Page History

Scope: This procedure contains instructions for processing withdrawals, transfers, and reinstatements in the Database Quality Unit.

Contact:   Barbara Tarbox

Unit:  Database Quality

Date last updated: 04/29/14

Date of next review: April 2016

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General Rule: Determine whether to withdraw , transfer , or reinstate items based on the instructions found in Section "6. Disposition" of the "Selection Policy for Shelf Space Adjustment," unless special circumstances apply. To determine if items are unique to CUL search:

1. in Voyager by title for other copies and in Voyager by series title, if online call number (852 field) includes volume enumeration.

...

1. Display bibliographic record. Verify that record matches book. If the title is lost or missing, see special instructions below.
   
2. If the title is a serial, check for and report an open purchase order.
3. Display relevant item records:
   • For single-part monographs, delete item record  . (Procedure #135)
     
   • For multipart monographs and serials, note item statuses and Enum/Chron information (for use in MFHD 852 note), then   delete item record(s) . (Procedure #135)
   • Any withdrawn item that is older than 6 months will be batch deleted by Batch processing periodically.
4. Display relevant MFHD record:

   a.  Add |x WITHDRAWN ([reason]), [date] and your [initials] to the 852 field following the call number --   Examples:  

   b.  When withdrawing only certain parts of a multipart monograph or serial, include in the WITHDRAWN note specific information on which parts are being withdrawn –   Examples :  

   c.  If the part(s) being withdrawn are accompanying material that is included in the bibliographic description for the title (such as supplements or maps in a pocket), add an 852$x note –   Examples :  

   d.  If present, delete 852 $h In process.

   e.  Edit 866/7/8 information to reflect ONLY those holdings that are retained. However, if you are withdrawing all parts of a multipart monograph or serial, retain the 866/7/8 information as is.

   f.  If all volumes have been withdrawn, suppress the MFHD (Procedure #135) from OPAC display and change the record status value to 'd' in the leader area. Suppressing the MFHD and changing the status to 'd' will automatically queue the MFHD for deletion from OCLC.  For serials, also set the 008 Receipt Status to "Not currently received."

   g.  Repeat these steps for all copies and locations to be withdrawn.

5. Re-display bibliographic record:

   a.  Add a 948 local statistics (Procedure #26) field to the BIB record, using the value "w" for type of transaction. LTS staff:: For multipart items, record the number of pieces withdrawn in a 948 $x. Example: 948 2# $a 20040902 $b w $d abc23 $e cts $x 3

   b.  If there are no active (unsuppressed) holdings records remaining for the title, suppress the BIB record . Adding the 948 and suppressing the BIB record will automatically queue the BIB record for deletion from OCLC.

6. If you have the physical pieces in hand, stamp them "Withdrawn."
7. Dispose of the withdrawn physical pieces as follows:   Send to LTS Documents all items that bear a "Federal Publications" sticker, have been stamped "Depository", or have a "D" penciled on the cover, title page, or other preliminary pages.

      Otherwise:

• Place print serials in the recycle bin at your workstation.
• Send duplicate Asia serial issues to Echols, South Asia, or Wason, as appropriate.
• Place all other items on the withdrawn monograph book truck in LTS.      

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...

1. Transfer the item(s) online according to the instructions found in section "6. Disposition" of the " Selection Policy for Shelf Space Adjustment.  
2. If the transfer involves a title for "rmc,anx" or one of the "ranx" sublocations, follow the Rare Annex instructions below.
3. If the transfer involves superseded editions or volumes, see also Special Instructions below.
4. If the title is a serial, check for and report an open purchase order. 
5. If the title bears a "Pamphlet" call number, send it to the Library Annex.
6. Process the physical piece(s) as follows (except for Rare Annex material)      

a. Single Part Item and Complete Multipart Item Transfers 

1.  Display the holdings record that matches the old location and copy number of the title and edition in hand.

2.  Click on the system tab to verify that the record is not suppressed from OPAC. If it is suppressed, uncheck the Suppress from OPAC box and change the record status value to 'c' in the leader area.

