? Manual, Library Staff Manuals, Boreham Library, UA Fort Smith

Importers: please do not try to download any records for items other than books. All non-book items should be referred to the Technical Services Librarian instead (Dennis). Many non-book items may have multiple records, no records, or records of widely varying quality. Selection and editing is often much more complex than book records.

NOTE: it should not be assumed that there is not yet a record for the title already in the INNOPAC. Records already in the INNOPAC may be overlaid by CatME, deleting valuable information, so everyone must be careful to check for existing records. Additions of reviews, etc., to existing records may be accomplished using MilCat to edit the record in INNOPAC directly, instead of the OCLC record (in fact, this may be easier).

Description: In order to create a list of possible items to purchase for the collection, the corresponding MARC records are located and download from OCLC into INNOPAC. Additional information is copied and pasted, inserted, or updated in the records as possible and needed. Records placed in this manner will be suppressed from appearing in the OPAC but not in MilCat. Using the OCLC numbers on them, the INNOPAC will overlay the imported records with newer versions containing complete cataloging later (excepting certain fields) if necessary.

Rationale: Since the library will have to catalog items on OCLC anyway, it should use OCLC records and have the original OCLC record number available. Vendor records can vary widely in quality, and would still have to be matched up to OCLC records at some point. When no OCLC record is available at the time of entry, the Technical Services Librarian will create a temporary record in INNOPAC for ordering only, and transfer ordering information to an OCLC record later (doing original cataloging on OCLC if necessary).

Note on Downloading/Uploading OCLC Records: records downloaded from OCLC are charged against our account. However, it can be more expensive (as of the AMIGOS Fee Schedule effective July 1, 2000) to use Z39.50 to get the records, so it is more cost-effective to download records from OCLC than Z39.50. It also allows us to update OCLC more easily later when processing is completed. Downloading records from vendors may result in more time spent later to match OCLC records, and the quality of vendor records may vary.

Note on paperbacks: when time is available, the paperback edition may be selected to save money (if there is no stated difference in the paper used (non-alkaline or library edition) and prebound, provided the total cost is significantly less than the hardcover edition. In the last two months (May and June) of the fiscal year, paperback editions should not be prebound due to the time factor; if a hardcover edition is not available, the paperback should be given a self-adhesive plastic cover during processing.
"Cloth" designates hardcover (cloth over board), "trade" designates large paperbacks, and "mass market" designates the small paperbacks (mass market versions being avoided if at all possible, as they are harder to read and use paper that deteriorates quickly).

Note on editions: The latest edition is always selected unless an earlier edition is specifically requested (preferred over the latest for some reason). However, a later paperback edition is not necessarily chosen unless significant content changes have been made.

Note on Standing Orders/Continuation Orders in the OPAC: Records for items on Standing Order or Continuation Order are maintained in the catalog but are available for viewing in the OPAC.
These will have a permanent 541 field describing the usual or last vendor in the first field, the type of order (and frequency and last/latest known publication in the |f field, and the last/latest known price and binding
The latest order will be in a second 541 field below the permanent one, and when received, it will be moved to a 590 field.

Load the Keyboard Express software for macros, if desired.

If not yet loaded, load OCLC Connexion software.

In Connexion, select Connect icon. This is the icon with the connected plug on it.

Enter or accept the login number and password as given; in OCLC software, if the information is not already present or the existing login is refused, stop and report it to the Technical Services Librarian.

OCLC should connect and eventually show a login message with a "Close" button chosen. Check the message for any relevant information, then click on the button or press Enter.

Press F2 and search by Author, Title, or ISBN. See "Searching" below. ISBN is most direct, but will not get the different editions (hardcover versus paperback), so try title and author first.
WARNING: the new 13 digit ISBN is in the 024 field in OCLC until the official changeover date (January 1, 2007) nears. Do NOT change or delete this field or data. ISBN searches for 13 digit ISBNs should not be the only search attempted until OCLC changes over to putting the 13 digit ISBNs into the 020 fields.

Special considerations in searching:

OCLC indexing is less than perfect. A book may come up by searching one way but not another, even though it appears as if it should.
titles cannot be copyrighted, so many items may have the same title
titles are changed (especially before publication) and therefore the title in OCLC may not match the one on the cover, or the one on the title page of the book with the differing cover
OCLC searching methods change over time, so are not detailed here. Check the latest version of search methods as provided by the Technical Services Librarian.

Record Selection

Record selection among multiple records is usually done by looking for the record that is (1) most correct, and then (2) most used by other libraries. Exceptions are made for serials (see below).

Remember that some changes may have been made since the publication was announced, so the "most correct" record may not appear to be as correct as another record.

The usual record chosen has an 040 field with DLC somewhere in the string (Library of Congress). This is usually the most used (see the number after "Total=" in the boxes at the bottom of the record for the number of libraries which have used this record.

Next most likely has OCL (for OCLC modified).

Records with an ELvl fixed field of "8" are CIP (Cataloging in Publication) and are based on the publisher's original ideas of how the item would be titled, etc. These records are valid, but will need to be updated with the proper title or whatever before sending to INNOPAC.

Choose DLC records over UKM (Library of Medicine) or NLM records.

Serials versus Monographs

Titles which are likely to be issued annually or more often should be placed on a serial record for ordering rather than a monographic record, whenever practical. There are, however, certain exceptions to this practice.

This applies even if the Library does not acquire every edition.

This rule does not apply when the title varies from volume to volume. Minor changes from year to year in the title should be examined by the Technical Services Librarian.

This rule applies only to the ordering record when the contents listed in the bib record vary from edition to edition. In such cases, monograph records are used for each individual edition while the serial record is used only for ordering. The monograph records are tied together by a uniform title or series field.
This allows more detail about the current edition to be placed in the record, without changing the record each time a new edition appears.

