StaffGuide: Serials Access & Claiming

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Exchanges Overview

Exchanges Overview:

Exchanges are agreements that we enter into with other institutions in which we provide material (often journals) in exchange for equal material (journals).

The claims position performs many duties to ensure the smooth transfer of titles between our institution and our partner libraries. These include: 

  • Maintaining an Access database of exchange partners and publications.
  • Verifying annually that exchanges are current.
  • When necessary, coordinate the mailing of publications to partners using Microsoft Word/Excel to maintain lists and print mailing labels.
  • Delivering material with proper paperwork to shipping and receiving. 

There are two classifications of exchanges: Free and Paid. 

  • Paid Exchange: We send out a title that we purchase (e.g. Arkansas Historical Quarterly or Journal of Arkansas Academy of Science) to our partner libraries in exchange for their material. 
    • These are exchanges in which we pay for material to exchange with a partner library. The Arkansas Historical Quarterly and Journal of Arkansas Academy of Science (JAAS) are two paid exchanges. We purchase these journals then exchange them with partner institutions. 
  • Free Exchange: We send to our partner libraries material that we do not pay for (usually campus and/or international publications that are published irregularly) in exchange for their material. 
    • These are exchanges that we enter into at no cost to us. The material we send is often obtained for free in exchange for print publications from a partner library.
    • We haven't created a new free exchange for quite some time. Serials often has to drop free exchanges due to print ceasing or the publication ceased.

Below you will find Exchange Procedures. 

AHQ (Arkansas Historical Quarterly) Processing Procedures

AHQ (Arkansas Historical Quarterly) Processing Procedures 

 

  1. Review the current pre-distribution list starting in Early March of every year.  Confirm that all exchange partners are current with us. Review the distribution list updates document in the AHQ folder.  If the list is not current, investigate to see if the exchange is still active. If the exchange has ceased, see "Canceled & Dropped Exchange Procedures".
  2.  Contact our AHQ contact.
    • The AHQ contact needs you to confirm that the University of Arkansas Libraries want 1 paid copy and 4 free copies (Copies are for these locations: ARKCO, PER, BIND, and 2 copies go to Serials Compact Storage).
    • Also the AHQ contact will need you to confirm the list of exchange partners and number of exchange copies. All you have to do is send the final draft of the distribution list (not the pre-distribution list). Let the contact know of ceased exchanges and why those are missing from the final draft of the distribution list.
    • After everything is verified, the contact will send the invoice to the Serials Acquisitions Manager. You might not be notified when this happens. You might have to ask the Serials Acquisitions Manager  if the invoice was received after a week or 2.

2 AHQ Copies for Compact Storage Policy

 

Per the Collection Development Advisory Group (3/22/18): The Libraries have a preservation agreement with the society and 2 copies must go to compact storage.

 

These compact storage copies will be located in the Serials Processing area in compact storage.

AHQ Complementary Copy Request from Exchange Partners

Contact the AHQ contact to send a complementary copy to the requesting exchange partner.

JAAS (Journal of the Arkansas Academy of Science) Processing/Mailing Procedures

JAAS (Journal of the Arkansas Academy of Science) Processing/Mailing Procedures

 

  1. Review the current pre-distribution list starting in Early March of every year.  Confirm that all exchange partners are current with us. Review the distribution list updates document in the JAAS folder.  If the list is not current, investigate to see if the exchange is still active. If the exchange has ceased, see "Canceled & Dropped Exchange Procedures".
    • Contact our JAAS contact.
  2. Create mailing labels by using the EXCEL file (vxx 20xx JAAS mailing template). This is found in the JAAS LISTS folder (Serials, EXCHANGE notebook, JAAS, JAAS LISTS).
    1. Open WORD and click “Mailings” from the top list.
    2. Click “Start Mail Merge”.  From here the “merge wizard” will guide you through merging the EXCEL file to create the labels.
    3. Labels can be printed on your printer using mailing labels from the serials dept.
  3. After printing labels, create a shipping notice.  This can be found at (Serials, EXCHANGE notebook, JAAS, JAAS LIST).  Use the shipping notice from the last issue and reformat as needed for changes (adds/drops).  Do a “Save As” to change to title reflecting the current volume/ date.  Print 2 copies.
  4. In the JAAS LISTS folder use the WORD file “JAAS Bookmark”.  Correct the volume number and date to the current issue.  There should be 4/page.  Print off enough to place one in the front of each journal.  You can paper cut these in binding, then place one in the front cover of each journal.
  5. THIS IS IMPORTANT!!! Count the journals to make sure they match what is expected and that this matches the number on your distribution list.  
  6. Take address labels, shipping notices and journals to the Shipping and Receiving Department.  Make sure and communicate to someone in S &R that you need them to pack and ship out the journals with the address labels provided.  Do not just leave them if no one is there for an explanation.  
  7. After the journals have shipped you should receive a copy of the shipping notice back.  Scan this in as a PDF and save to the JAAS LISTS folder as v.xx 20xx shipping COMPLETE.
  8. Do “save as” for the current distribution list to create your pre-distribution list for the next issue.

