Scope:  This procedure contains instructions for processing withdrawals, transfers, and reinstatements in the Database Quality Unit.  Requests for these transactions typically come from selectors or from Collection Maintenance staff.  

Contact:   Pedro Arroyo

Unit:  Database Quality

Date last reviewed:  

Date of next review: April 2025


Withdrawals
Batch Single Volume Monographic Withdrawals
Transfers
Reinstatements
Medium Rare Annex
Additional Steps : Special Cases 

A. Withdrawals of physical materials in the collection:

I. Instance 

  1. Display Instance record. Verify that record matches book. 
  2. If the title is a serial, check for and report an open purchase order or ongoing subscription. See Additional Instructions for Serials below
  3. For single-part monographs and complete multi-volume sets, Suppress the Instance:
    1. Click Actions→Edit Instance, and in the Administrative Data section,
      • Check the "Suppress from Discovery" box
      • Check the "Staff Suppress" box: 
  4. Add an Administrative note with the proper coding for the withdrawal, using the format date:yyyymmdd ttype:w userid:[netid] ploc:lts    The macro for this is ,,w. If you don't have this macro, contact the LTS Macro coordinator.
    1. For multi-volumes/multipart items, record the number of pieces withdrawn by adding "pcs: " to the end of the note, and the number of pieces withdrawn (see example below)

Examples: 

(Single-part monographs):

(For withdrawing 3 volumes of a multivol., whether it's a complete or partial set):

II. Holdings record

  1.  Display the appropriate Holdings record for the piece in hand:
    1. For single-part monographs being withdrawn, check the box to SUPPRESS FROM DISCOVERY.    
    2. For Multi-part monographs and serials, suppress ONLY if withdrawing all of the pieces in a given Holdings. (see also Additional Serial instructions below).
  2. In the Holdings Notes, with Note Type: Note, enter "WITHDRAWN", and a short parenthetical note stating the reason, if available (e.g. lost, damaged, missing, deselected, duplicate, replaced by preservation photocopy, etc.), plus the date and your netID:

               


     a. When withdrawing only certain parts of a multipart monograph or serial, add specific information in the above Holdings note on which parts are being withdrawn, and why.

        b. Make sure NOT to suppress the Instance or Holdings records if any of the other volumes are still associated with this Holdings.

     3.  If the part(s) being withdrawn are accompanying material that is included in the bibliographic description for the title (such as supplements or maps in a pocket), specify this info in the above Holdings Note:   

     4.  If you are withdrawing only certain parts or supplements from the Holdings, Edit the appropriate Holdings Statement(s) to reflect ONLY those holdings that are retained.  If you are withdrawing all parts of a multipart monograph or serial, however, retain the Holdings Statement                information as is.

     5.  Save the Holdings record.

III. Item Record

     1. Display Item record(s).

               a. For single-part monographs, DELETE the Item record by clicking Actions→Delete. 

               b. For multipart monographs and serials, delete the Item records as described in step 1a above, but note the item Enum/Chron information for the Holdings withdrawal note and amended Holdings Statement (if you have not already).  

**Do not delete any item records for material that is NOT being withdrawn.**

IV. Physical Disposal

     1.  If you have the physical pieces in hand, stamp them "Withdrawn",  For books, the stamp can go on the inside front or back cover, title page, verso, or some combination of the above.