For replaceable serials: the year, for purposes of labeling & the Units field on the item record, is considered to be the stated year of coverage ("1995-1996 edition") when present; otherwise, the copyright year is used. This avoids confusion between the call number year and the one stated on the item. These items will be withdrawn (or circulated) and replaced by the next edition received.

For cumulative serials which add to earlier volumes: no date is normally used in the call number; the volume number is sufficient.

A 583 field states the disposition of other editions:
- REPLACES OLDER EDITIONS means that any older editions, if held, are withdrawn AFTER this edition becomes available for use.
- ADD TO EXISTING means that this edition is added to the older editions, and all editions are kept.

Modifying the Record with MARC fields

Once a specific record is chosen, it must be modified before sending (Exporting) it to INNOPAC. This may be done by applying a Constant Data format and making small changes, or using these instructions:

Note on OCLC characters: Special characters in OCLC include the subfield marker (which is a pipe | in INNOPAC) which is created using Ctrl-d and appears as a double-crossed pipe. Also, remember that a space is used before and after a subfield marker-letter in OCLC, but NOT in INNOPAC. Use the spaces before and after the subfield marker-letter or it won't work properly.
Also note that in a WWW URL, the punctuation characters must be exchanged for ASCII code equivalents: tilde ( ~ ) becomes %7E and underscore ( _ ) becomes %5F.

Delete the 948 field if present. This is a holdings field for other libraries and is not needed here.

The record needs special editing; some of this can be done by using the OCLC Constant Data feature or by Keyboard Express macros. EditConstant DataLocalApplyDefault is the icon showing blue page onto two smaller white pages (if using the default Constant Data chosen), or select a Constant Data by CatalogingSearchLocalConstantData.

Constant Data usually includes adding or modifying the following fields:

006 and 007 codes for non-book items included (such as CD-ROM in book, etc.)
049 field for the location code (usually defaults to ASZA for circulating nonfiction
the fields listed as OCLC Fields to Edit below

OCLC Fields to Edit

The following fields may be placed in Constant Data records (at least a basic version, to be edited for each individual bibliographic record) or inserted manually for each bibliographic record.

Insert a 541 field.
- In the h subfield put the list price, followed by the discount in parentheses and the resulting discounted price (the actual cost if available). Example: $25.95 (10% = 23.36).
- In the 3 subfield, if paperback or spiralbound, add pbk. or spiral as appropriate, following by + PREBINDING to indicate the paperback will be ordered prebound [note: this only applies to Ingram orders through the paperback account, or Midwest Library Service orders]
- In the f subfield put:
  - REQUESTOR: lastname, firstname with priority number and/or comments by them, each separated by a semicolon. "REQUESTOR: " is ONLY used for faculty and other people who need to be notified when something comes in or have special priority. This allows a search for faculty requests only without using individual names.
    Once in INNOPAC, a separate |f is inserted for each REQUESTOR, but not in OCLC (OCLC will not export multiple |f subfields).
  - The faculty approver for the request is shown by an asterisk followed by the last name, at the end of all the |f subfields.
    
    Example: REQUESTOR: Howdy, Stephen 1 REQUESTOR: Doe, Mary 2 * Jones
  - the initials (but NOT the Requestor prefix) of any library staff members;
Insert a 590 field. Enter the date as yymmdd and your initials. Example: 050407dv.

Create a 949 field (or apply from Constant Data) as in the following example, remembering to use the current date in place of yymmdd, and a semi-colon at the end: delete fields for unknown data as necessary.
- 949 *recs=b;ov= ;b1=a;b2=a;b3=o;bn=order;la=070328;
  The "b3=o" is when ordering immediately, otherwise use proper code.
  [remember the blank space after "ov="]
- 949 *recs=bo;dflt=cds;ov= ;b1=d;b2=y;b3=v;bn=cdisc;la=yymmdd;
- 949 *recs=b;dflt=cds;ov= ;b1=g;g2=q;b3=g;bn=cdisc;la=yymmdd;
Coding for 949 field:
- *recs=bo; will create a bibliographic record with an order record attached
- the order record ep (Estimated Price) code if used has no dollar sign (use discounted price if known)
- the b1 BGeneral code was a for books, or other code as appropriate
- the b2 BType code was a for nonfiction book or other code as appropriate
- the b3 BStatus code was v for consideration or o for ordering now
- the ov= code has a blank space to order that this record NOT be overlaid on any other
- the bn Location code is asza or appropriate location code
- the la date of entry field is yymmdd, for example 030318 for 2003 March 18; use the current date.
- the b1 BGeneral Code was v

Record Enhancement

Load the preferred browser and logon to Ingram iPage as necessary. Use the name and password assigned and then click on the button, or tab to the button and press ENTER .
Do NOT save the password; it would allow others to use this computer to access the ipage and possibly misuse the function.

Search iPage by Title, Author, ISBN or keywords (in that order of attempts) for the proper record. Title is usually done first to be sure to get all the editions (hardcover, paper, etc.). Searching by ISBN is done to be sure to match the OCLC record, as there might be other editions of the same title in separate records (such as hardcover and paperback records.

Note: often paperback editions are added to the hardcover record later if published by the same publisher. The Technical Services Librarian must decide. Also, the Other editions link sometimes shown on the record may go to a list of hits, some of which may actually NOT be the same book, so be careful. Do not, however, rely on having other editions linked on the record.

Ingram sometimes has odd spellings, abbreviations, alternate titles being used. Be sure to search by more than one method before deciding that any title is not present, especially ISBNs.

Alternate ISBNs:
In the event of hardcover and paperback versions of the same edition, with the same publisher, an 020 field is added to the MARC record in a new 020 field, using copy-and-paste for each ISBN: ISBN (binding)so that it can easily be determined which ISBN has which binding.
Example: 0123456789 (pbk.)
Additional ISBNs may exist for electronic formats (ebooks).
13 digit ISBNs may appear in the 024 field in OCLC until close to January 1, 2007. Do NOT delete or alter these, and do not copy or move them to the 020 field at this time.