Canceled & Dropped Exchange Procedures

Canceling Paid Exchanges:

 

  • The Serials Access Specialist is responsible for the following:
    • If our institution is canceling the paid exchange, the decision to do that comes from the Serials Librarian and the subject selector. You must have prior permission to initiate cancelations of exchanges before proceeding.
    • Once you have permission to cancel the exchange(s), contact the exchange partner to cancel an exchange.
      • If the exchange partner decides to send the publication as a "gift" despite our library terminating the paid exchange, please let the Serials Processing Specialist know about it. The Serials Processing Specialist will work on converting the check in and order records from a paid exchange status to a gift status.
    • Go to Microsoft Access:
      • In the ‘send to uark’ tab under the drop column, click your mouse to place a check mark on the exchange publication you are canceling.
      • Go to the ‘receive from uark’ tab under the drop column, click your mouse to place a check mark on the exchange publication you are canceling.
      • Click the save button.
    • Go to Excel spreadsheet called the Exchange Lists
      • Go to the ‘Master List’ tab
        • Gray out the Exchange Partner
      • Go to the ‘publication’ tab called “Title” For example:  ‘JAAS
        • Gray out the Exchange Partner
    • Go to Pre-distribution List
      • Highlight address in red.
      • Strike through the address using red.
      • On a blank page: Make a "Distribution List Updates:" section. This section is for Serials purposes only.  In this section, add a date and write a brief description. For example:  "4/24/18: Exchange Title : Exchange partner requested to discontinue receiving UARK exchange title. Marked in red and crossed out on the distribution list. See email letter from Wanda <email>."
    • Notify our UARK publication publisher(s) about the cancelation(s)
      • For AHQ, email our contact at the Arkansas Historical Association.
        • Ask them to remove this partner.
        • The process of cancelling an exchange should not be completed unless/until we are ready to notify the Arkansas Historical Association
      • For JAAS titles, be prepared to send an email to our JAAS contact in the Spring and let them know how many copies we will need.
      • For Arkansas Archaeological Survey titles, email our Arkansas Archaeological Survey contact(s) to reduce number of copies needed for the next distribution of that title.
    • Go to Sierra
      • Add a 5 dash claims note field (underneath the ~~PARAMETERS:)
        • Examples:
          • “----- DROP (date and initials) Cancel exch per Serials Librarian”
          • “-----exch/rpt (date and initials) paid exch ceased w/ (last issue of paid exch). However, will send as a gift”
    • Notify the Serials Processing Specialist:
      • Email the Serials Processing Specialist about the cancelation.
      • The Serials Processing Specialist will start the cancelation process.

Dropping Free Exchanges:

 

  • Contact the free exchange partner to drop a free exchange.
    • Or you might receive information from a free exchange partner who wants to cease the exchange.
  • We do not keep up with the free exchanges like we do the paid exchanges. 
  • Go to Sierra
    • Add a 5 dash claims note field (underneath the ~~PARAMETERS:)
      • Examples:
        • “----- DROP (date and initials) drop exch per Serials Librarian”
        • “-----exch/rpt (date and initials) free exch ceased w/ (last issue of paid exch). 
  • Notify the Serials Processing Specialist:
    • Email the Serials Processing Specialist about the drop.
    • The Serials Processing Specialist will start the drop process.

Exchange Resources (Templates, Forms, Lists)

 

To access the Exchange database in Microsoft Access, go to serials (alexandria mapped drive)>>EXCHANGE notebook>>Exchange. 

Exchange Setup Procedures

Paid Exchange New Setup

Definition:

Paid exchange: The University Libraries pays for a copy to be sent to an institution, library, or society.  This procedure is broken down into two sections. The first section is usually completed by the Serials Access Specialist, while the second section is completed by the Serials Processing Specialist


PART 1: Serials Access Specialist​:

  • You will receive notification about a new paid exchange setup either from a Subject Librarian, Serials Librarian, Serials Coordinator, Serials Acquisitions Manager, or UARK publication publisher.
    • For instance, sometimes the publication that we pay for will notify us about setting up a new paid exchange.
      1. For example: Arkansas Historical Quarterly can establish a new paid exchange with another institution/publisher.
  • If the Serials Acquisitions Manager did not notify you about the new paid exchange, go ahead and notify them about it before starting your process.
  • After being notified: Look for the publication in OCLC Connexion. If you are unable to find a record in OCLC, proceed to try and find the publication's website. Let the Serials Processing Specialist know if an OCLC record and/or website was found or not. This will further aid the Serials Processing Specialist during the set up process.
  • The Serials Access Specialist will be responsible for contacting the institution/publisher as well as the UARK publication publisher (if applicable) after being notified of a new paid exchange.
    • Make sure we are on the new institution/publisher mailing list to receive the publication.
    • (If applicable) Make sure the AHQ UARK publication publisher is sending a copy to the new institution/publisher.
    • If the publication is not AHQ, the Serials Department will be solely responsible to make sure each party receives their copy.
      1. For example: The Serials Access Specialist will be responsible for sending out JAAS every Spring.
        1. Check out the JAAS procedures here

Updating the Exchange Notebook (Microsoft Access in the Serials Drive):

The Serials Access Specialist will also be responsible for updating the exchange notebook, the exchange spreadsheet, and the exchange distribution lists appropriately.

