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W.E.B. Du Bois Library Cataloging Manual
PROCEDURES FOR REPLACEMENT OF MISSING MONOGRAPHS

CONTENTS
 
I. Circulation
    A. Shelflist
    B. Innopac
        1. Linked items
        2. Unlinked items
        3. No bibliographic record
II. Collection Development
III. Acquisitions
    A. Pre-order activities
        1. Other editions in the Library system
        2. Branch library replacements
        3. Edition to be ordered and internal notes
    B. Reports and receipts
        1. Cancelled/Out of print reports
        2. Receipts
IV. Information Processing
    A. Processing replacement books
        1. Same editions
        2. Different editions
    B. Withdrawing unreplaced volumes
 

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I. Circulation

Items are declared missing by Circulation or branch staff after a pre-determined number of searches, and replacement requests are forwarded to Collection Development.

A. Shelflist

  Circulation staff annotate the Main shelflist in Information Processing with the note 'msg [date],' specifying the copy or volume if more than one is indicated on the shelflist card (use no. 2 pencil). Branch staff should annotate their own shelflist. The shelflist card is then photocopied over a mask containing blanks for purchase order information. Circulation fills in as much order information as possible. The photocopy is sent to Collection Development as notification that the volume has been declared missing and that a replacement is being requested.


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B. Innopac

 
1. Linked items The appropriate Circulation or branch staff change the status of the item record to 'm,' which displays to the public as 'Missing,' add a note to the item record saying 'MSG [date],' and enter an Imessage code of 'm' that will cause the message "Missing" to display to Circulation staff if the volume is later charged out or discharged.   Reference staff send a photocopy of the Reference shelflist card to the Record Corrections Coordinator in Information Processing to have the item information changed.   No records in Innopac will be suppressed simply because they are missing.   EXCEPTION: If the missing item is the only linked copy or volume associated with a bibliographic record in Innopac, but other copies or volumes are indicated on the shelflist card, make the changes to the item record indicated in the first paragraph of this section, and give a photocopy of the shelflist card to the Linking Supervisor in Information Processing, who will create a new dummy item record to represent the other copies or volumes.


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2. Unlinked items

 If only a dummy item record exists in Innopac for the missing item, Circulation staff should annotate the shelflist with the note 'msg [date].' If the missing item is the only copy or volume associated with the bibliographic record, as indicated on the shelflist card, or if all copies and volumes are missing, then Circulation staff should change the status of the dummy item record attached to the bibliographic record in Innopac to 'm' for 'missing,' add the 'MSG [date]' note, and the Imessage code of 'm.' However, if the presence of other copies or volumes is indicated on the shelflist card, and not all are missing, do not change the information in the dummy item record. Instead, give a photocopy of the shelflist card for the missing item to the Linking Supervisor in Information Processing, who will create a new item record for the missing copy or volume with status 'm,' 'MSG [date]' note, and Imessage code of 'm.'   If there is no item record attached to the bibliograhic record for the missing volume, send a photocopy of the shelflist card to the Linking Supervisor in Information Processing.


3. No bibliographic record

 If no bibliographic record exists in Innopac for the missing item, Circulation staff should annotate the shelflist card with the note 'msg [date]' and do no Innopac work at this time. Return to top of page
 

II. Collection Development

 Collection Development decides whether or not a missing book should be replaced.
  1. If Collection Development decides not to replace a book, the replacement request is sent to Information Processing with a transmittal slip which states, "The attached notices represent missing books which will not be replaced. Withdraw these books from the collection."   2. If Collection Development decides to replace a book, the request to replace is handled like other order requests, including a designation to "search if OP" if desired, and sent to Acquisitions.

3. Replacement requests returned from Acquisitions with information on editions in the library not previously noted on the form are to be routed, after re-evaluation, according to paragraphs 1 and 2 of this section, as though they had not previously passed through Collection Development.

  4. Out of print material -- Collection Development will determine the final disposition of every out of print report which is returned from Acquisitions. Any OP search order request which is submitted to Acquisitions after receipt of an OP report is to be treated as a new order, not as a replacement order. Return to top of page
 

III. Acquisitions

 
Acquisitions places the orders for the missing books that Collection Development chooses to replace.   A. Pre-order activities  
1. Other editions in the Library system -- If the searcher finds that there are other copies or editions (i.e. numbered or revised editions) in the Library which have not been noted on the replacement request form, this information is to be written in.   a. If a more recent edition not previously noted is found, Acquisitions returns the request, with the additional information, to Collection Development with a transmittal slip which states: "The attached replacement order requests have additional information concerning other related holdings. Please reconsider and take appropriate action (i.e. treat as though being received for the first time)."   b. If a different numbered edition found by the searcher is not more recent, proceed as with other replacement requests.