The 262 field is the projected publication date. Take the month of publication and add it after the date in the 262 field, if the item is less than 2 years old. If the item already has several (more than 5) libraries holding it, delete the 262 field.

From the iPage section marked Description, if present, copy-&-paste the Publisher's Marketing into a 520 first indicator 8 field. Put this after the other 500 and 504 fields.

From the iPage section marked Review Citations, if present, copy-&-paste the citations into a 510 field, first indicator 2. Remember to remove the end-of-line when the line is short!

From the iPage section marked Reviews, if present, copy-&-paste the reviews from journals into 520 field(s), first indicator 1. Use one 520 for each individual review.
Preferred reviews should be in the greatest detail. Usually, Library Journal or Choice reviews are preferred, but use other sources if properly cited and more complete.

Doublecheck all the data, especially the 949 codes.

Use the Export icon (page with green arrow pointing right) to save the record to INNOPAC. There will be a popup window to note the progress of the export. Be sure the record was created. If the record was overlaid instead, it changed an existing record in the INNOPAC.

Exit the record.

Continue with a new search as time permits.

Note that OCLC will log off an inactive terminal after some time. Just log in again as necessary.

List of Records Ordered/Requested/etc.

The following section is for the Technical Services Librarian

Records for requested items not yet owned are gathered in a MilCat list (for books use dv CONSIDERATION books selected with the search of the same name, for a/v and nonbook formats use dv CONSIDERATION a/v selected with the search of the same name).
An additional MilCat file may be created specifically for any type of items requested by faculty, searching on the |f for the word REQUESTOR.

Director Approves Ordering

The following section is for the Library Director

The director designates records approved for ordering from the Consideration and other files. The following codes are used:

y for yes to order
n for do not order - delete except in special situations
z for see note Please notify the Technical Services Librarian to look for this code if used! Enter a note at the end of the 541 field with questions, comments, etc.

Reminders:

Attempts to 'shortcut' the usual procedures will inevitably result in delays at another point in the process, as well as delaying normal operations. What is easier for one person to skip now will be harder for another person down the line. A "rush" job for one faculty purchase means that other work is delayed while doing a less efficient procedure, so everyone else is making a sacrifice for this exception.

Materials may not be ordered until approved by the Library Director and the proper procedures followed. This usually includes getting approval for the purchase from the appropriate faculty approver.

Materials may not be accepted on a "trial", "preview", or similar basis until a Purchase Order is prepared. Normally, trials and previews are used only for items without proper reviews or previous examination. Telephone offers of previews are normally declined for these reasons.
Remind vendors and faculty that:
- If there is no Purchase Order, the material may be returned unopened by Receiving.
- If there is no Purchase Order, the material must be returned until a Purchase Order is prepared so the material can be properly accepted by shipping.

Requesting an item never guarantees it will be ordered.

Getting faculty approver to okay the purchase still does not guarantee it will be ordered.

Ordering an item never guarantees it will be received.

Problem vendors: There are scams and problems in publishing and library purchasing, just as in any field. Examples include:
- Sending invoices for materials never ordered or not ordered this time
- Sending an apparent or "pro forma" invoice for materials never ordered, or not ordered this time
- Sending material never ordered "on approval" or just claiming it was approved already, or calling to trick staff into giving an address or other information to make it appear that an order was made
- all the usual office supply, copier/printer toner supply, and related scams
- changing catalog descriptions/titles to make something old appear to be a new item (especially seen in audio-visual vendors' catalogs such as Films for the Humanities, and several publishers, often based outside the United States) and making it difficult to check for duplication
- setting a year of publication but not a month, or not holding to months announced (in the following cases be sure to check for libraries with actual holdings on OCLC before ordering):
- announcing a "new" edition which is really a paperback version of the old hardcover edition (example: Grove Press)
- vendors reported as being under investigation for complaints of fraud or dubious practices, including:
Publishers' statements about availability, quality of the work, the need for the item, or the promised date of publication or printing do not guarantee availability.

The speed of ordering is not entirely controlled by the library, and the speed of providing it is not at all controlled by the library. Sometimes the publisher does not send materials even through claiming that they are available for purchase. This is not the Library's or the wholesaler's fault; experience shows that the delay usually lies with the publisher.

The publishing industry often uses a "standard contract" which specifies that a title will be kept "in print" (theoretically meaning available for purchase) for a stated period. For some years now, this has been an area of dubious compliance, as titles are usually printed to exactly the number ordered with few or none kept on stock at the publisher (for financial reasons, including a court case which eliminated much of the depreciation tax advantage in stocking books over time, with the relevant storage costs). Therefore, many titles are reported as "temporarily out of stock" or "out of stock indefinitely" rather than officially out of print, but in reality, enough orders are unlikely to accumulate to justify the costs of a new printing, so such titles are really out of print. Admitting that, however, would be a breach of contract, and anyone calling might secretly be an author or agent checking on contract compliance, so publishers are known to, in effect, mislead or outright lie about the status of stock of a requested title.
Nothing is "Rush" unless the Acquisitions department knows it is "Rush". Limited numbers of items may be 'rushed' when received.

Order Approved Items

The following section is for the Technical Services Librarian

Create Req Numbers

Requisition (Req) numbers are created in the Banner system [training and authorization required]. This will provide the tracking number for the 541 bibliographic field and the l Req/PO order field, which ties the records together for each Requisition.

When there is no specific vendor known as yet and the items are books:

One Req (ink color red) is created for Ingram paperbacks to be prebound (which must be separated in Ingram orders), vendor code inbnd.
- The top comments line shows the Req number, vendor code, fund code, and the fiscal year.
  Example: library code R0012345 inbnd breg FY2003
- The next comments line uses the default code in Banner for Telephone Orders Do Not Send, which also applies to online and similar paperless ordering procedures.