     2.  Route the withdrawn, stamped pieces as follows: 

V. Special Cases: State-Supported Libraries, publisher requests, and Batch Withdrawals:

  1. State-supported library: If any CUL state-supported library is withdrawing material, the following procedure will apply:
    1. The withdrawing library will:
      • Create a list of material for withdrawal.
      • Post list to SUNY listserv   SUNYLA-L@LISTSERV.BINGHAMTON.EDU offering material for quick disposal to other SUNY libraries.
      • Specify last date responses will be accepted.
      • Take responses and tag material for shipping to designated libraries using UPS call tag.
      • Obtain shipping and delivery information from requesting library. Shipping costs will be borne by the requesting library.
      • Send materials to LTS Database Quality staff for withdrawal, along with shipping information as appropriate.
    2. Technical Services staff, if requested, will: 
      • Receive material for withdrawal (DBQ).
      • Update records in voyager for withdrawn titles (DBQ).
      • Ship requested material to designated library (Gifts or DBQ (formerly considered an Exchange arrangement)).
      • Discard remaining volumes in accordance with CUL's general withdrawal policies (DBQ).
      • Work with library accounting to collect shipping fees, if necessary (N/A with UPS call tag).
  2. Withdrawal requests from publishers: 
    1. When selectors inform LTS that the Library has received a request from a publisher to withdraw a particular title (usually because of controversial or erroneous content), but that request has been refused, add the following note to the Instance Notes field of the Instance record (Note type: General Note).  Make sure the "Staff Only" box is NOT checked:

*** For more information about these situations, see Collection Development's Policy on Returning or Destroying Materials on Request

      3. Batch Withdrawals: Single Monographic Volume or Complete Serial collections - Batch withdrawals are performed by LTS's Automation Team.  The initial request may come from selectors looking to deselect material, or when a large number of missing/lost items need to be                            withdrawn, etc.  

    1. For batch withdrawals of single volume monographs, a .csv spreadsheet of barcodes of records to be withdrawn should be sent to the Automation team. 
      • The list should have more than 25 entries. Lists of fewer than 25 entries will be processed manually by DBQ staff.

    2. Automation Team staff will perform the following steps:

      • Import the .csv spreadsheet to DBeaver LDP and create a separate table of the barcodes.
      • Perform a query (or queries) on the newly-created table of barcodes. This is to acquire specific data needed to perform the batch withdrawal process. The primary data necessary to complete a batch withdrawal are the instance UUIDs, holdings UUIDs and the item UUIDs.
      • Once item UUIDs are acquired, item records are deleted by means of a Python script.
      • Utilizing the holdings UUIDs and a Python script involving the the Folio API, all holding work will be completed. This would include adding the withdrawal note in the holdings note, the transaction data note and the suppression of the holdings. Examples of withdrawal notes: Withdrawn (lost/missing) 3/12/20, netid or Withdrawn (dupe-deselected) 3/12/20, netid.
      • If the holdings being withdrawn is the last CUL copy, the MARC bibliographic record will need to be suppressed.
      • The corresponding instance UUIDs for the bibliographic MARC bibs will be used when implementing or Python script utilizing the Folio API to suppress the instance, if there are no other holdings attached with circulating material. The instance will not be suppressed if there is a valid holdings attached with circulating material.
      • Develop and run query in Dbeaver to verify bibliographic records of last CUL copy are suppressed and that all withdrawn holdings are suppressed and the items deleted.

C. Transfers 

I. Initial Conditions

If the physical piece(s)-in-hand does not fit the conditions above, or has been cleared by the Serials or Cataloging supervisor, proceed to the following steps:

II. Single Part Item and Complete Multipart Item Transfers (for Partial Multi-Part Transfers, see section III  below)

  1.  Display the Instance Record
    1.  Make sure the record is NOT suppressed in the database.  If it is suppressed, uncheck the Suppress from Discovery box. 
    2.  Enter an Administrative note for transfers using the format: date:yyyymmdd ttype:t userid:[netid] ploc:lts  The macro for this is ,,t
  2.  Display the Holdings record that matches the old location and copy number of the title and edition in hand.  If there is any discrepancy between the piece and its records, consult with the DBQ supervisor.
    1.  Make sure the record is NOT suppressed in the database.  If it is suppressed, uncheck the Suppress from Discovery box. 
    2.  Change the Permanent Location field to the new location.  
    3.  If needed, add an appropriate copy number in the Holdings record.
    4. Add a Holdings Note (with Note type: Note) showing which collection the piece originally came from, and the date it was transferred.  Make sure the "Staff only" box is checked:

** Exception: Not all transfers to the Annex need Holdings notes, as large-scale transfer projects and book-moves can make it burdensome to add notes to every Holdings record.  LTS staff should add the notes for manual transfers whenever possible, however, as the information may be useful in the future.

e.  Check the Oversize Chart for prefixes and/or suffixes appropriate for the new location, if applicable, and adjust the Call Number Prefix/Suffix fields accordingly.  Make sure to make the same modifications to the written call number in the piece, if applicable (see final steps below).

f.  Save the Holdings record.

