Withdrawals, Transfers, and Reinstatements (LTS Procedure #12)

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

Contact:  Barbara Tarbox

Unit:  Database Quality

Date last updated: 04/29/14

Date of next review: April 2016

• Withdrawals
• Transfers
• Reinstatements
• Medium Rare Annex
• Additional Steps: Special Cases

 
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.

A. Withdrawals  

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 records [9].
   • For multipart monographs and serials, note item statuses and Enum/Chron information (for use in MFHD 852 note), then delete item record(s).
   • Any withdrawn item that is older than 6 months will be batch deleted by Batch processing periodically.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   a.  Add |x WITHDRAWN ([reason]), [date] and your [initials] to the 852 field following the call number -- Examples:  

   b.  When withdrawing only certain parts of a multipart monograph or serial, include in the WITHDRAWN note specific information on which parts are being withdrawn --Example:  

   c.  If the part(s) being withdrawn are accompanying material that is included in the bibliographic description for the title (such as supplements or maps in a pocket), add an 852$x note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

   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   f.  If all volumes have been withdrawn, suppress the MFHD from OPAC display and change the record status value to 'd' in the leader area.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 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.   

Examples:  

B. Transfers  

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.
7. If the transfers are computer disks, sound recordings, or video recordings, do additional processing if required for the new location.
8. Exception: for unbound serials not barcoded separately, edit only the first and last issue in each bundle.
9. Insert a location flyer and place completed transfers on the appropriate shelf.
   

Examples 

C. Reinstatements

1. Search Voyager Cataloging by title. If no CUL catalog record is available in Voyager or OCLC, forward item(s) to the LTS Inputting Supervisor to be processed as new.
2. Check for and report an open purchase order.
3. Display bibliographic record. Verify that record matches book.
4. Select Record > Show Associated Records. A Holdings and Items for bib box displays.
   • If there is a single holdings record for the title:
     • Select bibliographic record.
     • Select system tab.
     • Uncheck the Suppress from OPAC box and change the record status value to "c" in the leader area. Record should display in the OPAC.
     • Save the record.
     • Display holdings record.
     • Remove |x WITHDRAWN [date] and [initials] from the 852 field following the call number.
     • Add |x REINSTATED [date] to the 852 field following the call number.
     • If necessary, add 8XX fields.
     • Select system tab.
     • Uncheck the Suppress from OPAC box. Record should display in the OPAC.
     • Click on Leader. Change the record status value to 'c'.
       
     • Save the record.
     • Display item record[s]. If no item record is found, create record[s] and barcode book[s].
     • Re-display the bibliographic record. Add a 948 local statistics field to the record using the value "s" for the type of transaction.

      

   • If there are multiple holdings records for the title:
     • Display holdings record that matches book in hand.
     • Remove |x WITHDRAWN [date] and [initials] from the 852 field following the call number.
     • Add |x REINSTATED [date] to the 852 field following the call number.
     • If necessary, add 8XX fields.
     • Select system tab.
     • Uncheck the Suppress from OPAC box. Record should display in the OPAC.
     • Click on Leader.  Change the record status value to 'c'.
       
     • Save the record.
     • Display item record[s]. If no item record is found, create record[s] and barcode book[s].
     • Re-display the bibliographic record. Add a 948 local statistics field to the record using the value "s" for the type of transaction. 
       

1.  Process the physical pieces as follows:

1. Cross out all "withdrawn" stamps.
2. Edit penciled locations and call numbers, if needed.
3. Insert a location flyer and place completed transfers on the appropriate shelf.  
     
   

D. Medium Rare Annex

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

E. Additional Steps: Special Cases

1.  Lost and missing titles:

• If you delete the sublocation "anx", edit the Permanent Location on the item record(s) to match the 852 $b in the MFHD.

2.  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:

a.  With the Acquisitions Client open in the background, type [control] m to bring up a line item screen. If multiple line items are attached, select the appropriate location from the Line Item Summary, then click on Details to bring up the appropriate line item screen.

b.  With the appropriate line item screen displayed, click on the Order tab, then click on the ellipsis in the Order Number field.

c.  Verify that the Location is correct.

d.  Check the title bar at the top of the screen. If it states that the purchase order is complete or canceled, do nothing. If it states that the purchase order is approved/sent or pending, send an e-mail notification to Lisa Maybury if the site is Acquisitions or Documents, or to Deb Warfield if the site is Serials. In the e-mail, give the following information:

• Action (withdrawal or transfer)
• Brief serial title
• BIB ID
• Purchase Order Number
  

3.  Rare Annex Transfers

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, 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.

7.  State-supported library:

If any CUL state-supported library is withdrawing material, the following procedure will apply:

a.  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.

b.  Technical Services staff will:

• • Receive material for withdrawal (DBQ).
  • Update records in voyager for withdrawn titles (DBQ).
  • Ship requested material to designated library (G&E).
  • 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).

8.  Withdrawal requests from publishers:

• a. 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 appropriate Voyager BIB record:

• 500 ## $aPublisher withdrew this title from publication in light of controversy about its content.

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