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2. Branch Library replacements

 a. The searcher copies the volume/copy missing information from the photocopied branch shelflist card to the main shelflist card (use no. 2 pencil only).   b. The searcher compares the holdings noted on the photocopied branch shelflist card with the holdings noted on the main shelflist card. If there is any discrepancy in the recorded holdings on the two shelflist cards, clip the shelflist card and a red "rush" flag to the replacement request and give to the Head of Information Processing.


3. Edition to be ordered and Internal notes

  a. Acquisitions attempts to replace the exact edition missing unless a later edition is available or a specific edition is requested. The internal note says "Repl. A/C [call no.]."

b. If a missing book is being replaced with a different edition, the Internal note says "Repl. E/D [call no.]."


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B. Reports and receipts

  1. Cancelled/Out of print reports   a. Follow normal routines for processing OP reports through Acquisitions, including placement of a new order if the order was originally marked "search if OP." Note that the OP search order is not to be marked as a replacement order.   b. The monthly cancellation list, arranged by selector, is sent to Collection Development. In addition, a sub-list noting cancelled replacement orders is generated and sent to Information Processing for withdrawal. Information Processing withdraws the item and notifies the appropriate branches or Reference that the item is to be withdrawn.


2. Receipts

 
a. If an exact replacement is received, it is sent to Information Processing as an added copy (A/C). Write "Repl" in the notes area of the routing slip.   b. If the book received is not an exact replacement (whether indicated in Internal notes or not), the receiver marks the routing slip as an E/D, indicates the original call number, and writes "Repl" in the routing notes area. The book is then sent through the normal routines to search for catalog copy.  


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IV. Information Processing

 
Information Processing withdraws the missing books from the collection upon the receipt of a replacement volume from Acquisitions or notice from Collection Development or Acquisitions that the book will not be replaced. A. Processing replacement books   1. Same editions   A same edition replacement is added to the collection as an added copy, using the next higher available copy number, according to the shelflist, regardless of the copy number of the book being replaced.   a. Cataloging Assistant   i. The Cataloging Assistant responsible for added copies changes the holdings note on the shelflist referring to the missing copy to "msg [date] wdn." The date when first noted as missing is not changed. The replacement copy is added to the shelflist card, using the next higher available copy number. A photocopy of the shelflist card is given to the Record Corrections Coordinator, noting the specific copy being withdrawn.   ii. For branch locations and Reference: The Cataloging Assistant marks on the bottom portion of the routing slip the holdings information, including which volume(s) and or copy(ies) has been withdrawn, exactly as it appears on the shelflist card (this will allow the branch to verify that the holdings recorded in the main shelflist agree with the holdings recorded in the branch).   iii. The Cataloging Assistant records the number of volumes withdrawn in the "withdrawn/discarded" section of the statistics sheet.   iv. If the replacement is cataloged to Morrill, Music, or Phys. Sci., but is to be delivered to a Reserve location in a library other than the one to which the book is cataloged, the Cataloging Assistant photocopies the shelflist card and sends the photocopy to the location to which the book is cataloged with a transmittal slip which states: "The attached cards represent replacements which have been received and delivered to a reserve location. Please withdraw the replaced volumes (marked "msg/wdn") from the collection or adjust your records appropriately."   v. The copy to be added is put on the "A/C to be processed" shelf in the end processing section. The Barcode Linking Project links all added copies.   b. Record Corrections Coordinator   The Record Corrections Coordinator withdraws the item record in Innopac for the missing item by adding a note to the Innopac item record saying WDN [date] in capital letters. The note saying "MSG [date]" is left in the record. The item status and Imessage should already be 'm' for 'missing.' If not, they are changed to 'm.' The item record for the withdrawn item is not suppressed.