3.  Display Item record. (After making and saving the appropriate changes to the Instance and Holdings)  

    1. Change Permanent Location field to match the newly-changed location in the holdings record.
    2. Edit the Permanent Loan Type, if appropriate -- e.g.: when transferring a title to or from a "Non-Circulating" reference collection. If you are transferring a title to a (Rare Annex #12a) location (e.g. "rmc,anx"), set the Item Type to "Non-Circulating". (NOTE: These are the only Annex locations for which the Item Type should be set to "Non-Circulating")
    3. If the item status is checked out, missing, lost, etc., consult with the DBQ supervisor, or check the piece in to change the status to "Available".
    4.  Save the Item record
    5.  Repeat the above steps for each item record associated with the transfer. 

4.  Search the database to verify that the old call number is NOT already in use for the new location. If it is, add publication date and work letter to the call number in the Holdings and on the piece in hand, or work letter only if call number already contains a date.  Consult with DBQ supervisor if needed.

Make sure to re-mark and re-label the piece if you make modifications to the call number.

III. Partial Multipart Item Transfers  

  1. Display Instance record.
    1. Add the Administrative note for Transfers as described above (use the macro ,,t, but as with Withdrawals, add "pcs:" to the end, showing how many were transferred
    2. Save the Instance.
  2. Display the holdings record that matches the old location and copy number of the title and edition in hand.
    1. Delete the volumes and/or numbers to be transferred from the original Holdings statements, INCLUDING supplements and indexes, if applicable.
    2. Save changes to original Holdings record. 
  3. Display the holdings record that matches the NEW (destination) location and copy number. If there is no holdings record for the new location, skip to step 6 below.
    1. Verify that the destination Holdings record is not suppressed from discovery. If it is, UN-CHECK the "Suppress from Discovery" box.
    2. Add the appropriate "Transfer From" note to the Holdings Notes of the destination record (Note type: Note), as in the above example, but note which volumes were transferred. (e.g. "Vols. 3 and 4 transferred from Echols Ref.")
  4.  Add the volumes and/or numbers to be transferred to the appropriate Holdings Statements of the destination Holdings record, including supplements and indexes as applicable. (this is the info deleted from the original holdings statements)
  5.  Save the destination Holdings.
  6. If there is no holdings record for the new location and copy number (including ANX locations, if you are transferring items to the Annex), create and edit a New Holdings. Be sure to:
    1. Add the appropriate information to the Holdings Type and Permanent Location fields. 
    2. Check the Oversize Chart for prefixes and/or suffixes appropriate for the new location, and add them as necessary.
    3. Search FOLIO to verify that the old call number is not already in use for the new location. If it is already in use, add a w suffix to the last cutter in the call number, or consult with a cataloger or DBQ staff.
    4. Add an appropriate transfer note, with volume numbers, to the Holdings note, as in the above example.
    5. Include appropriate Holdings statements for newly-transferred volumes, supplements and indexes as appropriate.
  7. Save the New Holdings Record.
  8. Relink the item records for the pieces in hand, from the original holdings to the new (destination) holdings. After re-linking,
    1. Display each re-linked item record. 
    2. Change Permanent Location field to match the new Holdings record, as for single-part and complete sets, described above.
    3. Edit the Permanent Loan Type, if appropriate -- for example: when transferring a title to or from a "Non-Circulating" collection, such as Reference or Rare Annex.

V. Final Steps  

  1. Line out all previous location stamps on the piece in-hand -- (see exception below).
  2. Edit handwritten locations and call numbers in the piece   -- (see exception below).
  3. For serials, if you know that the new location is picking up an open subscription from the old location, write "Ongoing, currently received" on the location flyer. In addition, for unbound issues not barcoded separately, give recent issues (as displayed in the OPAC) to LTS Serials or Documents for further processing.
    If the transfers are computer disks , sound recordings   , or video recordings  , do additional processing if required for the new location.  Consult with a cataloger as needed.
    Exception: for unbound serials not barcoded separately, edit only the first and last issue in each bundle.
    Insert a location flyer and place completed transfers on the appropriate shelf (#12a) .
  4. Send the items to the Physical Processing unit for re-labeling and routing to the appropriate location. 

