Lecture 4b: Basic Lecture 4b: Basic Functions/ActivitieFunctions/Activitie

s/Procedures IIs/Procedures II

Lecture 4b: Basic Lecture 4b: Basic Functions/ActivitieFunctions/Activitie

s/Procedures IIs/Procedures IIDevelopment andDevelopment andManagement of Management of

CollectionsCollections

Basic Functions/Activities/ Procedures II

Coverage (cont’d):7. Receiving Materials/Expending Funds8. Handling Damaged and Incorrectly Shipped Materials9. Claiming Unreceived Materials10. Canceling Materials11. Database Management12. Monitoring and Reporting Activities13. Special ACQ Problems

Receive requests

Verification

Select method of supplye.g. Order plans

Select sources of supplyi.e. Vendors vs Others

Create & send PO

Update records,i.e. Finance, order records

Receive materials

Check materials,i.e. Invoices, Physical condition,

Claims & returns

Update records

Process Payments

Accessioning

To cataloguing section

7. Receiving Materials/Expending

Funds• Receiving Process• Checking Process• Updating Process• Payment Process• Accessioning Process• Physical Processing

The Receipt Process

Arrivalof boxes, packages, parcels,

envelopes

Unpacking & matching against DO,

packing listfor correctness, qty &

condition

okay? sign DO

Retrieve order records

Checking & tickingagainst Invoice & PO

Arrangementby vendors, cartons, POs, subjects, dates

onto trolleys, shelves, tables

Problem solving with Vendorsincomplete/incorrect shipment, title, billing,

duplicates

Typical Challenges of Receipt

• Incorrect materials received• Incomplete shipment• Imperfect materials• Hidden/no packing slips• No DO/invoice• Wrong billing

Check physical condition

Tick & recordin order slips for qty received,

“filled”

Move order slipsto fulfilled boxes & change

status

Recorddate & qty received

Claims & returnsqty not received, faulty

Tally invoicesagainst DO & PO

Check with vendorswrong billing

The Checking Process

The Checking Process

• Physical checking & recording of the existence of the materials in the acquisitions & serials systems.

Financial RecordUpdate

Actual amount spent

Un-commit funds?exchange rate differencesdiscounts, price changes

Monthly balance statements

Annual reconciliation of records Filing

The Updating Process

Order Record Update

Catalogue record update

Qty received & pending

Revise order informationprice & qty

The Payment ProcessConfirm invoicesagainst DO & PO

Approve invoices for paymentsadjustments, returns?credit from vendors?

Forward approved invoicesto Finance for cheques/vouchers

The Payment Process

• The process of making arrangements to settle outstanding debts with vendor for items ordered, delivered & received in good condition.

• Invoicing & payment require the signature of authorised personnel.

• Purposes of the payment process– Good public relations tool between library & vendor– Ensure future business– A fund accounting tool

The Accessioning Process

Running numbers assignedto individual copies of titles

manual record of title, author & imprintautomated record -- barcodes

Capture date accessioned

Property marking

The Accessioning Process

• Unique number for acquisitions• Property marking• Via continuous numbering or coding system• Purposes:-

– Inventory control & ownership identification– Access & catalogue to materials– Circulation

Physical Processing

Send materials forcirculation, shelving -- all titles

Cataloguing of new titles &Print & attach labels

Spine strengtheningJacketing

Security DevicesSpecial processing flags

(rush orders)

Physical Processing• Physical processing is preparing materials for use by

patrons.• It is for protection & identification purposes.

8. Handling Damaged and Incorrectly Shipped

Materials• Purpose: To ensure proper handling of problem cases and

final resolution• Tasks:

– Means to identify problem and item– Communicate with vendor on problem and resolution

• Correspondences to be maintained and kept till problem resolved• Do you need to return item?• Would item be replaced? If not, would you get a credit note or a

refund?

– Mechanism to track and monitor the problem and resolution• To ensure problem is resolved

9. Claiming Unreceived Materials

• Purpose: To follow-up on items not received beyond expected arrival date

• Tasks:– Run report in library system to identify orders that have

not been fulfilled by the expected arrival date– Confirm status before generating claim letters to be sent

to the vendor– Decide on final action based on vendor’s reply or if no

reply after a certain period– Update decision/vendor reply in the library system

10. Canceling Materials• Unreceived materials

– Establish cancellation period• Instruction to vendor, to cancel if cannot fulfill order after a

pre-defined period• Internal decision, to cancel if orders cannot be fulfilled after a

pre-defined period or after a specified no. of claims has been made

• Serials subscription– Establish cancellation period

• Important for auto-renewal – must cancel subscription before the cancellation date

• Always get a confirmation that order is cancelled!

Cancellations

Attach copy of original order to cancellation notice

Ensure exact match between cancelled & ordered titles

(esp. those in vendor’s record)

Update order information &

reflect reasons for cancellation in

system

11. Database Management

• FY-end processing• Order status – all new orders are sent• Monitoring and processing of overdue orders• Receiving and invoicing of orders• Funds encumbrance and expenditure

12. Monitoring and Reporting Activities

• Request reports– Who has made requests to purchase?– No. of requests ordered or rejected (why rejected?)– Type of requests made– Turnover cycle for processing requests (i.e. from receiving

of request to finally ordering/rejecting request)

• Order reports– New orders– Unfulfilled orders– Received by not invoiced orders– Prepaid orders that have not been fulfilled

12. Monitoring and Reporting Activities

• Fund reports– Fund status– Breakdown of orders by funds– Comparison reports, e.g. across the years, across the

funds, allocation vs encumbrance vs expenditure

• Vendor reports– No. of orders per vendor– Order fulfillment rate– Order cycle– Price and discounts

12. Special ACQ Problems• Paperbacks• Government publications• Small presses• Microforms• Audio-visual materials• Electronic formats• Out-of-print materials• Back issues• Foreign materials

The Serials Workflow

Check details of price &

bibliography

Check financial records

Determine

method of

supply

Vendor/Agent

Directly

Send subscriptio

n order

Prepare serials record

Update finance &

order records

Receive mails

The Serials Workflow

Check-in Processing

Gather issues

for binding

Prepare binding notice/ slips

Update record

s

Send to bindery

New? Renewal?

Missing?

Claims

Routing

Display

Cancel?

The Serials Workflow• Renewals

– Need to keep records of renewals for each title– Easier if renewal dates are the same for most of the

subscribed titles

Claims• Set a claim cycle for each title

– Waiting/grace period for late arrival before issuing a claim– Set according to publication’s frequency

• Generate & send claims forms• Automatic

– Update of claim status– Generation of further claims or until issue/volume is received