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2. Different editions

  A replacement volume that is a different edition than the missing volume is cataloged and recorded statistically as a new addition to the collection. It receives its own shelflist card and bibliographic record in Innopac. The item being replaced is recorded as withdrawn in both the shelflist and in Innopac.   a. Cataloging Assistant   When cataloging a book that the routing slip identifies as a "Replacement E/D," the Cataloging Assistant will:   i. Pull the shelflist card for the book being replaced.   ii. Mark the shelflist card (no. 2 pencil only)   (a) If no other copies or volumes remain, change the note on the shelflist card referring to the missing volume to "msg [date] wdn." The date when first noted as missing is not changed. Example: "msg 6/95 wdn." Put the card in the box to be filed in the withdrawn file, after any necessary photocopying.   (b) If other copies or volumes remain, correct the holdings note referring to the missing volume to "msg [date] wdn." The date when first noted as missing is not changed. Example: "c. 1-2, 4; c. 3 msg 6/95 wdn." Refile the card in the shelflist, after any necessary photocopying.   iii. For branch locations and Reference: Mark on the routing slip, below the call number box, the holdings information, including which volume(s) and/or copy(ies) has been withdrawn, exactly as it appears on the shelflist card (this will allow the branch to verify that the holdings recorded in the main shelflist agree with the holdings recorded in the branch).   iv. Record the number of volumes withdrawn in the "withdrawn/discarded" section of the statistics sheet.   v. If the replacement is cataloged to Morrill, Music, or Phys. Sci., but is to be delivered to a reserve location in a library other than the one to which the replacement is cataloged, photocopy the shelflist card. Send the photocopy to the location to which the book is cataloged with a transmittal slip which states: "The attached cards represent replacements which have been received and delivered to a reserve location. Please withdraw the replaced volumes (marked "msg/wdn") from the collection or adjust your records appropriately."   vi. Give a photocopy of the shelflist card to the Record Corrections Coordinator, noting the specific copy being withdrawn. Indicate if copies are held in other locations according to the shelflist.   b. Record Corrections Coordinator   i. The Record Corrections Coordinator withdraws the item record in Innopac for the replaced volume by adding a note to the item record saying WDN [date] in capital letters. The note saying "MSG [date]" is left in the record. The item status and Imessage should already be 'm' for 'missing.' If not, they are changed to 'm.' If other copies or volumes are indicated on the shelflist card but not represented in Innopac, so that it would be misleading to mark as missing the only item record associated with the bibliographic record, create a dummy item record to represent the non-missing items. (This will normally have been done when the item was first declared missing. Cf. I.B above). No item records are to be suppressed in Innopac only because the items they represent have been withdrawn, unless all the items associated with the bibliographic record, according to the shelflist, are being withdrawn.   ii. If all of the copies and volumes associated with a bibliographic record, according to the shelflist, are being withdrawn, the item records are marked as in the preceding paragraph, and are also suppressed by changing the value of Icode 2 to 's.' The bibliographic record is also withdrawn and suppressed by changing the value of Bcode 3 to 's.' An 035 field is created in the bibliographic record, saying WITHDRAWN [date] in capital letters. No bibliographic records are to be deleted from Innopac only because the items they represent have been withdrawn.   iii. If all of the copies and volumes associated with a bibliographic record, according to the shelflist, are being withdrawn, the Record Corrections Coordinator deletes the Library's holdings symbol from OCLC.


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B. Withdrawing unreplaced volumes

  Information Processing will receive notice to withdraw unreplaced volumes from two different sources: 1) Transmittal slips from Collection Development when a decision is made not to replace a volume, and 2) cancelled order lists from Acquisitions when an order cannot be filled. The withdrawal procedure is the same in both cases.
  1. Cataloging Assistant a. The Cataloging Assistant in charge of withdrawals adds the annotation 'wdn' to the 'msg [date]' note already on the shelflist card. If all copies and volumes indicated on the shelflist card are withdrawn, the shelflist card is put in the box to be refiled in the withdrawn file.

b. Record the number of volumes withdrawn in the "withdrawn/discarded" section of the statistics sheet.

c. For branch locations and Reference, send to the location concerned a transmittal slip which states: "The attached notices and/or shelflist photocopies represent missing books being withdrawn from the collection. Adjust your records appropriately."

  d. Give a photocopy of the shelflist to the Record Corrections Coordinator, noting the specific copy being withdrawn. Indicate if copies are held in other locations according to the shelflist.   2. Record Corrections Coordinator   a. The Record Corrections Coordinator withdraws the item record in Innopac for the missing item by adding a note to the Innopac item record saying WDN [date] in capital letters. The note saying "MSG [date]" is left in the record. The item status and Imessage should already be 'm' for 'missing.' If not, they are changed to 'm.' If other copies or volumes are indicated on the shelflist card but not represented in Innopac, create a dummy item record to represent the non-missing items. No item records are to be suppressed in Innopac only because the items they represent have been withdrawn, unless all the items associated with the bibliographic record, according to the shelflist, have been withdrawn.   b. If all of the copies and volumes associated with a bibliographic record, according to the shelflist, are being withdrawn, the item records are marked as in the previous paragraph, and are also suppressed by changing the value of Icode 2 to 's.' The bibliographic record is also withdrawn and suppressed by changing the value of Bcode 3 to 's.' An 035 field is entered in the bibliographic record saying WITHDRAWN [date] in capital letters. No bibliographic records are to be deleted from Innopac only because the items they represent have been withdrawn.   c. If all copies and volumes associated with a bibliographic record, according to the shelflist, are being withdrawn, the Record Corrections Coordinator deletes the Library's holdings symbol from OCLC.   Policy recommended: Bibliographic Policy Committee, 7/95
 
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