Questions and Answers for Collection Managers regarding Acquisitions/Cataloging
Presentation 2/14/01, Questions and Answers modified 3/01/01; 02/09/06

Questions

Acquisitions

  1. In how many ways can collection managers submit an order? Which way is most efficient? Do Acquisitions staff prefer one way to another?
  2. What is the procedure for ordering forthcoming books? Any advantages/disadvantages?
  3. How to place rush orders?
  4. Can I purchase books and get reimbursed? If so, how?
  5. How can I buy out-of-print books?
  6. What is the procedure for ordering replacement books?
  7. How to place "non-standard" orders; foreign publishers, government publishers, free publications?
  8. What approval plans are there besides the YBP, University Press and trade approval plans?
  9. How do I set up a separate approval plan?
  10. How long does it take from placing an order to the receipt of the book?
  11. How to tell if book is on order? (how quickly will information show on Pegasus?)
  12. Why is a book on Melvyl but not on Pegasus when we should be receiving it, i.e., through University Press, Yankee?
  13. How do I set up an overcommitment, and for what amount can I do this?
  14. Who assigns location for ordered items? How is it decided?
  15. How to request notification to faculty/librarian when an item has arrived?
  16. How does a collection manager request a report?
  17. How does Acquisitions distribute publisher catalogs, and where are they located until distribution?
  18. What are the procedures for reviewing approval, gift books, and University Press books?
  19. Who to contact for general acquisitions questions?
  20. Who to contact for questions regarding order status, fund expenditure, rush order, location change, books for RBR, etc.?
Cataloging
  1. How are cataloging priorities established?
  2. What does "ORDER PENDING" mean?
  3. What is the procedure to have something rush cataloged?
  4. How do I get a publication cataloged that I have received without an order (sent by a company/agency, gift from another library, etc.)
  5. How do University Press titles get assigned locations?
  6. Is there a record in Pegasus for books on the approval shelf?
  7. How are materials selected for SRLF? What is the timeline for sending materials?
  8. How does a collection manager report an error in a cataloging record?


Answers

Acquisitions

  1. In how many ways can collection managers submit an order? Which way is most efficient? Do Acquisitions staff prefer one way to another?

    The preferred method, if possible, is to order from approval slips or a GOBI printout. Other than that, the more information provided, the better. Other ways to order:  email to acq@library.ucsb.edu, send lists, Melvyl printouts, publishers catalogs, OCLC/RLIN printouts.

    Mention fund code (initial if sending a print order), special locations, notification of faculty, etc. on the order. If you have a stamp, that is preferred; otherwise; mark clearly. If you don't have a stamp with your initials, you can order one by using the Supplies Request form in your department.

  2. What is the procedure for ordering forthcoming books? Any advantages/disadvantages?

    You can order the normal way. It is better not to order forthcoming university press books or Yankee approval books, or two books may be ordered. If ordering something with a pre-pub discount, mark PRIORITY so it will be ordered before offer expires.

  3. How to place rush orders?

    Write RUSH in big letters on order, so it will be noticed. Indicate where it is needed, when, and why. Put a date needed on the order, so Acquisitions can determine the best method of ordering and shipping. Examples:  "faculty request, need for class beginning", "need by", etc. Please note these requests are expensive, so please make them judiciously. The material should come within a week.

    If you are requesting something to be ordered quickly because of a publisher discount, mark these orders PRIORITY, noting when the discount expires.

    RUSH orders are also rush cataloged. They are hand carried through the workflow while other work stops, so please limit this request to necessary orders only.

  4. Can I purchase books and get reimbursed? If so, how?

    Yes, it is possible, but usually best to use this for books that won't be coming through regular channels since it circumvents the normal process of checking for duplication, encumbering funds, etc. Bring the book and receipt to the Head of Acquisitions for reimbursement.

    In many cases, the vendor will supply a list of books, so we can check to see what we own and order through Acquisitions. If planning on buying books, check with the AUL for Collections before proceeding.