One Req (ink color blue) is created for Ingram hardcover titles, vendor code ingra. The top comments line shows the same codes as the paperback Req but uses vendor code inbnd. The next comments line uses the default code in Banner for Telephone Orders Do Not Send, which also applies to online and similar paperless ordering procedures.

One Req (ink color green) is created for Midwest Library Service titles, vendor code ingra. The top comments line shows the same codes as the others but uses the vendor code midwe. Midwest separates the paperbacks themselves, so another comment line is added as Prebind all paperback and spiral. The next comments line uses the default code in Banner for Telephone Orders Do Not Send, which also applies to online and similar paperless ordering procedures.

When there is a specific vendor other than Ingram or Midwest, or the items are non-books:

For books: One Req (ink color black) is created, using the appropriate vendor code, for each vendor.
- The top comments line shows the Req number, vendor code, fund code, and the fiscal year.
- The next line(s) show any special instructions, discounts, etc.
- The last comments line uses the default code in Banner for Telephone Orders Do Not Send, which also applies to online and similar paperless ordering procedures.
  Example: R0012345 gale breg FY2003
For non-books: One Req (ink color black) is created for each vendor using the appropriate vendor code.
- The top comments line shows the Req number, vendor code, fund code, and the fiscal year.
- The next line(s) show any special instructions, discounts, etc.
- The last comments line uses the default code in Banner for Telephone Orders Do Not Send, which also applies to online and similar paperless ordering procedures.
  Example: R0012345 filmc breg FY2003

Assigning Items to Vendors

Using the Req numbers, the TSL creates orders in the manner appropriate for each vendor.

For book titles likely to be on Ingram iPage or ordered via Midwest:

Search on iPage (using the instructions above) and determine final ISBN of edition to be ordered

If the item is on iPage and available for order (in stock or on-order-and-likely-to-arrive), save to a list for an inbnd or an ingra order as appropriate under the name of the Req for that binding.

Note on paperback titles: these must be stocked in the TN (Tennessee) warehouse to be eligible for prebinding when ordering through Ingram. If not stocked there, the alternative is to order via Midwest.

NOTE TIME FACTOR ON PREBINDING: Ingram prebinding through Heckman is much slower than Midwest through San Val.
NO PAPERBACK ORDERS TO INGRAM FOR PREBINDING WILL BE SENT AFTER THE END OF MARCH, to allow time for materials to complete binding and arrive in time to be received on Banner.
NO PAPERBACK ORDERS TO MIDWEST FOR PREBINDING WILL BE SENT AFTER THE END OF APRIL, to allow time for prebound materials to complete binding and be received here on Banner.
Materials in paperback not prebound will be equipped with self-adhesive covers instead, as an alternative method.

Note on hardcover titles not in the Ingram default warehouses of IN and TN: if only available in OR or PA and (a) not on order elsewhere, or (b) desired quickly, then do NOT add to a selection list in iPage; just add the information to the record in INNOPAC and put the warehouse code at the end of the 541 field. That avoids having them backordered at the regular warehouses but allows them to be ordered on the same Req as the others.
When the actual order is made, they will be left out and can then be ordered using the Quick Order function and adding a warehouse code to the Req number to avoid confusion at Ingram.

Using Keyboard Express macros (if desired), enter the selected Req number and relevant pricing, discounts, edition and ISBN if a serial record, etc., in the 541 line. Items not available on Ingram but likely to be available through Midwest (discount unknown so not shown at this point) are also filled in.

Examples:

inbnd|cFY2003 breg R0012345 |h$12.95 pbk. (reg= 7.77 + BIND)|fmc; cf; jms

ingra|cFY2003 breg R0012346 |h$25.00 (NET) |fREQUESTOR: Blow, Joe 1; REQUESTOR: Doe, Jane 2 * Jones

midwe|cFY2003 breg R0012347 |h$50.00 |fdv2; wc1 * wc

ingra|cFY2003 breg R0012345 (2004 / 5th ed., 0123456789 ) |h$24.95 (10%= 22.45 + BIND)

Lists of records are created for each vendor code and sorted alphabetically by title.

Crosscheck and Update Records

The records are checked to be sure that a duplicate order is not being made for an owned or already ordered item.

Printing Book Slips

One page (slips) for each item is printed and bundled by Req number using MilCat Export and a word processor.

One page per title is printed with the following in this order:

From the bibliographic record:

Header in bold with Req number, vendor, fund code and fiscal year
o) OCLC record number
t) title
246) alternate titles, including Ingram and other variations
a) author
e) edition
s) series
p) imprint (city, publisher, year)
i) ISBN and/or 028 vendor number field
541) ordering field

From the order record:

i) identity (volume/part number, etc.)
f) vendor number
09) code 4 (binding: p,s, -)
05) copies
l) [el] Req #
n) note
z) internal note
26) order record #

From the bibliographic record:

583) action to take in processing
092|a ) call number

From the order record:

08) code3 (which should be ^) to use as page feed indicator

The data is exported from MilCat to a word processor using the @ symbol to mark field breaks. These are converted first with the @^ converted to a page break, and then the remaining @ to line breaks. Multiple reqs may be exported in one session.

The pages are printed by Req number, in title order.

The first page (with codes) is used as a cover sheet, with the vendor, fund code, number of titles and items, and the Req number (the p.o. number will go under it) in felttip or other heavy marker along the right edge of the page, so it is easily read in a file folder. A large paperclip or binder clip is used to hold pages together, usually left of the Req number (which is at the far right of the edge).

Enter Order into Banner and INNOPAC Records

Log into Banner, and find the existing Req matching the order in hand.

Enter the as much of the title field as needed, into the Banner order, for each title. Continue to enter the unit each, the number of copies, and the price each.