New Paid Exchange Start

  • In the Exchange Notebook go to Microsoft Access: Exchange
  • To add a new entry:
    • Click on (Partners) >>(Ok) >> (New)

New Paid Exchange Partners

  • Make sure the Active Box is checked.

Paid Exchange Active Box

  • Fill in the publication/institution information.
    • Under the “Send to UARK” tab in the publication field add the 245 title. Add the bibliographic record number.     

Exchange New Setup Bibliographic

  • Under the “Receive from UARK” tab choose the UARK publication that will be exchanged.  

Exchanged Materials                                                                             

  • After the Microsoft Access: Exchange is updated it is time to update the exchange spreadsheet.
  • After you have updated the exchange spreadsheet, go ahead and update the exchange distribution lists.
  • After you have updated the exchange notebook, exchange spreadsheet, exchange distribution lists, email the Serials Processing Specialist to let them know that this is done. 

PART 2: Serials Processing Specialist:

  • After being notified by the Serials Access Specialist, proceed to export a record from OCLC Connexion. Before exporting a record, always double check to see if we already have the title in Sierra.
    • After conducting an OCLC review and checking that we don’t have the record in Sierra, export the bibliographic record.
  • Blank the CAT date and add a 947 local note field “BIB XPO; 222 ADDED (date/initials)”.
    • Only add the “222 added” phrase if you added a 222 field.
  • Create a check-in record.
    • Fixed Fields:
      • LABEL TYPE: n  NO LABEL
      • SCODE2: f  PAID EXCH
      • VENDOR:  none
      • Below you will find what variable fields to add to the check in record:
        • CALL #    OnOrder
        • NOTE  [Announces new exchange]     PENDING NEW PAID EXCH SETUP (05/29/15 anm)
        • NOTE  [Contact info for exchange partner]      CONTACT:  Peggy Duty,  <pasd@mindspring.com> ; from EXCHANGE NOTEBOOK (06/01/15 anm)
        • NOTE  [URL information if available]   http://www.ctgs.org/CTGS%20-%20Books/CTGS%20-%20Quar/index.htm    [For Serials use; online archive of 1958-2007] (05/29/15 anm)
        • NOTE   [Parameters for Check-in Card]   ~~PARAMETERS:  90 / 30  (05/29/15 anm)
        • VEN. ADDR. [Vendor Address]      CENTRAL TEXAS GENEALOGICAL SOCIETY C/O WEST WACO LIBRARY AND GENEALOGY CENTER 5301 BOSQUE BLVD #275 WACO TEXAS 76710
        • MESSAGE  [Message to alert receiving assistant to pass issues to R3] *SEND ALL ISSUES TO R3 FOR SETUP. (05/29/15 anm)*
      • If you have not received the issues, create a message field so the issues will be delivered to the Serials Processing Specialist. After receiving the issues, you can begin the process of send the new set up paperwork and issues to Serials Cataloging.
  • Edit the check-in card (frequency, enumeration, claiming) to correspond to the publication. 
  • Add check-in boxes in the check-in card. 
  • Create the order record:
    • Fixed fields:
      • ACQ TYPE: 0 NOCHARGE
      • CODE4: RECEIVE FROM UARK PUBLICATION
      • ORD TYPE: 1 PAID EXCHANGE
    • Variable fields:
      • Vendor Address

Paid Exchange Set-up Order Record


Finally, after creating the check-in and order records, it is time to fill out the new set up form. 

New Paid Exchange Set Up Form Completed​

This paperwork, along with the received issues, can now be sent to Serials Cataloging. 

Sierra Codes for Exchange Titles

Working from an exchange distribution list, compare the word document to the exchange notebook’s distribution list.  Partner count should be equal.

Review each exchange title in Millennium.

            Order record ORD TYPE = e (exchange)

            Order record CODE 4 = (see code chart below)

            Check-in record SCODE 2 = e (free exchange) or f (paid exchange)

            Check-in record SCODE 4 = (see code chart below)

Exchange SCODE4

Updating Contact Info for Exchange Titles

When claiming exchange titles:

  • All contact information except the address is maintained in the electronic exchange notebook and sometimes in the check-in record.
    • If you have a valid phone number or email address in your claim note, BE SURE TO ADD IT above the ~~Parameters note - as contact info (D/I) - while you are still in the record.  This should insure it is not lost when the claim entry is deleted.
  • If you are notified of a change in contact person, phone number, or email address during claiming, BE SURE TO NOTIFY THE GIFT/EXCHANGE AGENT RESPONSIBLE FOR THE EXCHANGE NOTEBOOK ENTRIES IMMEDIATELY.  These changes are not common and need to be confirmed.
  • If you have been notified that the exchange donor has a change of address, BE SURE TO NOTIFY THE GIFT/EXCHANGE AGENT RESPONSIBLE FOR THE EXCHANGE NOTEBOOK ENTRIES IMMEDIATELY.  These changes are not common and need to be confirmed.