  5. How can I buy out-of-print books?

    If you know the book is out of print, mark "Out of Print" on the order. Otherwise, if Acquisitions can't find through regular channels, they will order through out-of-print dealers.

  6. What is the procedure for ordering replacement books?

    The Pegasus record should note "Lost" status. To have an item declared lost, place a search on the item at the loan desk. Once the book has been declared lost a replacement copy can be ordered. To order a replacement, write "replacement" or "REPL" (the replacement fund code) on the catalog record and send it to Acquisitions.

    Withdrawm Items:  Ocassionally collection managers will be notified by Access Services that an item has been withdrawn from the collection. The collection manager receives an Aleph screen print that indicates that the item has been withdrawn. It is up to the collection manager to decide whether to replace the item.

    Items for which patrons have been billed are declared lost and withdrawn from the collection. Also, items which have been searched for (following a formal search request) but not found, are also declared lost and withdrawn from the collection. Once a search request has been placed on an item, Access Services searches for it for one year.

    If a book is missing and you want to order a replacement without waiting for it to be declared lost, mark "replacement" on the order, with a note telling Acquisitions not to wait until the book is declared lost.

  7. How to place "non-standard" orders; foreign publishers, government publishers, free publications?

    Provide vendor's address and complete ordering information to expedite orders. Orders for free publications should go through the normal order process.

  8. What approval plans are there besides the YBP, University Press and trade approval plans?

    Casalini (slips)
    Aux Amateurs de Livres
    Mexico Norte
    Harrassowitz (slips)
    Ned Book (slips)
    Russian Press Service
    Thomas Henage Art Books
    Wasmuth

  9. How do I set up a separate approval plan?

    Talk to the Collection Development Department Head and the Acquisitions Head to make arrangements.

  10. How long does it take from placing an order to the receipt of the book?

    Orders are usually made within a week, with 4-6 weeks the average time until receipt.

  11. How to tell if book is on order? (how quickly will information show on Pegasus?)

    The information is noted on Pegasus as soon as the order is made. If a note says "ORDER INITIATED," a record has been passed by pre-order searchers but the book is not yet ordered; if a note says "ON ORDER," the order has been sent.

  12. Why is a book on Melvyl but not on Pegasus when we should be receiving it, e.g., through University Press, Yankee?

    Some campuses export their order records to MELVYL, e.g. those using OCLC prompt cat. Our records don't show on Melvyl until the book has been received and processed. Also, another campus may have placed a rush order.

  13. How do I set up an overcommitment, and for what amount can I do this?

    To set an overcommitment, consult with the Collections Development Department Head. The AUL for Collections sets the limits; usually 5%. Order Placement orders an item after a record is created, so if canceling an order, the record must be deleted.

  14. Who assigns location for ordered items? How is it decided?

    The pre-order searching unit assigns locations based upon collection manager instructions. If the collection manager does not specify a location, books are normally sent to the stacks, with exceptions for certain collection managers and call number ranges. If a different location was requested when a book was ordered, it will show on the order record.

    Locations for approval books are assigned by collection managers when reviewing receipts. Requests for location change while the books are in process should go to the Head of Receiving. Questions and requests for a change of the assigned default location should go to the Head of Acquisitions.

    Once a book has been processed, requests for location changes should go to Catalog Maintenance.

  15. How to request notification to faculty/librarian when an item has arrived?

    Put a note on the order. Order Placement puts a note in the record; Circulation holds the book and notifies the person when the book is processed.

  16. How does a collection manager request a report?

    Monograph report requests go to the Head of Acquisitions; serials requests to Serials Acquisitions.

  17. How does Acquisitions distribute publisher catalogs, and where are they located until distribution?

    Catalogs are sent to the collection manager or placed on the table near the elevator in Acquisitions; they can be taken at any time.

