Serials — Claiming – General Claiming Guidelines

Author: Judith Weeks
Posted in: Acquisitions Group, BTech

GENERAL CLAIMING GUIDELINES

(Questions regarding claiming can be directed to check-in-library@berkeley.edu)

CLAIMING RESPONSIBILITIES

RECEIVED DIRECT IN SSL

Subject Specialty Libraries are responsible for all as-encountered and Boolean claiming in Millennium.
Paper claims, which are printed centrally in PRU, are returned to the subject specialty library for review and mailing.  Claims for EBSCO and HARR placed in the claim queue via claiming in Millennium will be claimed by Periodicals Receiving unit for you.  If you do not want PRU to claim online, do not place the claims in the queue.

CENTRALLY RECEIVED RLOC=S

The Periodicals Receiving Unit is responsible for as-encountered and all Boolean claiming in Millennium.
Subject specialty libraries are encouraged to generate as-encountered claims and boolean claims from reviewing their centrally received titles in Millennium.  Print claims are reviewed and mailed by the Periodicals Receiving Unit.  PRU claims all online claims for HARR and EBSCO placed in the claim que even for received direct titles.

NEW ORDER CLAIMING

SerPay/Ordering Unit claims new orders. The Order Unit performs Boolean searches of all overdue orders.  A subject specialty library should contact these divisions if it believes a claim should be sent for a non-start new order.

TITLES CHANGING RECEIVING LOCATION (RLOC)

It should first be determined with what issue the address change will take effect.
The original location (Location 1) claims all issues prior to the starting issue.
The new location (Location 2) claims all issues after the starting issue.
If there is a gap or a lapse in holdings, the Order Unit claims all issues with the vendor during the ordering process.

ADDRESS CORRECTIONS NEEDED

When a title starts being sent to the wrong address, the unit that receives the item incorrectly addressed sends it to the correct receiving location.  The correct receiving location is then responsible for sending the incorrect mailing label (free of any writing or highlighting) to Ser/Pay for an address correction.  Annotate the box “Addr corr rfrd to Ser/Pay mm/dd/yr. [initials]”.  Refer again if address does not correct after allowing sufficient time.

TYPES OF CLAIMS

Claims can be divided into various groupings based on position of issue in the record, acquisition type, place of publication, location of vendor, etc.
Position of issue in the record: skipped issue and continuation claims

-A skipped issue is an issue that has not been received and is situated between issues that have already been received, thus producing a gap in the holdings.

-A continuation problem occurs when no successive issues are received.

Acquisition type

  • Purchase and Gifts (ACQ TYPE = s, i, g)

Send up to three claims for skipped issues and continuation problems.
If there is no response to the claims, refer the problems to the check-in-library@berkeley.edu account.

  • Library of Congress (ACQ TYPE=4)

Do NOT claim skipped issues.  Continuation claims are only sent after enough time has lapsed to allow receipt.

NOTE: There are some vendors due to the way they acquire material, only lapsed order claims may be made.  Do not claim skipped issues.  All Library of Congress, Hogarth, MeaBooks

SETTINGS

Millennium determines whether an issue is late based on two factors:

1) The expected date in the transaction date field of the check-in box

2) The DAYS BEFORE CLAIM field in the card parameters.

The CLAIM-ON date in the holdings record gives the date the first issue in the record will become late.

3) The parameters of the check-in card must be regularly reviewed and updated for accuracy against publication patterns and information provided in the colophon in the issue before claiming.

 

TRANSACTION DATES

1) All transaction dates for expected boxes should be updated during check-in based on receipt pattern, publication, vendor, source of material.

2) Active titles (Status F in the order record): There should be at least 10 expected boxes on the card with the appropriate transaction date.  This applies to new orders, updates, in process titles.

 

VENDOR ADDRESS

1) The vendor address on the holdings record will print on the claim.

2) Vendor addresses must be formatted as follows for proper printing on claim forms:

  • Maximum 5 lines
  • 28 characters per line preferred
  • Foreign vendors: The name of the country must be on the bottom line and in all caps. Any postal code must go on the same line as the city, and not on the line with the country.

3) If there is a coded vendor in the holdings record, there should be no vendor address; the latter overrides the vendor code and is printed on the claim form.