D. Reinstatements

I. Instance Record in FOLIO

  1. Search FOLIO for a matching Instance.  If no record is found,  Skip to section Ia below.
  2. If there is an Instance record in FOLIO, verify that the record matches the book.  
  3. Check for and report an open purchase order associated with the item, if applicable.  If you find an open PO associated with the piece, see Special Instructions below.
  4. If the Instance record is suppressed, un-check the "Suppress from Discovery" box in the Instance record, and set the Catalog Date to the CURRENT date.
  5. Add a Post-Cataloging Maintenance Code (,,mc) to the Administrative Note of the Instance.
  6. Search OCLC for a corresponding bibliographic record to the one we have:
    1. If there is a corresponding record in OCLC, and if the OCLC record does not reflect CUL Holdings, add an additional Shelflisting code to the Administrative note in the Instance (ttype: s ; use macro ,,s).
  7. Save and Close the Instance.

Ia . No Instance Record in FOLIO

  1. If no record is found in FOLIO, import one from OCLC, or Input from scratch as applicable. (Instance Statistical Code: Source of Acquisition: miscellaneous).
  2. Add an Administrative Note with the code for Inputting (,,i)
  3. If you imported the record from OCLC , assess whether it is fully cataloged, with full encoding level, LC call number and/or subjects, etc. 
    1. If it is fully cataloged, add an Administrative Note in the Instance for shelflisting (macro ,,s).
    2. If the record from OCLC is partial or preliminary, or has a foreign language of cataloging, OR if you had to input it from scratch, pass the item on to the Catalogers for cataloging (and re-marking as necessary), but make sure to write "reinstatement" on the top of the location flyer, and follow the appropriate instructions for the Holdings and Item screens (see below).

II. Holdings record.

  1. Display the Holdings Record.  If the Instance was just imported or created, skip to step 4. 
  2. If the Holdings record in suppressed, make sure to un-check the Suppress From Discovery box so that it displays in the public catalog.
  3. Make sure the call number in the Call Number field matches the label and hand-written markings in the book.  Determine if there is a discrepancy between the online call number and the label & handwritten numbers, and correct as necessary.  Have the piece re-labeled in Physical Processing if the label is determined to be in error and needs fixing (see below).  From here, skip step 4 below and proceed to step 5.
  4. If the Instance was newly-imported or created, then Add a New Holdings:
    1. Enter the appropriate Holdings Type, Location, Call Number Type, and Holdings Statements as applicable.
      1. For items that will need cataloging, set the Call Number Type to Other, and enter "In Process" in the Call Number field.
      2. For items that have full cataloging, compare the call number of the Instance record with the call number (if any) on the original label or handwritten marking on or inside the piece.  If the old call number on/inside the piece is still valid (i.e. it's LC format, the Classification is correct, with only minor numerical differences in the cuttering), then it can be entered into the Call Number field, and the book will not need to be re-marked (see below).  Consult with a cataloger if needed.  If in doubt, use the call number from the imported record, enter it into the Call Number field, and re-write the call number in the piece(s) to match.  The item will also need to be relabeled in Physical Processing (see below).
      3. If you use the original or new call number (as opposed to sending it to cataloging), make sure to apply any Oversize information that may be applicable.
  5. Add a Staff-only Holdings Note (Note type: Note) saying "Reinstated", plus the date and your ID.  There may be previous notes that the item had been withdrawn, but staff can leave these alone, to preserve the maintenance history of the piece:

Example 1:

 

Example 2:


