SUL Transfer Procedures

Prepared: Jan. 2007

This document outlines the procedures to be followed in order to have Unicorn updated when materials are transferred from one library/location to another within SUL. Two related policies are highlighted here:

1. Transfer decisions are made by selectors.

2. Data Control handles the updating of Unicorn in order for Socrates to display correct and up-to-date holdings information. It does not normally handle the physical items.

I. Transfer between libraries (including Music Library and ARS, excluding SAL3):

1.Selector communicates with Data Control and “transfer to/from” libraries via email, with the email subject line: “Transfer request.” The body of the email should include the Item ID, Author/Title, Call/Copy Numbers, and “transfer to/from” Libraries. Some libraries may prefer to leave the book on the Data Control rover’s shelf with precise instructions.

Exception: Music Tech Services will handle transfers between Music Library and ARS.

2. Upon receiving the email notification, Data Control changes the item Library, Item Type, and Location in Unicorn.

3. Data Control notifies the “transfer to/from” libraries via email when the item record has been updated. If there were changes in Call/Copy numbers, Data Control will note it in the email so that the receiving library can order a new label.

4. Data Control will update the appropriate MHLD if one exists or notify Serials Access Maintenance if the MHLD is linked to serial control.

5. Originating library puts the item “In Transit” to the new library, and sends the physical item (attaching the “transfer request” email) to the new library.

6. The new library receives the item, takes it out of “In Transit” and makes sure that the vol/copy information has been updated.

II. Transfers of individual title/item to/from SAL3:

For Batch Transfers see Section IV, 2.

1. Transfer an item from SAL3 that is at SAL3 at the time of request (PWD- Permanent Withdrawal Direct):

(1) Selector/Operations Manager emails the Operations Manager of SAL3 to have an item transferred to the requesting library. The email must include the Item ID (barcode number) and the destination library.

(2) SAL3 retrieves the item, permanently withdraws it from LAS, removes the SAL3 label from the spine, and sends the item to the requesting library.

(3) Upon receiving the item, the requesting library notifies Data Control of the transfer via email. The body of the email should include the Item ID, Author/Title, and Call/Copy Numbers.

Exception: For items being transferred to the Music Library or ARS, notify Music Tech Services.

(4) Data Control will change the item Library, Type, and Location in Unicorn.

(5) Data Control will update the appropriate MHLD or notify Serials Access Maintenance if the MHLD is linked to serial control.

2. Transfer an item from SAL3 that was previously retrieved and is not at SAL3 at the time of request (PWD-Permanent Withdrawal Indirect)

(1) Selector/Operations Manager emails the Operations Manager of SAL3 to have an item transferred to the requesting library. The item must be in the possession of the requestor at the time of the request. The email should include the Item ID.

(2) SAL3 permanently withdraws the item from LAS and informs the requestor via email that the permanent withdrawal has been completed.

(3) Upon receiving withdrawal confirmation, the requesting library removes the SAL3 label from the spine and notifies Data Control of the transfer via email. The body of the email should include the Item ID, Author/Title, and Call/Copy Numbers.

Exception: For items being transferred to the Music Library and ARS, notify Music Tech Services.

(4) Data Control will change the item Library, Type, and Location in Unicorn.

(5) Data Control will update the appropriate MHLD or notify Serials Access Maintenance if the MHLD is linked to serial control.

3. Transfer an item to SAL3:

All items to be transferred to SAL3 should be barcoded and have item records in Unicorn.

When creating item records in Unicorn, create them for the sending library/location. Never create an item record with Library=SAL3 and Home Location=STACKS.

If no catalog record can be found to link barcodes to, contact Data Control. For items being transferred from the Music Library and ARS, contact Music Tech Services.

(1) Selector/Operations Manager emails the Operations Manager of SAL3 who will instruct him/her through the transfer process.

(2) SAL3 receives the item and accessions it.

(3) Unicorn item record will be updated through an automated process on the same day the item is accessioned by SAL3, i.e. the Library, Item Type, and Location information will be updated accordingly.

III. Transfers between different locations within the same library:

1. Selector/Operations Manager communicates with Data Control to change the Location of an item to a new Location within the same library, with the email Subject line: “Location change.” The body of the email should include the Item ID, Author/Title, Call/Copy Numbers, and old/new Locations. Some libraries may prefer to leave the book on the Data Control rover’s shelf with precise instructions.

Exception: For items being transferred between the Music Library and ARS, contact Music Tech Services.

2. Data Control updates the Type, Location, and Call/Copy Numbers in Unicorn. Libraries with properly trained staff may perform their own updates. Reclassification of Call Number (e.g. from Dewey to LC) and MHLD updates should be sent to Data Control. If new spine label is needed, The requesting library is responsible for any necessary spine label marking changes.

3. Data Control will update the appropriate MHLD or notify Serials Access Maintenance if the MHLD is linked to serial control.

IV. Batch transfers:

1. Non SAL3 batch transfers:

Batch transfer is arranged among the two libraries involved and the Database Manager. Data Control does not need to be notified.

Unicorn item records and MHLD records will be updated through an automated process.

Errors encountered by the automated transfer process are recorded in error reports. Errors related to item transfers are reported daily, while errors related to MHLD records appear in a weekly report. Data Control reviews the item transfer error reports and corrects the errors that it can correct. Some errors can only be corrected by the sending library. Data Control will handle the MHLD errors not linked to Serials Control. Serials Access Maintenance will take care of the ones that are linked to Serials Control.

2. SAL3 batch transfers:

Major collection relocation to SAL3 requests should go through the Head of Access Services. Data Control does not need to be notified.

Unicorn item records and MHLD records will be updated through an automated process.

Items without barcodes and items with barcodes but not linked to Unicorn records will be bounced to Data Control for problem resolution.

The automated transfer process also generates error reports. Errors related to item transfers are reported daily, while errors related to MHLDs appear in a weekly report. The sending library, Data Control, and Serials Access Maintenance will receive these reports.

Errors in item reports that require fixing by the sending library are anything that has to do with circulation and fines, e.g. item is in transit, item is on hold, item used by reserves, item has bills. After the problem has been fixed, notify Data Control via email so they can manually transfer the item to SAL3. The email subject line should be: SAL3—Item problems fixed.

For MHLD error reports, the “items remain” in old library is the only type that requires fixing by the sending library. If the split is not intentional, then the “left behind” volumes should either be rounded up and sent to SAL3 to join the other volumes, or their records be updated to show that the volume is lost, withdrawn, etc. If the split is intentional, then a note should be added to explain the situation. Send an email to Data Control with indication of how each case of “item remain” should be updated. The email subject line should be: SAL3—MHLD problems.

Data Control is responsible for updating the MHLDs in the “items remain” category of the Batch MHLD error reports (procedures are on separate document), while Serials Access Maintenance is responsible for updating the MHLDs in the “serial ctrl” category of the reports.

Last modified: January 4, 2007