 

BOX STATUS VALUES

clm.1 mailed mm/dd/yr. [initials]; clm.2 mailed mm/dd/yr. [initials]; clm.3 mailed mm/dd/yr. [initials]

clm.1 ENET mm/dd/yr. [initials]; clm.2 ENET mm/dd/yr. [initials]; clm.3 ENET mm/dd/yr. [initials]

clm.1 FOKUS  mm/dd/yr. [initials]; clm.2 FOKUS  mm/dd/yr. [initials]; clm.3 FOKUS  mm/dd/yr. [initials]

clm.1 via email mm/dd/yr. [initials]; clm.2 via email  mm/dd/yr. [initials]; clm.3 via email mm/dd/yr. [initials]

& FOLL clm.1 [mailed, ENET, FOKUS, via email] mm/dd/yr. [initials]

 

NO REPLY TO CLAIMS

When there has been no reply to 3 claims for a skipped issue, status is changed to unavailable, date is blanked, staff note is placed in box “no reply to claims, dropped, [initials, mm/dd/yr]”.  Refer to your selector if issue is still in print and available for back order decision.   Update 866 with gap.

SPECIAL CLAIMING SITUATIONS

Continuation claims
Claim using the next expected box.

Add the claim note “AND FOLLOWING ISSUES” to the claim.

In the box-specific note, write “& FOLL.”.

Update transaction dates for all future issues after claiming.

Multiple skipped issues (not for lapsed orders)
Generate a claim for each missing issue up to 3.

If claiming more than 3 individual issues do not generate a claim for each issue, instead do the following:

Insert a dummy box that accurately reflects the issues to be claimed.

Generate a claim for the dummy box.

Use the claim note, if necessary for any additional information.

After generating the claim:

  • Delete the dummy box.
  • Modify the check-in box for each claimed issue:
  • Change the transaction date to the date of the claim.
  • Update the NUMBER OF CLAIMS field.

 

 Damaged and Defective Issues
Do not check-in issue.

Claim the issue.

Describe the problem in the prompted note to appear on the claim. (Ex.: “Received damaged” or “Rec’d defective copy”)

Modify the check-in box as follows:

  • Leave status as “Expected”
  • Change expected date to date claimed.
  • Change the number of copies field to “1”
  • Add a box-specific note describing the problem. (Ex. “Damaged issue repl. Clmd 8-6-13.tsjcw”)

For unbound regular serials damaged, print a label and apply, write on pocket label “Damaged issue repl. Claimed mm/dd/yr. [initials]”.  Retain the piece in case a replacement does not arrive or the vendor wants returned.

For comes bound or treat as comes bound, do not mark, retain the piece in case a replacement does not arrive or is needed to send back to the vendor.

Processing the replacement:

  • Check the issue in, the number of copies will say 2.Change the Staff Note in the box to say “Repl. rec’d for damaged issue mm/dd/yr. [initials]”, or
  • “Repl. rec’d for defective issue mm/dd/yr. [initials]””
  • Apply labels; write on call number label “replacement” or “repl.”.
  • FOR BOUND VOLUMES: -Process the bound volume following established procedures. Annotate on the verso of the title page lower left corner with the date, the word “replacement”, and your initials.  eg: “2-11-17 replacement [initials]”

CLAIM HINTS

  • Make sure the parameters of the card are set correctly.  Also days before claim is set for 90 days domestic, 180 days foreign, 365 for do not claim titles.
  • Don’t claim blank boxes, before you claim add a volume or date to the box.
  • Consider who the vendor is.  Some vendors send material themselves and not by drop shipment.
  • Was it a combined issue not checked in correctly as a single issue?
  • If you can, check online to see when, how, and if an item has been published.
  • Keep in mind often issues appear online before they are produced in print format.
  • Can you determine if the issue you lack was produced online only?

Do not claim too soon. Consider the following before writing a claim:
1) Pattern of receipt
· Were previous issues received out of sequence?
· Is this a numbered series that is published out of sequence?
· When was this issue received last year?
· Note that weekly and monthly publications may arrive out of order.
· Claim weekly publications after three weeks.

2) Mail delays
· Allow time for campus and library mail handling.
· Do not claim immediately around holidays.

Check-in or postal delivery backlogs.

3) Place of publication outside the US
· The piece may be delayed in the mail.
· Does this title come in shipments from foreign vendors only several times a year?
· What is the situation in the country sending the material? Sometimes a title’s availability is based on the current political economic situation in a country.