3.  Change the location in 852 $b to the new location (Note: there is no need to change the MFHD location if you are transferring material to the Library Annex, where locations are flipped programmatically after the material is accessioned).

4.  If needed, add a copy number in an 852 $t following the location. Do not add an 852 $t for Copy 1.

5.  Check the Oversize Chart for prefixes and/or suffixes appropriate for the new location.

6.  Search the database to verify that the old call number is not already in use for the new location. If it is, add date and work letter to the call number already in use, or work letter only if call number already contains a date.                                                                                                                               

7.  Add an appropriate $x transfer note following the call number.

8.  Save the record to the database.

b. Partial Multipart Item Transfers  

1. Display the holdings record that matches the old location and copy number of the title and edition in hand.
2. Delete the volumes and/or numbers to be transferred from the 866, 867, and/or 868 fields.
3. Display the holdings record that matches the new location and copy number. If there is no holdings record for the new location, skip to "h" below.
4. Click on the system tab to verify that the record is not suppressed from the OPAC. If it is, uncheck the Suppress from OPAC box and change the record status value to 'c' in the leader area.
5. Add an appropriate $x transfer note following the call number.
6. Add the volumes and/or numbers to be transferred to the 866, 867, and/or 868 fields.
7. Save the record to the database.
8. If there is no holdings record for the new location and copy number (including ANX locations, if you are transferring items to the Library Annex), create and edit one. Be sure to:
   
   • Check the  Oversize Chart for prefixes and/or suffixes appropriate for the new location.
     
   • Search the database 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.
     
   • Add an appropriate $x transfer note following the call number.
     
   • Include 866, 867, and/or 868 fields
     
   • Code for Type of Record (use v or y), Encoding Level (use 4), Receipt Status (use 0) and Completeness (use 1, 2, or 3) in the fixed fields .
     

c. Item Records

1. Single Part Item and Complete Multipart Item Transfers  

   a.  Display item record.

   b.  Change Perm Loc to match location in the 852 field in the holdings record.

   c.  Edit Item Type, if appropriate -- for example: when transferring a title to or from a "nocirc" reference collection. If you are transferring a title to a Rare Annex location (e.g. "rmc,anx"), set the Item Type to "nocirc". These are the only Annex locations for which the Item Type should be set to "nocirc."

   d.  Click on the graph button. If Withdrawn appears under status, remove it.

   e.  Click on the quill pen button. If deselected note appears, remove note.

   f.  Save the record to Voyager.

   g.  Repeat for each item record.

    

2. Partial Multipart Item Transfers  

      a.  Relink the item records for the pieces in hand from the old holdings record to the new holdings record.

      b.  Display each item record.

      c.  Change Perm Loc to match location in the 852 field in the holdings record.

      d.  Edit Item Type, if appropriate -- for example: when transferring a title to or from a "nocirc" reference collection. If you are transferring a title to a Rare Annex location (e.g. "rmc,anx"), set the Item Type to "nocirc". These are the only Annex locations for which the Item Type should be set to "nocirc."

     e.  Click on the graph button. If Withdrawn appears under status, remove it.

     f.  Click on the quill pen button. If deselected note appears, remove note.

     g.  Save the record to Voyager.

     h.  Repeat for each item record.

d. Final Steps

1. Re-display the BIB record.  Click on the system tab to verify that the record is not suppressed from the OPAC.  If it is suppressed, uncheck the suppress from OPAC box.
   
2. Add two 948 local statistics fields to the record: one for the withdrawal; another for an added copy, an added location, or added volumes -- as appropriate. 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.
3. Save the record to the database.
4. Line out all previous location stamps -- see exception below.
5. Edit pencilled locations and call numbers -- see exception below.
6. 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.
7. 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  (Procedure #12)
   

Examples  

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  Requests for these transactions typically come from selectors or Resource and Access Services staff for a variety of reasons.  Withdrawals, for example, may be the result of a resource being lost, missing, badly damaged, or deselected from the collection by a selector.  Transfers are most frequently sent to the Annex because of space concerns in on-campus libraries, but they may also occur between libraries that share similar subject areas.  Reinstatements occur when a resource has been returned to the collection after having been lost, missing, or withdrawn (and in some cases, long after the record has been deleted from the database).  The resource may have been with a patron, or in someone's office, or lost in the stacks with the wrong call number, and then re-discovered.  Accuracy is critically important when processing any of these transactions, and staff should consult the DBQ supervisor if they have any questions.

