Group

ILSSC
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Last updated date

08/28/14

Approved

Global

Procedure

Refer for Replacement Procedures for Missing and Billed Items

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Background

The complete refer for replacement process relies on a wide range of library staff and a commitment by all units to follow these shared procedures.  The process for selector notification of missing items and transmission of replacement decisions, which used to depend upon paper cards, will now be done with Millennium-generated reports in the form of Excel spreadsheets.  

On a regular schedule, selectors are responsible for finding and sorting out their titles and indicating replacement selections to the appropriate staff; circulation staff are responsible for clearing holds; designated staff are responsible for updating item record statuses and submitting orders; systems staff are responsible for running the batch withdrawal of item records; and processing staff are responsible for handling replacement copies and updating holding records.

There is one schedule for the “Missing 3 Months +” and “Billed/Paid” lists, and another schedule for the “Billed/Not Paid” list due to different actions needed.   Items shelved at NRLF that are missing or lost will go through a similar but different process, outlined in “Refer for Replacement Procedures for Items Shelved at NRLF” (under development).

These procedures outline the steps for library staff working with “Missing 3 Months +”, “Billed/Paid” and “Billed/Not Paid” lists to:

  • retrieve and review Millennium-generated reports of missing and billed items
  • identify items to replace and provide fund information
  • update item status codes for items to replace and forward to Ordering Unit
  • transfer or clear holds
  • withdraw and/or suppress item records programmatically in a batch process
  • update holdings information for items withdrawn
  • catalog and make available replacement copies

Policy

Given limited collection budgets and shelving space, selectors will continue to choose replacements with due care, considering the availability of circulating paper copies at Berkeley, Stanford, or an RLF.  Selectors may also want to check for the availability of an e-book in Google Books, HathiTrust, or The Library’s collection of licensed and purchased titles.

Reviewing “Billed/Paid” and “Missing 3 Months +” Lists:
Selectors will consult the “Billed/Paid” and “Missing 3 Months +” lists each quarter on January 5, April 5, July 5, and October 5 and send their decisions about titles they wish to replace to the designated staff member by the end of that month. The designated record updater will complete all their work by February 20, May 20, August 20, and November 20 and Systems will withdraw the records on March 1, June 1, September 1, and December 1.

Reviewing “Billed/Not Paid” Lists:
Selectors will consult the “Billed/Not Paid” list each quarter on February 5, May 5, August 5, and November 5, and send their decisions about titles they wish to replace to the designated staff member by the end of that month.  The designated record updater will complete all their work by March 20, June 20, September 20, and December 20 and Systems will batch suppress (pseudo-withdraw) the records on March 1, June 1, September 1, and December 1.

Procedures

For all lists:

1. The selector and/or review coordinator for each library location (listed in Appendix 1) retrieves the reports from the “Referred to Selector” site:  http://www.lib.berkeley.edu/cgi-bin/notices/refer2selector.cgi

Choose report type and location from the dropdown menus, then click submit to open the report spreadsheet in Excel.  Reports for Gardner (MAIN) Stacks are also posted on the Doe/Moffitt Staff Wiki under “Collections”: http://www.lib.berkeley.edu/wikis/doemoff/index.php?n=Main.Collections

 The reports that must be reviewed are:

  • Missing 3 Months +:  Status of "f" and internal note of "refd2selector yyyymmdd" where the date is 3 months back and older (missing items not previously resolved; a summary of the search cycle is listed in Appendix 2)
  • Billed/Paid: Status of "$" (Patron paid bill or bill was waived)
  • Billed/Not Paid: Status of "n" and overdue date between 6-9 months (generally item has been overdue for 1 month, then billed and not paid for 5-8 months)

 

2.  Selectors review the reports to identify the items they wish to replace.

Reports have the following columns (see screenshot in Appendix 3):

  • owning location
  • date added
  • item record number (live link to Oskicat record)
  • call number
  • volume number (if appropriate)
  • copy (the number 1 will appear if the location has only 1 copy)
  • publication title
  • publication author
  • barcode
  • number of holds
  • number of circulations during the current fiscal year
  • bibliographic information: place of publication, press, year
  • country code

Rows may be deleted.  Do not change, delete, or rearrange any columns.  Do not add any columns on the left side or in the middle of the data.