As the Banner order is completed, include a line for the estimated prebinding. Binding is figured at an average of $5.09 per item for both Ingram and Midwest.

Write the price totals on the front page of the Req, usually a couple of inches below the Req number along with the word "Banner" and the date the req was completed, with the operator's initials.

Inform the director that an order is ready for approval on Banner.

The information to date is entered along with the preliminary price into the spreadsheet for the current fiscal year. The Books and AV materials are entered on the Materials spreadsheet.

The Library Director approves the reqs and they are passed up the chain of approval in Banner. Completely approved reqs have purchase order numbers assigned, are printed by Banner and sent to the Library as purchase orders.
The waiting Req is filed by the Technical Services Librarian in a pending file.

Sending Orders to Vendors

Each purchase order is sent or transmitted to the vendor by various methods as below. Standing Orders are not, but instead kept on file awaiting receipt of materials.

Ingram orders are sent electronically using the already assembled list in iPage. A confirmation is sent with a listing of titles by email. This is checked and any items not available at the default warehouses are ordered from the OR or PA warehouses using the iPage Quick Order feature. It is important to avoid using Quick Order if a title is only backordered, not unavailable, at the regular warehouses.

Send Order to Vendor: Ingram

The records on the Ingram iPage list must match with those on the Req/P.O. Once this has been checked, the order can be placed through iPage using the existing list.

Log on to iPage using a logon authorized to order.

The Shipto account number is selected:

2053602 for direct shipping to the library (no prebinding) for hardcover and Alibris out of print titles
2019994 for prebinding (ship to binder)

Click on the Order tab, then select Collection Development.

Select the list corresponding to the Req/PO and click on Order.

Fill in form.

Enter the purchase order number where required.

The warehouse should be PAIR for non-prebinding orders. The warehouse should be LaVergne, TN (Primary) for prebinding. For items not at these warehouses, a separate Quick Order for each other warehouse (OR or PA) may be made.

The backorder is normally Yes but this becomes No after January. If no longer at Ingram, it will be ordered through another vendor.

Change Hold to Release. to have items shipped immediately, and not saved up for a batch shipment.

Leave Shipping Instructions as Use Standard Ingram Shipping Instructions unless another method is desired.

Enter the logon password and click on Order, then confirm as requested.

Log out of iPage when all work is done.

Write the date sent on the cover page of the req and in the log book.

When the Ingram report comes in by email, print the results and attach them to the back of the Req bundle.

If items are not available through the regular warehouses of IN and TN and are NOT backordered for the Library at either of those, orders may now be submitted using the Quick Order system from OR or PA as they may have stock. Add a letter "o" to the purchase order number for OR and a "p" for PA, to avoid confusion at Ingram.

Sending Midwest Orders

Midwest orders are exported from MilCat to word processor, edited, and pasted into an email to orders3@midwestls.com with the purchase order number, account number, and instructions to prebind all paperback and spiral (except the last two months of the fiscal year).

Sending Amazon Orders

Amazon orders may be ordered via PCard or electronically ordered at the Business Office using their account. Details and the order date are included on the printed purchase order.

Sending Other Orders

Other orders are handled in the best manner.

Receiving Materials

The following section is for the Library Tech handling receiving.

Materials are received and invoices used to check completeness while the Req is pulled from the file and then the book slips are used to check for correctness. This must be done by the Library staff and not by the campus receiving staff, as the purchase order and packing slip information is not sufficient to allow accuracy. Materials checked in by non-library personnel must still be checked and verified by library personnel so corrections can be made if necessary.

The shipping label is carefully examined to be sure that the Library is the proper recipient. The Library's address is sometimes the default address used by the vendor's system, while the material may be intended for someone else on campus. This fact may only be visible on the packing list or invoices, or not at all.

Packages are opened carefully to avoid damage to materials or enclosures. The package marked as containing the shipping list is opened first, if there is more than one package.

Any packing slips or paperwork is removed from any outside envelopes or from the package. In some cases, the packing list is in the form of a label on the package itself.

The package's address and items received are checked against any packing list/invoice.

Receivers will beware of:

duplicates
incorrect items, including wrong editions and similar titles
missing items
defective bindings
items in the wrong dust jackets
items with mismatched or missing or substituted pieces
shipping or other damage
materials not ordered sent with invoices or obligations
donated materials
shipments intended for elsewhere on campus
other problems

Items and packing list are checked against library records such as computer book slips, INNOPAC records, and matched to any existing voucher and/or purchase order. The information in the INNOPAC record, being more complete, is preferred as the source of matching information, but most problems can be spotted from the book slip information.

Unpackers will beware of getting the next volume in a series instead of the one ordered, such as getting TITLE NAME II instead of TITLE NAME. The ISBN should be different in such cases, so check the computer record.

Unpackers will beware of using the ISBN from the CIP (Cataloging in Publication data) instead of the actual ISBN; the CIP may be from an earlier outdated edition or volume. Publishers have been known to make mistakes or deliberately reuse an ISBN. In some cases, a distributing publisher may use a different ISBN than the one ordered; consult the Technical Services Librarian about discrepancies.

The Library may get the paperback edition, prebound, rather than the hardcover edition, especially from a bindery (such as San Val or Heckman). Such substitutions are acceptable; Midwest is set up to do that, rather than report the book completely unavailable.

Alibris and other out-of-print vendors may send a different book (date, publisher, etc.) than on the book slip. This might be acceptable anyway (the bib record was often selected from very limited information); check with the Technical Services Librarian.