Contact:   Pedro Arroyo

Unit:  Database Quality

Date last reviewed: 10 Jun 2024 

Date of next review: June 2025

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Withdrawals
Transfers
Reinstatements
Medium Rare Annex
Additional Steps : Special Cases 

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I. Instance 

1. Display Instance record. Verify that record matches the resource. 
   
2. If the resource is a serial, check for and report an open purchase order or subscription before proceeding. See Additional Steps: Special Cases below
3. For single-part monographs and complete multi-part sets:  
   1. SUPPRESS the Instance. 
   2. Click Actions→Edit Instance, and in the Administrative Data section,
      • Check the "Suppress from Discovery" box
      • Check the "Staff Suppress" box: 
        • • • • Image Added
   3. NOTE: For partial withdrawals of multi-part sets & serials, DO NOT suppress the Instance (or the parts remaining in the collection will not be discoverable), but proceed to step 4.  
4. Add an Administrative note with the proper coding for the withdrawal, using the format date:yyyymmdd ttype:w userid:[netid] ploc:lts (see example 1 below)   
   1. NOTE: The macro for the withdrawal code is ,,w. If you don't have this macro, contact the DBQ Supervisor or LTS Macro coordinator.
5. For multi-volumes/multipart items (partial or complete): If you withdraw more than one piece from an Instance/Holdings, including supplements or indexes, add "pcs:" to the end of the withdrawal code, followed by the number of pieces being withdrawn. (see example 2 below)

Examples of withdrawal codes in the Instance Administrative Note: 

1, (Single-part monographs):

Image Added

2. (Parts of a multivol. or serial, whether complete or partial set):

Image Added

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 the Holdings ONLY if withdrawing all of the pieces.  Do NOT to suppress the Instance or Holdings records if any volumes will still be held in the collection.
   3. 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, replaced by digitized copy, etc.), plus the date and your netID. Make sure to click the "Staff only" box :

               Image Added

• • • Possible reasons for withdrawal:
      • Lost/Missing
      • Damaged
      • Replaced by Preservation Photocopy
      • Deselected

      d. 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.

• • • "v.2 and v.6 withdrawn (damaged) 01/02/03 abc" 
    • "vols 1-20 withdrawn (deselected) 6/1/21 pca12 

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

• • • Example:  "Vol. 3 and accompanying maps WITHDRAWN (MISSING) 9/3/21 bmt1"
      

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

     6.  Save the Holdings record.

III. Item Record

     1. Display Item record(s) of the piece(s)-in-hand.

               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).  

• • If the Item(s) cannot be deleted because of dependencies or certain Item Statuses, use the Check-in app to remove the dependencies and make the status "available", or consult with the DBQ, Inputting, Serials, or Monographs Workflow supervisor as appropriate.

**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 From CUL". 

• • 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: 

• • Place print serials in the recycle bin.
    
  • Send all items that with a "Federal Publications" sticker, or "Depository" stamp, or have a "D" penciled on the cover, title page, or other preliminary pages, to the LTS Documents supervisor.
    
  • Place all other items on the "Withdrawn Items" items cart in 110 Olin, to be sent to the Annex for donation.      

V. Special Cases: State-Supported Libraries, Publisher Withdrawal Requests, and Batch Withdrawals:

1. State-supported library: If any CUL state-supported library is withdrawing material, there may be additional requirements during the withdrawal process:
   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/DBQ staff, if requested, will: 
      
      • Receive material for withdrawal (DBQ).
      • Update records in FOLIO for withdrawn titles (DBQ), consulting the Automation Team for high quantities (see Batch Withdrawals section above)
      • Ship requested material to designated library (Gifts or DBQ (formerly an Exchange arrangement)).
      • Discard remaining volumes in accordance with CUL's 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 LTS is informed that a publisher has asked CUL to withdraw or destroy a particular title (usually due to 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:

Image Added

***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 request may come from selectors looking to deselect material, or if a large number of missing/lost items need to be withdrawn, etc.  

