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  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, and they 

Contact:   Pedro Arroyo

Unit:  Database Quality

Date last reviewed:  

Date of next review: June 2025


Withdrawals
Transfers
Reinstatements
Medium Rare Annex
Additional Steps : Special Cases 

A. Withdrawals of physical materials in the collection:

I. Instance 

Display Instance record. Verify that record matches book. 

  1. If the title is a serial, check for and report an open purchase order or ongoing subscription. See Additional Instructions for Serials below
  2. For single-part monographs and complete multi-part 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: 
  3. 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
  4. For multi-volumes/multipart items, record the number of pieces withdrawn by adding "pcs: " to the end of the note, then add the number of pieces withdrawn (see example below)
      • If you are NOT withdrawing ALL of the pieces of a particular multi-volume, DO NOT SUPPRESS the instance record, or the remaining volumes will not be discoverable. See additional instructions for partial multi-part transactions 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 For single-part monographs being withdrawn, check the box to SUPPRESS FROM DISCOVERY.    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 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.
  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 In the Holdings Notes, with Note Type: Note, enter "WITHDRAWN", and a short parenthetical note stating the reason, if available (e.g. lost, damaged, missing, deselected, duplicate, replaced by preservation photocopy, replaced by digitized copy, etc.), plus the date and your netID. Make sure to click the "Staff only" box as well:

               


     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.

      • Example: "v.2 and v.6 withdrawn (damaged) 01/02/03 abc"


     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:   

      • Example:  "Vol. 3 and accompanying maps WITHDRAWN (MISSING) 9/3/21"

     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) 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".  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).
      • 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 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 request may come from selectors looking to deselect material, or if 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 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.

B. Transfers 

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 transfer involves superseded editions or volumes, see also  Secion V "Final Steps" below.
  • If the title is a serial, check for and report an open purchase order to the Serials Unit supervisor, to make sure any new issues are processed for the correct location. See Additional Instructions for Serials below..
  • If the title has a "Pamphlet" call number, or other non-LC classification, 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 physical piece(s)-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  The macro for this is ,,t
  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:
  •  
    • Example 1:

** Exception: Not all transfers to the Annex will get 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 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. 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 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 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 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 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 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 -- (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) .
    1. 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.

  1. Examples: 

       4.  Send the items to the Physical Processing unit for re-labeling and routing to the appropriate location. 

C. 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.  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.
    1. If you un-suppress an Instance record, add an Administrative note with the Transaction code for Fast-shelving (,,s), to reflect the reinstatement.
    2. If you the bib is NOT suppressed, you're likely reinstating an additional copy or location for an item that is already held.
  5. Save  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", the date and your ID (see Example 1) .  There may be previous notes that the item had been withdrawn, but staff can leave these alone, and even provide an explanation, if available, to preserve the maintenance history of the piece (see Example 2):

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, as applicable.  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 (whether newly-placed or not).  (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 (whether newly-placed or not), 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, making sure the handwritten call number inside will match the new label.
    4. If the piece does not need re-labeling, take the piece to the "Return To Stacks" shelf in 110 Olin (if location is Olin, Kroch/Asia, or Uris), or send to the appropriate library on the Mail Out shelf with a yellow routing slip.

** 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.


   

D. Medium Rare Annex

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


E. Additional Steps: Special Cases

  1. Reporing 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
  2. Transfers to RMC Annex: see Rare Annex Transfers (Procedure #12a)
  3. Additional guidelines for Transfers: From Collection Development's Selection Policy for Shelf Space Adjustment:
    1. Retain a unique print copy of an item if the only other manifestations in CUL are microform, CD-ROM, or networked resource. Do NOT retain a unique microform if the title is available in print..
    2. 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.
  4. Shelves for completed transfers and reinstatements:
    1. For Rare Annex transfers, see Special Instructions (Procedure #12a) otherwise:
    2. Deliver all unbound serials that are not separately barcoded to Collection Management--Serials, otherwise
    3. Place items on the appropriate Physical Processing truck at the in Room 110, if remarking is required (e.g. location or call number on spine are incorrect).
    4. 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.

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