Spreadsheet cells to be filled out by the selector, as needed:

  • fund to be used for replacement (Billed/Paid and Billed/Not Paid items may be placed on the BILRB fund; missing items should be placed on your x, m, or gift funds.)
  • out of print treatment: search (default action), photocopy, or microform
  • edition: default is the edition of the missing item—indicate if newest edition is preferred
  • duplicate locations: default is to replace even if another copy is available at the same location, in another campus library, or in an RLF
  • price limit: approximate ceiling for replacing OP material—optional
  • other notes

Spreadsheets may be sorted.  The embedded live links to Oskicat records facilitate the selector’s fact gathering during the decision-making process.   These live links will also be used by staff with Millennium record maintenance authorization to go into the records to update status codes to reflect the selector’s decision to replace.   A list of status codes appears in Appendix 4.  Selectors will use the cells in the last group of columns (starting with “fund to be used for replacement”) to enter replacement preferences.  There is no need to note availability of replacement copies because that information can be outdated, erroneous or not the best purchase option.

In the “Holds” column, the notation “yes” means a patron requested this item within the last six months, which may factor into the selector’s decision whether to replace.  Note: all holds will be canceled or transferred to another available copy before an item is withdrawn.

If an item on a report list is no longer missing, either because it is currently checked out or was located on a final search and recently checked in, it will automatically drop from the list the next time the list is generated. 

After August 2012 selectors can be assured that all items remaining in the Moffitt Library collection will be transferred to the MAIN collection and will be physically integrated prior to the Moffitt renovation.  Before August 2012, if a copy of another location’s missing item is in the circulating collection of Moffitt, selectors should email Jan Carter requesting a transfer of the Moffitt copy, indicating it is to replace an RFR item and providing the title and item number.  

3.  Selectors notify designated staff (listed in Appendix 1) of items they wish to replace. 

This step is not critical before the withdrawal or suppression of item records since items can be replaced or re-ordered at any time, though it is wise to consider replacement now to ensure regular decision making.

After selectors have filled in the appropriate cells with instructions for ordering the items identified to replace, their final product will be an Excel file that includes only the items they have chosen to replace.  The list should not include items pending later decision, items not to be replaced, items submitted for photocopy replacement ordered through the Preservation Department, or items which have a current active replacement order in Millennium. 

It may be easiest to create a new Excel file in which to copy and paste the full row of information about each item chosen to replace; another approach would be to delete all rows for items not chosen for replacement.  The selector sends that Excel file of items to order to the unit designee who will update item record status codes and forward to the Ordering Unit.  

For consistency, follow these conventions for naming your files:

    selectorlastname reportname monthabbrev year .xls     (omit spaces)

    Example: “burnettemissingoct2011.xls” or “burnettebilledpaidoct2011.xls”

4. Follow the next steps based on the type of list being reviewed:

- Next Steps for “Missing 3 Months +” and “Billed/Paid” Lists

- Next Steps for “Billed/Not Paid” Lists

Appendix 1:  Contacts by Library Location:

Anthropology:

  • Replacement decisions: Susan Edwards
  • Unit designee: Lillian Lee

Art History/Classics:

  • Replacement decisions: Kathryn Wayne, John Ceballos
  • Unit designee: John Ceballos

Bancroft:

  • Review coordinator: Steven Black
  • Replacement decisions: All Bancroft selectors
  • Unit designee: Steven Black

Bioscience and Natural Resources:

  • Replacement decisions: Sue Koskinen
  • Unit designee: Michele Buchman

Business:

  • Replacement decisions: Hilary Schiraldi
  • Unit designee: Laura Pfister

Chemistry:

  • Replacement decisions: Jeffery Loo
  • Unit designee: Agnes Concepcion

Data Lab:

  • Replacement decisions: Harrison Dekker
  • Unit designee: Tim Dennis

Doe Reference:

  • Replacement decisions: Myrtis Cochran
  • Unit designee: Georgia Dong

Earth Sciences/Map:

  • Replacement decisions: Brian Quigley
  • Unit designee: Jenna Kreiss

East Asian:

  • Review coordinator: Bruce Williams
  • Replacement decisions: Jianye He, Yuki Ishimatsu, Jaeyong Chang, Bruce Williams
  • Unit designee: Bruce Williams, Tomoko Kobayashi