1. 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 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 FOLIO Instance 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 and add the administrative notes, 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.

...

I. Initial Conditions

• If the transfer is going to Rare Annex (rmc,anx) or any of the "ranx" sublocations, follow the  Rare Annex (9a) instructions below.
• If the title is a serial: 
  • Check for and report an open purchase order to the Serials Unit, to make sure new issues are processed for the correct location. See Additional Steps: Special Cases below
  • If the transfer involves superseded editions or volumes, see also Secion V "Final Steps"below.
• If the resource has a non-LC call number, such as "Pamphlet..." consult with the Cataloging supervisor about whether it can go to the new location as-is, or whether it needs to be re-cataloged/re-marked with a new call number.

If the resource-in-hand does not fit the conditions above, or has been cleared by the appropriate staff, 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 
      • NOTE: The macro for this is ,,t
      • As with Withdrawals (above), add "pcs:" to the end of the transfer code if you are transferring more than one piece, followed by the number of pieces being transferred.
2.  Save the Instance Record
3.  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.  You will need to add the copy number to the written call number in the piece as well.
      
   4. Add a Holdings Note (with Note type: Note) showing which collection the piece originally came from, and the date it was transferred, plus NetID (for single-part, see example 1 below).  "Staff only" box should be checked. 
      • For multi-part transfers of volumes, and/or supplements, note specific pieces as appropriate in the Holdings Note (see example 2). 

Example 1:Image Added

Example 2:Image Added

** Exception: Not all transfers to the Annex will get Holdings notes, as larger-scale transfer projects and book-moves can make it burdensome to add notes to every Holdings record.  LTS staff should add the notes for reasonable amounts of manual transfers whenever possible, however, as the maintenance history of a title can 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).

       4. Save the Holdings record.

       5.  Display Item record. 

1. 1. Change Permanent Location field to match the newly-changed location in the holdings record.
   2. Edit the Permanent LoanType, if appropriate -- e.g.: when transferring a title to or from a "Non-Circulating" reference collection. If you are transferring a title to a RMC,ANNEX, for example, set the Item Type to "Non-Circulating". 
      1. 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".

       6. Save the Item record

       7. Repeat the above steps for each item record associated with the transfer. 

       8.  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.

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

III. Partial Multipart Item Transfers  

1. Display Instance record.
   1. Add the Administrative note for Transfers as described in Step II above (use the macro ,,t), "pcs:..." to the end as applicable.
   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 2, noting which volumes were transferred. (e.g. "Vols. 3 and 4 transferred from Echols Ref. 3/9/2015 pca1")
      
4.  Add the volumes and/or numbers being 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, create and edit a New Holdings, EXCEPT if the new location is for the Annex, and there is ALREADY a copy at the Annex IN A NON-RARE LOCATION.  Assuming no un-wanted duplication:
   1. Add the appropriate information to the Holdings Type and new 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 the newly-transferred volumes, supplements and/or 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.
2. Edit handwritten locations, copy numbers, Oversize information and/or call numbers in the piece as appropriate.
3. For monographs: Send the items to the Physical Processing unit for re-labeling and routing to the new location. 
4. For serials:
   1. 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.
   2. For unbound issues not barcoded separately, give recent issues (as displayed in the OPAC) to LTS Serials or Documents for further processing.
   3. If the transfers are computer disks, sound recordings, or video recordings, do additional processing if required for the new location.  Consult with a cataloger or Serials staff as needed.
   4. Insert a location flyer and place completed transfers on the appropriate shelf in 110 Olin.
   5. Superseded editions or volumes:add a Holdings Note (Note type: Note) to holdings records to indicate the treatment of these "ongoing" transfers (e.g. "Latest vol. in Reference"). Leave the Staff Only box Unchecked.

Examples: 

1. 1. Image Added
   2. Image Added

...