CARRYOVER ITEMS: Items carried over from requests/purchase orders from previous fiscal years which arrive in the current fiscal year must be assigned to new requests/purchase orders created for them in the current fiscal year, using current funds, before being accepted. Materials from the past fiscal year will not be checked in on a past year purchase order. Give them to the Technical Services Librarian.. They are to be referred to as "standing orders" for the purposes of the Banner system, but the number of copies is entered as a regular order in INNOPAC. All invoices and paperwork should be corrected to remove outdated purchase order numbers. Such materials are held after creation of a request until the purchase order arrives and the normal receiving process may continue. This reduces the confusion between years and purchase orders as to when funds were spent.

Items requiring payment are held until matched to an invoice (unless purchased on approval or as a periodical). Purchasing is called for an invoice copy if it went directly to them. Items will NOT wait more than two weeks for an invoice; they will be investigated if one does not arrive and the Technical Services Librarian notified.

Unordered merchandise with invoices or indications of obligations (notice of receipt required or other paperwork) are not be handled further until cleared by the Technical Services Librarian. It may be accepted as a donation or returned to the sender [see Donations, above].
Remember that other persons at the University might have - knowingly or unknowingly - approved preview or purchase. Often, in such cases, the library is the default address with the vendor, so the material is sent to the library with no information on who is to have it.

If item is on an approval basis, enter the receiving date in the INNOPAC record, and then notify requestor(s) to come and review the item. It is important that materials be returned promptly to avoid being charged for the item if it is not wanted. Materials due for return must be returned immediately if not approved for purchase, even if not previewed. The return date is noted in the order record and on the paperwork. This reduces confusion over whether or not materials were returned.

Faculty who do not show up to claim items for preview may be on a incompatible schedule (9 month instead of full year); adjust ordering to coincide with their presense. Faculty who do not claim previews despite being on campus, or failing to return them in time to be returned, are to be listed so their preview privileges are limited or suspended.

Invoices are used to mark receipt on Banner and in MilAcq. The MilAcq order record number for each item is on the book slip near the bottom lines.

Any req/p.o's which are completed must also have a notice sent to the Business Office for them to close it and unencumber the funds once the latest invoices are paid. The date of this action is entered in the fiscal year spreadsheet.

Invoices for each p.o. are totaled and added to the total on the fiscal year spreadsheet.

Materials not received and not backordered are marked off the paperwork and given to the Technical Services Librarian. If not obtainable from another warehouse (in which case use Quick Order on Ingram books if available elsewhere), then cancel and the cancellation data is entered into the MilCat record (bib and order) and the fiscal year spreadsheet (N:/shared/library/Materials/). The Technical Services Librarian decides if and when another attempt will be made.

Receiving Serial (S.O. and Continuing) Materials

Standing orders without purchase orders for the current fiscal year will have one made out for them by the Technical Services Librarian and handled normally after that. Standing orders predicted and already encumbered in that manner will have Request paperwork already on file awaiting their arrival, plainly marked as standing orders.

Serial records which are not journals in INNOPAC are normally BGeneral c and have a 260 ending date which is continuing (ends with a hyphen), which are in book format. They should have a 583 field with instructions on handling the edition.

For serial materials which already have a serial record in INNOPAC, the 541 field for that specific edition is moved down below other 590s to become the last 590 field. An item is added to the same record. The instruction in the 583 field on what to do with older editions (if any) are followed; if REPLACES then withdraw the old edition as the new one is shelved, or if ADD then add it in the correct order on the shelf.
It is IMPORTANT to retain ISBNs and other ordering information in the 590 field, although the subfield indicators may be deleted for OCLC compatibility.

For serials which have no previous holdings, put them in the regular processing system for first-time processing.

Note that the first 541 field, which details information about the standing or continuation order, remains where it is.

Receiving Foundation Center Materials

Foundation Center materials are received independent of the purchase order, as the number and title vary from year to year. The p.o. is treated as a subscription, and whatever comes in is added to the collection using the actual price if it had been bought individually (which is usually on the packing slip, then discounted to nothing).

Foundation Center materials will usually be new editions of serials. For those not added to existing records due to a title change or being new material, give them to the Technical Services Librarian to create records.

Receiving Donated Materials

Donations are examined for materials acceptable under the Collection Development Policy by the LTA II or the Technical Services Librarian, usually in consultation with the liaison librarians.

Materials sent without being ordered or requested in any manner are legally considered donations, even when the vendor expects payment. Such items are normally returned as refused donations if no additional costs are incurred. It is important to be sure that such materials are not actually intended for another person on campus, first; often materials are sent to a "default" address rather than the person requesting them, due to limitations in the vendor's system.

Materials designated as memorials or with special conditions must be approved by the Technical Services Librarian or the Library Director.

The Library may only certify that materials were received. Normally, the donor must provide an itemized list rather than expecting the Library staff to create one. The Library cannot set prices or values, and such would not be acceptable for tax purposes anyway. Donations are tax deductible only to the extent that the Library may receive the materials; the actual value and eligibility of the materials in a specific tax case is not for the Library to determine or certify.

Approved donations are checked against holdings to eliminate unnecessary duplication. Materials eliminated are assigned to the book sale or other distribution, as appropriate. Duplicate materials or older editions of owned materials are not normally accepted for inclusion in the collection. In some cases, even materials donated for specific course use may be duplicates or outdated.

Approved donations have records downloaded from OCLC as usual, without purchase order information and with the vendor entered as "gift" and the fund as "donor", with the number of copies entered as regular copies. Materials not donated with a requirement of a label, including examination copies received from faculty, require no labels or additional tracings in the catalog. For materials where a label is requested, one will be created along with the usual 690 donor and honoree fields as appropriate.

A book slip consisting of a printout of the bibliographic record from MilCat is sufficient.

Special Instructions

Prebinding

INGRAM's calls concerning "late" payments should be checked to see if they are on the prebind account number. If so, the materials are probably still at Heckman being prebound and cannot be received and paid until they arrive at the library. Every time a new person at Ingram sees overdue payments, it may become necessary to explain this again. (It was not a problem when Ingram used San Val earlier, however!)