6.  Save the Holdings record.


III. Item Records.

  1. Examine the piece carefully for a barcode.  It may be on the front cover, on the first page, on the title page, or even on the back cover, inside back cover, or back pages of the book.  
    1. If the piece lacks a barcode, attach one, following normal procedure.
  2. Check to see if the FOLIO record has an Item record. 
    1. If it HAS an Item record, does the barcode match the barcode in the book?
      1. If YES, check further Enumeration/Chonology information, and make sure it's entered.  If everything matches, skip to step 4 below. 
      2. If NO, and you're sure the piece in-hand is not simply a second copy that needs a new Holdings, change the barcode number in the Barcode field to match the barcode in the book.  (The original barcode may have fallen off, or it may have been given a "smart" barcode, which were barcode numbers that were not actually attached to the items in many cases.  These can be recognized by the low number after (up to "050") that occurs AFTER the initial "31924")
    2. If it LACKS an Item record, Add a New Item Record, enter the barcode from the book, and enter any appropriate Enumeration/Chronology information, if applicable.
  3. Make sure the Item record is UN-SUPPRESSED.
  4. Save the Item record.

IV. Final Steps - 

  1. Process the physical pieces as follows:
    1. Cross out all "withdrawn" stamps.
    2. Edit penciled locations and call numbers, if needed.
    3. Bring the piece to Physical Processing if the label needs changing, but make sure the handwritten call number inside is correct.
    4. If the piece does not need re-labeling, take the piece to the "Return To Stacks" shelf (if location is Olin, Kroch/Asia, or Uris), or to Physical Processing, to be routed to the appropriate library.

** IMORTANT NOTE ** Reinstatements are often the result of a mis-match or typo between the online call number and the physical piece, resulting in the item having been "withdrawn/lost" because it was misplaced in the stacks.  Make sure the call number in FOLIO matches both the call number written in the book, and the one on the label (or eventual label, if it's going to be replaced.


   

E. Medium Rare Annex

See Instructions for Rare Annex Transfers Processing (LTS Procedure #12a)


F. Additional Steps: Special Cases


  1. Open purchase orders: when withdrawing or transferring serials, and for all reinstatements, check to see if there is an open purchase order for the title:
    1. In the FOLIO Inventory screen, scroll down to the bottom of the third pane, and check the Acquisitions accordion/pop-down for any POL (purchase order line) information,  If there's no purchase order attached, the Acquisitions accordion will be closed.
    2. Click the POL link (tip: right-click and open in a new tab).
    3. Verify that the Location for the line item is correct.
    4. Check the Receipt Status (question)  (Receiving note (question) ). If it states that the purchase order is complete or canceled, do nothing. If it states that the purchase order is Open or Ongoing, send an e-mail notification to Serials Supervisor. In the e-mail, give the following information:
      1. Action (withdrawal, transfer, or reinstatement)
      2. Brief serial title
      3. Instance ID
      4. Purchase Order Number

3.  Rare Annex Transfers (Procedure #12a)

4.  Selection Policy for Shelf Space Adjustment. --additional guidelines:

a.  Retain a unique print copy of an item if the only other manifestations in CUL are microform, CD-ROM, or networked resorce. Do not retain a unique microform if the title is available in print.

b.  When filling in serial "back volumes missing in other units," retain volumes (numbers, issues, etc.) that are unique to CUL but do not retain additional copies, even if there is more than one incomplete serial run in CUL.

5.  Shelves for completed transfers and reinstatements:

a.  For Rare Annex transfers, see Special Instructions (Procedure #12a) otherwise:

b.  Deliver all unbound serials that are not separately barcoded to Collection Management--Serials, otherwise

c.  Place items on the appropriate Physical Processing truck at the east end of Room 110, if remarking is required (e.g. location or call number on spine are incorrect).

d.  If remarking is not required, place items for Olin, Kroch, or Uris on the "return to stacks" shelf in Room 107E or 110. Place items for other libraries on the outgoing mail shelves in Room 110.

6.  Superseded editions or volumes: add appropriate notes to holdings records to indicate the treatment of these "ongoing" transfers. For example:

852 ... $z Latest ed. only.

852 ... $z Latest ed. in Reference.



If you unsuppress the bib record, add an additional 948 to indicate a fast shelve statistic (,,s).  Note: If a new BIB record is created, add additional 948 statistics fields for inputting ( ,,i ) and fast-catting ( ,,f ) to insure that the record is exported to OCLC as a newly cataloged record.

Save the record to the database.

1.  Lost and missing titles:

If you delete the sublocation "anx", edit the Permanent Location on the item record(s) to match the Holdings Permanent Location.