Education-Psychology:

  • Replacement decisions: Susan Edwards, Margaret Phillips
  • Unit designee: Lupe Villegas

Engineering:

  • Replacement decisions: Brian Quigley, Lisa Ngo
  • Unit designee: Fannie Yip

Environmental Design:

  • Replacement decisions: David Eifler
  • Unit designee: Dori Hsiao

Ethnic Studies:

  • Replacement decisions: Wei Chi Poon, Lillian Castillo-Speed
  • Unit designee: Jeannie Imazumi-Wong, Marisol Zapater, Janice Otani

Gardner (MAIN) Stacks:

  • Replacement decisions: All Doe/Moffitt selectors
  • Unit designee: Nicole Waugh (for DMHSS, DMIUS and DMIAS selectors)
  • Unit designee: John Ceballos (for Art History/Classics selectors)

Graduate Services:

  • Review coordinator: Scott Peterson
  • Replacement decisions: Michaelyn Burnette, Jan Carter
  • Unit designee: Scott Peterson

Institute for Research on Labor and Employment:

  • Replacement decisions: Terence Huwe
  • Unit designee: Janice Kimball

Institute for Transportation Studies:

  • Replacement decisions: Rita Evans
  • Unit designee: Kendra Levine

Institute of Governmental Studies:

  • Replacement decisions: Nick Robinson
  • Unit designee: Mark Takaro

Mathematics/Statistics:

  • Replacement decisions: Brian Quigley
  • Unit designee: Jennifer Osgood

Media Resources Center:

  • Replacement decisions: Gisele Tanasse
  • Unit designee: Gisele Tanasse

Moffitt:

  • Replacement decisions: Jan Carter
  • Unit designee: Nicole Waugh

Morrison Library:

  • Replacement decisions: Scott Peterson
  • Unit designee: Scott Peterson

Music:

  • Replacement decisions: John Shepard, Manuel Erviti
  • Unit designee: Allison Rea

Newspaper/Microforms:

  • Review coordinator: Rebecca Darby-Williams
  • Replacement decisions: All Doe/Moffitt selectors
  • Unit designee: Rebecca Darby-Williams

Optometry/Health Sciences:

  • Replacement decisions: Susan Koskinen
  • Unit designee: Jenna Kreiss-Winterberger

Physics/Astronomy:

  • Replacement decisions: Brian Quigley
  • Unit designee: Jennifer Osgood

Public Health:

  • Replacement decisions: Debbie Jan
  • Unit designee: Nga Tran

Social Research:

  • Replacement decisions: Susan Edwards
  • Unit designee: Craig Alderson

South/Southeast Asia: 

  • Replacement decisions: Adnan Malik, Virginia Shih
  • Unit designee: Vanessa Tait

Appendix 2: Search Cycles

 Items are searched:

  1. The day after a search is first placed
  2. 9 days after search 1 was performed
  3. 19 days after search 2 was performed
  4.  4 months after search 3 was performed
  5. The status is then changed to f and it will appear on the Missing list.

Appendix 3: Report Spreadsheet

Sample report from the “Referred to Selector” page as viewed in Excel:

              

Appendix 4: Status Codes

Item record status codes, which may be helpful to you when looking at records in OskiCat, are:

-  AVAILABLE
-  DUE [date]
!  ON HOLDSHELF
$  BILLED & PAID
1  ON SEARCH (searched once)
2  ON SEARCH (searched twice)
3  ON SEARCH (searched 3 times)
a  NEW-BOOK SHELF
b  AT BINDERY
c  MISSING (referred for order)
e  ON EXHIBIT
f   MISSING  (referred to selector)
g  OUT4SCANNING
i   IN REPAIR
m  ON SEARCH  (reported missing)
n   BILLED-NOTPAID
o   LIB USE ONLY
p   IN PROCESS
r   RESTRICTED
t   IN TRANSIT
w   WITHDRAWN
z   CLAIMS RETURN

Appendix 5: Refer for Replacement Flowchart

NOTE: a more detailed flowchart is available by clicking here.

Comments

Revised 9/2013

Updated contacts at library locations

billed not paid

Updated to indicate suppression schedule for billed not paid items

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