Paperback and spiral-bound books are, whenever possible, prebound.
Permission was obtained at the state level to consider this as a value-added feature of a wholesaler, rather than as a binding cost, and therefore not subject to state binding contracts.
Spiral-bound materials can be bound without cutting off the perforations, which allows enough room along that edge to bind. While this conflicts with regular binding standards, the resulting prebound books will still last much longer in use than spiral-bound books. However, this is NOT standard binding practice, and binderies may refuse to comply.
Certain titles are unsuitable for prebinding and should be obtained in hardcover. These include almanacs (which are usually printed very close to the binding edge) and books with art or other graphics (which often overlap art across pages, and often print close to the binding edge). Some oversize volumes are also unsuitable.

Materials in paperback but not prebound are to be covered with stiff clear self-adhesive covers.

Going through a wholesaler allows prebinding, searching of both the publisher's AND the wholesaler's warehouses, and extended searching by the wholesaler.

Appendix

Use of Fields in Bib Records

541 Fields

The 541 fields are for current ordering information, including the name(s) of the Requestors.
There is usually only one active 541 field. However, for serials, there may be a 541 for the master information (with no Req number) and others for active orders in the current fiscal year only. There may also be multiple fields for individual volumes of a multi-volume set when ordered during the same fiscal year.
Once received, the contents of the 541 field are updated and moved to a 590 field.

541 subfields are used as follows:

[first, which never actually has a letter shown] for the vendor code
|c for fiscal year [2002-2003 as FY2003], followed by the
fund code, followed by the
Req number, followed by the
edition/volume and isbn in parentheses, if needed, followed by the
date due for the edition if needed
|f which is the reason this is ordered (see details below examples)
|h pricing (see details below examples)
|e copy number if multiple copies are acquired of an edition/volume

Examples of 541 fields are:

541 Fields for One-Time Orders

one-time book order for hardcover (or not prebound) Ingram order:
ingra|c FY2003 bregf |d R0036613|h $29.95 (reg= 17.97) |f mc1; jms2
shows vendor ingra in fiscal year 2003 using fund bregf on Req number R0036613 with a list price of $29.95 and an actual cost of $17.97, plus library staff recommendations from mc rank 1 and jms rank 2 priority for buying

Library staff, represented only by initials, do not get the prefix, but reside in a separate |f subfield.

Another kind of |h subfield may show $29.95 (35%= 19.47), indicating that instead of the regular 40% Ingram discount, the discount was actually 35%. Other percentages may apply as shown. If (NET) is shown, no discount is available and the price shown is used for the cost.

one-time book order for paperback (to be prebound) Ingram order:
inbnd|cFY2003 bregf R0036612|3pbk. + PREBINDING|h$18.95 pbk.(reg= 11.37) |fcf, wc2
shows the prebinding vendor inbnd, with the usual information, and the designation of pbk. in the |3 subfield. The discounted price is for the book only; the PREBINDING cost is added when figuring the amount to go into the item record price field.
Ingram requests that orders to be prebound be on a separate order and come from only a specific warehouse (currently TN) so the pickers can put everything in a bindery-ready shipment, and the bindery does not need to pay to ship hardcover books as well. |f without a prefix shows that only staff members have recommended this item. If staff members recommend in addition to faculty, staff initials are added after semi-colon following the last faculty name.
one-time hardcover book order for Midwest Library Service order:
midwe|cFY2003 bregf R0036614|h$34.00 |fcf2
shows the regular vendor of midwe and the usual information. The price does not show a discount, as there may or may not be one available. The library staff member recommending has initials cf with priority 2.
one-time paperback book order for Midwest:
midwe|cFY2003 bregf |3 pbk. + PREBINDING |d R0036614|h$18.95 pbk. |f * mc
shows the same vendor as hardcover - Midwest does not require separate orders for prebound books. The (+BIND) is used to show the additional binding charge.

At this time (July, 2002), Ingram is using Heckman and Midwest is using San Val for prebinding. Prices may differ between them depending on various factors.

541 Fields for Standing Orders

Standing Orders and Continuation Orders have a first 541 with the general information about ordering, which is kept in place from year to year, and then additional 541 fields for each edition currently on order or anticipated in the future. The second and other 541s are converted to 590s at the bottom of the 590s as they are processed.

standing order for Midwe:
midso|cFY bstnd (ed., isbn)|h$45.00 |fSTANDING ORDER (OCTOBER every 2 yrs); cf1
shows the first line of the Standing Order information which shows the Midwest vendor midso for the separate account for standing orders, the preferred (but not mandatory) fund, the usual information needed in the second 541 field, that a Standing Order is set and how often it comes (normally in October), and the person requesting it (in this case, library staff - otherwise a separate |fREQUESTOR: would be needed for the name of the faculty member).
This first 541 field stays in place year after year.

midwe|cFY2003 bregf |3 pbk. + PREBINDING |d R0036614 |e (2001 ed., 0123456789) |h$29.95
is the second 541 field of a standing order or continuation order, showing the actual order during the fiscal year and the usual information. This entire field will be moved down to the bottom of the 590 fields during processing of the item and the processing date may be appended.

CONTINUATION ORDERS are titles which need to be checked at least one or more times annually for new editions / volumes, so that purchase may be considered. Purchase is not required, but often is assumed to be preapproved for certain titles. Examples apply for any vendor.

541 Fields for Continuation Orders

CONTINUATION ORDER

gale|cFY bcont (vol.)|fCONTINUATION ORDER (3-4 vol. yr.) |h$170.00 ea.

gale|cFY2003 |d R0036633 (vol. 17-21 ) |h$520.00 ($130.00 x 4)

541 Fields for AV orders:

cdnow|cFY2003 areg |d R0036001 |e(HRM12345 ) |h$18.99

583 Fields

The 583 fields are for action to be take and the dates of certain actions. Multiple fields are possible. To draw attention to instructions and to divide between the 541s and the 590s, instructions are in capital letters.

