Refer for replacement overview: missing and billed items

Author: Elizabeth Dupuis
Posted in: Collection Services Council

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: NRLF materials.”

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  • update holdings information for items withdrawn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.

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 (Bancroft materials are billed to ban2x. All other replacements for on-campus material are billed centrally to auldx. Any items being replaced that are shelved at NRLF should be billed to nrl2x.)
  • 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.

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: “pottsmissingoct2017.xls” or “pottsbilledpaidoct2017.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: Celia Emmelhainz
  • Unit designee: Dori Hsiao

Art History/Classics:

  • Replacement decisions: Lynn Cunningham, Jeremy Ott
  • Unit designee: Samantha Teremi

Bancroft:

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

Bioscience, Natural Resources and Public Health:

  • Replacement decisions: Shannon Kealey
  • Unit designee: Janice Cripe

Chemistry:

  • Replacement decisions: Kristen Greenland
  • Unit designee: Jenna Kreiss-Winterberger

Doe Reference:

  • Replacement decisions: Abby Scheel
  • Unit designee: Georgia Dong

Earth Sciences/Map:

  • Replacement decisions: Susan Powell, Samantha Teplitzky
  • Unit designee: Jenna Kreiss-Winterberger

East Asian:

  • Review coordinator: Yuko Okubo
  • Replacement decisions: Jianye He, Toshie Marra, Jaeyong Chang, Susan Xue
  • Unit designee: Yuko Okubo

Engineering:

  • Replacement decisions: Lisa Ngo, Anna Sackmann
  • Unit designee: Jenna Kreiss-Winterberger

Environmental Design:

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

Ethnic Studies:

  • Replacement decisions: Lillian Castillo-Speed, Sine Hwang Jensen
  • Unit designee: Robert Toyama

Gardner (MAIN) Stacks:

  • Replacement decisions: All MAIN selectors
  • Unit designee: Ruth Haber (Social Sciences), Jennifer Osgood (Arts & Humanities)

Graduate Services:

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

Institute for Transportation Studies:

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

Institute of Governmental Studies:

  • Replacement decisions: Julie Lefevre
  • Unit designee: Julie Lefevre

Lawrence Berkeley National Lab:

  • Replacement decisions: Michael Golden, Brian Quigley
  • Unit designee: Jenna Kreiss-Winterberger

Mathematics/Statistics:

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

Media Resources Center:

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

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: Paul Lynch
  • Replacement decisions: All MAIN selectors
  • Unit designee: Paul Lynch

Optometry/Health Sciences:

  • Replacement decisions: Debbie Jan
  • Unit designee: Janice Cripe

Physics/Astronomy:

  • Replacement decisions: Samantha Teplitzky
  • Unit designee: Jenna Kreiss-Winterberger

Social Research:

  • Replacement decisions: Susan Edwards
  • Unit designee: Dori Hsiao

South/Southeast Asia:

  • Replacement decisions: Adnan Malik, Virginia Shih
  • Unit designee: Vaughn Egge

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

Legacy Data
Author: Elizabeth Dupuis
Approval Group: PSC
Update Group: Collection Services Council
Last updated date: 09/19/17

Archived Comments

Updated Contacts
Fri, 9/19/2017 – 16:34 — edupuis
Updated contacts lists

Updated Appendix I
Fri, 10/16/2015 – 14:34 — josgood
Updated contacts list for AHIAS Division designees.

Updated Appendix I
Sat, 07/11/2015 – 16:50 — Elizabeth Dupuis
Appendix I has contacts updated as of July 2015

Revised 9/2013
Wed, 09/25/2013 – 20:33 — Elizabeth Dupuis
Updated contacts at library locations

Billed not paid
Fri, 10/19/2012 – 12:09 — Charis Takaro
Updated to indicate suppression schedule for billed not paid items

Created: April 28, 2016
Last revised: February 24, 2020
Review date: None set

Comments 2

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