  18. What are the procedures for reviewing approval, gift books, and University Press books?

    Approval and gift books have a written procedure (see handouts.) Approval books are on the shelf for two weeks. Collection managers should insert the gift review flag indicating decision in the reviewed gift book and put the book back on the review shelf. All approval books will be added unless physically removed from the shelf and put on the "Rejects" shelf.

    University Press books are on carts in the Receiving Unit next to the Head of Receiving's desk. They can be reviewed at any time (they are usually in the department about two weeks before going to the shelves).

  19. Who to contact for general acquisitions questions?

    The Head of the Acquisitions, the Assistant Head (Head of Receiving) or the AUL, Technical Services.

  20. Who to contact for questions regarding order status, fund expenditure, rush order, location change, books for RBR, etc.?



Cataloging

  1. How are cataloging priorities established?

    Cataloging priorities are established based upon the order the books come in unless there is request for special treatment, e.g. RUSH.

    Any item can be rush processed, if necessary. However, please note that rush item processing can be disruptive in the general workflow and that too many rushes can actually slow the cataloging of other materials. Please rush materials only when there is an immediate need for them, e.g., if they are needed for a class or for a specific research project.

  2. What does "ORDER PENDING" mean?

    Request has been searched and record is in Pegasus, but order has not been placed.

  3. What is the procedure to have something rush cataloged?

    Note on request at time of order or after. Books requested "in process" are automatically rush cataloged whenever possible.

  4. How do I get a publication cataloged that I have received without an order (sent by a company/agency, gift from another library, etc.)

    Acquisitions has a shelf in the review area for materials unordered by Acquisitions but designated by Collection Managers for timely addition to the Collection. Gift items to be cataloged are generally placed on the empty shelves (by the door) to the extreme left of the approval shelves.

  5. How do University Press titles get assigned locations?

    When collection managers review the approval books on the approval shelves in acquisitions, they can also review the UNIV materials on the book trucks in the Approvals Section. Collection managers should place pink location flags in the UNIV items they want in locations OTHER than the main stacks, which is the default location. Collection managers should give items with Pegasus flags directly to the Approvals Supervisor. Items without Pegasus flags can remain on the book trucks.

  6. Is there a record in Pegasus for books on the approval shelf? If so, what status is assigned to them on Pegasus?

    UNIV, shelf-ready books are the ONLY approval books with records loaded by YBP. In the staff mode, the item process status code will say YB and in the web OPAC the item process status will say ORDER PENDING.

  7. How are materials selected for SRLF? What is the timeline for sending materials?

    Draft SRLF Procedures

    The materials for SRLF and the Local Annex are selected for storage if the titles have not been used for a decade. The Collection Managers are asked to review their assigned collections. Each CM is given a list generated in call number order from Pegasus and put into Excel. The Collection Manager will go to the stacks, review titles, using the list as a basis. The CM will put a flag in each book they think can be sent to SRLF, and will annotate the list with that decision. The CM may decide to discard selected materials. The CM's timeframe may vary according to reviewing time available.

    Faculty will be notified and have 4 months to review titles.

    The Special Projects Unit in Cataloging will search titles from list in the UCLA Library Catalog to determine if the material can be sent to SRLF. If the selected title is already processed at SRLF it is considered as a duplicate and cannot be sent to SRLF. The duplicate title will be sent to the Local Annex. The locations are changed in Pegasus. Multiple copies are discarded and reviewed, for sale at UCSB Central Stores.

    The goal is to keep the selection process moving at a high enough percentage of identified titles to meet the shipment requirements. The timeline for sending materials to SRLF varies for each fiscal year's deposit allotment.

  8. How does a collection manager report an error in a cataloging record?

    Contact Catherine Turner, the Head of the Database Management Section, at x8946.

    Questions about the catalog can also be answered by Amy Weiss, Head of Cataloging x2866.


Back to Collection Manager's Manual.

Authors: Task Force for Orientation of New Collection Managers; comments on content and arrangement to Sherri Barnes.
Updated: February 9, 2006, J. Martorana