In general, do NOT claim after two years. Anything older may be rejected as too late to claim.
Claim Limits: Some publishers set a claim limit. Publishers will not honor claims made after a certain date.
1) Add a check note: (ex.: 3 MONTH CLAIM LIMIT)
2) Code the DAYS BEFORE CLAIM field in the card parameters accordingly.
Multiple Holdings Records: When there are 2 or more holdings records, check all cards before claiming. The missing issue may have been accidentally checked in as a duplicate copy on another record.
Claims can also be sent based on other factors. (See below)
1) Title’s pattern of receipt
2) Cost per issue
3) Information that an issue has been published

4) Drop shipped or sent in boxed shipments.

SPECIAL CATEGORIES

Comes-on titles (ACQ TYPE=i) (titles sent as part of a membership, service subscription, or on an order for another publication) these titles are checked in and claimed on their own records but are claimed referring to the parent order number.

Current only (titles not retained beyond a specified period)
1) Add a check note: Current only.
2) Only skipped issues covering the retention period should be claimed.
3) Depending on the priority of the issue, the owning location decides whether to claim skipped issues that fall outside the retention period.

Damaged in the mail/imperfect issue
1) Claim immediately upon receipt.
2) If volume is bound or expensive, do not mark; hold for possible return to supplier for credit.

LC Foreign Acquisition (ACQ TYPE=4)
1) Do NOT claim skipped issues. (The LC Acquisition Program does not keep back stocks of its material.)  Transaction date should be changed to 1-2 years ahead.
2) Skipped issues should be made unavailable and gapped in the 866 after enough time has elapsed allowing material to arrive (1-2+ years).  LC materials are often received late and out of sequence.  LC titles are often sent in batches of several months or years at a time.  Issues have been known to be sent 10 years later.

Sets within seps (Some issues of a Call # varies order are cataloged as sets.)

1) Verify the issue has been published before claiming.
2) All claiming is done from the Call # varies parent record.
3) Enter a box-specific note in the set record indicating a claim was sent.

Titles published out of sequence
Do not claim unless the issue in question has been published.

Unnumbered series
Claim only if the title, author, and publication date are known.

US Depository titles (ACQ TYPE=D; vendor=USGPO or DOCEX)
Do not claim.  Only claimed from shipping list if missing from shipment.

TYPES OF SHIPPING

Drop shipment – issues are sent directly from the publisher in the mail.

Boxed shipment – Combined shipments of materials are sent together with a packing list or invoice from the vendor not the publisher.

Third Party Vendor – Some vendors such as Harrasowitz, subcontract to other vendors such as EastView to send material. This material is often in mixed shipments of material we ordered from that vendor as well.

COUNTRY OF ORIGIN

The vendor, country of origin, and method of acquiring material determines if, when and how a title is claimed.  Titles that are not domestically published are more difficult to get missing issue or lapsed orders started.  The political climate can also affect ability to acquire material and needs to be considered.

 

BOX SPECIFIC NOTE ANNOTATION

Each check-in box has a public note and staff note.  Public notes can be seen by the public in OskiCat.  Staff notes can only be seen in the Millennium Client by staff.

Public notes should be used only for information you wish to be seen by the public, such as “on reserve”, “rec’d ENVI”.

Staff notes may contain permanent or temporary information can only have up to a max of 259 characters.

Always date and initial ALL NOTES in the staff note.

When a claim is actually made by physically mailing the claim or claiming the issue online for HARR and EBSCO, it is at that point a note is placed in the box in the following manner per examples below:

clm.1 mailed 1-15-18.tsjcw; clm.2 mailed 4-15-18 tsjcw; clm.3 mailed 7-15-18 tsjcw

clm.1 ENET  1-15-18.tsjcw; clm.2 ENET 4-15-18 tsjcw; clm.3 ENET 7-15-18 tsjcw

clm.1 FOKUS  1-15-18.tsjcw; clm.2 FOKUS  4-15-18 tsjcw; clm.3 FOKUS  7-15-18 tsjcw

clm.1 via email 1-15-18.tsjcw; clm.2 via email  4-15-18 tsjcw; clm.3 via email 7-15-18 tsjcw

& FOLL clm.1 [mailed, ENET, FOKUS, via email] 1-15-18. tsjcw

 

Please do not place a note in the box when you produce the claim using Millennium.  Only place the note when you ACTUALLY claim the issue.

 

OTHER INFORMATION ABOUT THE BOX STAFF NOTE

The staff note may contain many other types of information referring to status, publication, claiming, vendor correspondence, etc.  Be mindful, accurate and as minimal as possible when annotating due to the character limit.  Do not use this field for double check-in.

 

 

 

 

Created: April 25, 2018
Last revised: May 23, 2018
Review date: None set

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