Instructions may include REPLACES OLDER EDITION or ADD TO EXISTING.

For tracking purposes, one 583 field is normally used for processing dates. The first subfield may be the date followed by the initials of the cataloger. The |b subfield is for the final processing date the latest items were ready for circulation, followed by the processor's initials.

590 Fields

The 590 fields are the copies bought (in the current style, the 541 field with all information is simply moved down and becomes a 590) and fields for any additional internal comments which are not seen in the OPAC.

In the old style, the information may vary considerably from line to line as to what is listed for that item.

Remember: not all the copies currently owned may be listed in the 590s. Some may only be listed in the items records.

599 Fields

Each faculty/administration name gets a separate |f subfield beginning with REQUESTOR: followed by last name, first name and priority number if given, in the INNOPAC bib record (although when exporting from OCLC, only the first |f is used to permit exporting), so that later these fields may be searched and extracted. Any such names receive notice when materials are ready for use. If the faculty member wants the item on reserve, that is included following the name.

Posting and Logging

All information and activities must be up-to-date before posting.

AT THIS TIME: posting should be done using Telnet (text-based) posting, to minimize the number of postings needed and the resulting log entries, as well as doing a more complete posting.

Log into telnet.

O - Ordering and Receiving
A - Additional Ordering
F - Financial
P - Post

Print to file.

The title is the date in YYYYMMDD format.

The pay file is 0 to get all payfiles.

Answer Y for Yes or the appropriate key when required.

Vendor Policies

In current practice, the first vendor to check for availability.
Ingram has demonstrated the best stock reporting, fastest service and discounts across the range of titles acquired to date. Plus, Ingram will often have the reviews, publisher information, etc., that can be added to the bib record even if the item is not ordered through Ingram.

In current practice: Midwest Library Service is the secondary vendor to check, unless experience or other information indicates otherwise.

Other non-exclusive regular & standing orders shall be handled through Midwest Library Service, with information generated through Ingram iPage.
This may be done using electronic ordering software provided by Midwest and verified with Ingram iPage or through the INNOPAC ordering system.

Midwest also offers prebinding, thorough searching, out-of-print searching, and searching beyond the publisher.

In current practice: Materials from publishers which limit distribution of those items shall be ordered directly from the publisher when necessary (most Gale Group, Reed/Elsevier, Bowker, various others), or if the discount/sale price being offered is sufficient to be considered cost-effective.

At this time, materials from Gale Group publishers may be ordered in batches rather than using standing orders, to attain reliable delivery. Only existing titles, not forthcoming titles, are ordered.

At this time, materials ordered directly are:

Marshall Cavendish / Benchmark Books / Sharpe Reference / Forest House -- local agent
large encyclopedias - from publisher when discounts are available

Standing Orders

Standing orders are approved annually for order, wait, or cancellation. Ordering is done using the same rules as other materials. In some cases, standing orders are treated as periodicals and purchased through the periodical vendor, but are processed normally otherwise.[liaison librarians for review]

Standing orders expected within the current fiscal year should have funds encumbered for them by preparing appropriate purchase orders. Such p.o.s shall not be sent in any manner to a vendor unless beginning a standing order. They shall be noted in Banner as being "standing order".

Standing orders may be entered in the relevant field (541 subfield f) as

STANDING ORDER (on order for every edition or alternate editions with the vendor)

CONTINUATION ORDER (ordered through Ingram or other one-time vendors, or the title is published or bought so irregularly that a standing order is not practical / possible / accepted by the vendor)

STANDING DONATED (donated regularly enough to be a steady vendor)

PERIODICAL (ordered through a periodical vendor, such as EBSCO, and possibly paid through the publisher or through EBSCO; this is most practical for government and certain other publishers,
OR provided in addition to a paid purchase, such as a free index to purchased volumes,
OR provided through a service or membership, such as the Foundation Center, which bills once for unspecified titles)

In the cases of multiple volumes per fiscal year, the individual items are be listed as individual orders on separate lines for each volume.

Examples:

541 ingra |c FY2001 bstnd R00123456 |f STANDING ORDER (every 2nd yr.) |h $14.95 (reg= 8.97)

541 insan |c FY2001 bsmo R00123457 |f CONTINUATION ORDER (every yr.) |h $29.95 paper (25.00 + BIND)

541 midso |c FY2001 bstnd R00123458 |f STANDING ORDER (every 3rd yr.) |h $125.00

Purchases With Donated Funds

Endowment funds from other FOAPALs will be handled according to their conditions. Labels may or may not be required, as appropriate.

Boreham endowment funds are for, among other things, library materials. The appropriate FOAPAL for the fund is used, and the 590 field in the bibliographic record ends with "Boreham endowment", so it is searchable. No special label is required.
When such funds are used as regular budget funds, however, no such distinction is practical or made.

Pebley fund purchases are for the Pebley room if they are Arkansas or historical. All Pebley fund purchases of materials are labeled as such.

Wilder endowment materials are for the Robert Wilder Historical collection, and must be kept in the locked cases and marked "WHC". Arkansas-related books and American history are acceptable.

Beard endowment books may be circulated, and are for Arkansas or history materials. "Beard endowment" should be on each 590 field for such items.

Materials purchased with donated funds, which will have a dedication label installed, should be materials which have the longest shelf life possible. If materials are suggested with a brief useful shelf life, the donor should be warned of this. Recommended subject areas are literature, history, music, and art.
Materials will be purchased from the appropriate funds, using the standard procedure for regular orders, and marked in the Process file.
Donated funds received are sent to the UA Fort Smith Foundation office for deposit and paperwork on behalf of the Library.
A bib record is created for each donor/honoree pair until they are assigned to a book's bib record.