TSAD Information Bulletin 1995-2
Ordering Materials

Ordering Materials for the Columbia University Libraries Collections
18 September 1995

   In setting up the workflow for ordering materials, we try to
achieve a balance between the need in TSAD for the maximum amount of
information presented in a very controlled manner and the need for the
selector to be able to select materials from a variety of sources,
forwarding the information in its original format to TSAD.  We hope
that the following guidelines will result in a workflow that is an
optimal blending of needs. These guidelines are intended to cover
materials ordered and purchased on a routine basis.  As always, if
there are special circumstances or issues regarding an order, the
selector should discuss those issues with the appropriate TSAD
department head prior to submitting the order request.

   To process order requests efficiently and effectively, the
following information, at a minimum, must be present when an order
request is submitted:
  
   sufficient bibliographic information to identify the item
     requested,
   fund code, 
   library location, and 
   the actions to be taken when search results show another copy in
     the Libraries.
 
   The selector should provide sufficient bibliographic information
for TSAD to be able to identify the item requested.  If a specific
edition, editor, imprint or volume in a series is needed, that
information should be included as a part of the order request.  Any
order request submitted for an item with an imprint date of more than
three years ago may no longer be available via the typical sources.
If the selector knows of a source for an OP item, that information
should be included with the order request.

   In addition to providing sufficient bibliographic information, the
selector must provide a valid fund code for each order.  Each selector
is assigned specific funds by the Associate University Librarian.  One
of these fund codes should be assigned to each title at the time of
ordering.  A location code should be assigned as well.  With some
materials, it may be necessary to determine the location after the
physical piece is examined.  For these items, a location code of SHO
(Show to Selector) can be assigned.  Although it is not mandatory,
selectors should indicate an ordering and a processing priority for
each item.  If a priority is not supplied, priority 3 will be assumed.

   Finally, the selector should indicate the actions to be taken when
search results show another copy in the Libraries. The selector is
asked to determine whether a copy should be ordered without reference
to the rest of the collections or whether a copy should be ordered
only if the title is not present in the location indicated. The
wording of these conditions has changed. Please refer to the
explanations below for additional information.

Submitting Order Requests

   Order requests may be submitted in any legible, eye-readible format
to Monographs Acquisitions Services (MAS) or Serials Acquisitions
Services (SAS).  A copy of the revised Order Request Form and
instructions for completing it are provided below. Although selectors
are encouraged to use the Order Request Form, selectors are not
required to submit orders on these forms.  Nor does a copy of a
bibliographic record from OCLC or RLIN need to be provided with each
order.

   Selectors may submit catalogs with the items to be ordered marked.
However, only priority 3 orders for single volume monographs or full
sets may be submitted in catalogs.  The fund code and location must be
clearly marked next to each item.  Color coded dots and check marks
with legends are not acceptable as they easily can be confused.  In
addition, the information in the catalog must be easily eye-readable.

   Orders for replacements or back issues of serials should be
submitted as any other order would be.  If appropriate, the volume or
issue number must be clearly noted on the order request.  Although
required in the past for replacement orders, the D115 form was revised
last year and should be used only for Brittle Materials.

   Orders for subscriptions or standing orders must indicate the
volume and issue number with which the subscription should begin.
Sample issues are not needed to process subscriptions.  However,
please note that many periodical titles are not unique.  The more
information provided, the more likely it is that the correct title
will be acquired.  Photocopies of mastheads and covers are
particularly useful.

   Orders for multiple volume sets should indicate that the entire set
is desired.  If an individual volume from a multiple volume set is
desired, the volume needed must be clearly indicated.

Processing Order Requests

   In MAS, the process of ordering for priority 2 and priority 3
material begins with a search in CLIO.  This check verifies that the
item requested is not held elsewhere in the Libraries, or if held,
meets the criteria for an additional location or copy.  Assuming that
the order request meets the conditions specified on the Order Request
Form, a bibliographic record is identified and transferred into CLIO
if not present at the time of ordering.  These bibliographic records
are taken from the LC Resource File, OCLC, or the BIP files.  A new
copy holdings statement is activated for the copy requested.  An
Order/Pay/Receipt (OPR) record is created for the item requested.  The
creation of the OPR encumbers the fund noted by the selector, and
unless overridden, generates a purchase order which is sent to the
vendor.

   The processing of replacement orders follows the same pattern.
CLIO will be searched an a new copy statement activated for the copy
requested.  If a variant edition is requested, a new bibliographic
record will be entered into CLIO.  An OPR will be created for the
replacement.  Unless specified, there are no special flags or markers
in the OPRs for these orders.

   For priority 1 material, it is assumed that the selector wants the
item requested without reference to the number of copies already in
the Columbia University Libraries.  For priority one domestic imprint
material, MAS places telephone calls to the publishers in an attempt
to acquire the material as rapidly as possible.  Priority 1 foreign
imprint material orders are created in CLIO and mailed to a vendor in
the country of origin.  In general, priority one orders are processed
on a 48 hour turnaround.

   In SAS, CLIO is searched as the first step in the ordering process.
Assuming that the order request fulfills all of the criteria set out
on the order form, the order is processed with the start date noted on
the form.  An OPR is created and a purchase order is sent to the
vendor.  It should be noted that the start date for a new serial order
should be the current year or the coming calendar year.  Orders
submitted which request volumes and issues from one or more years ago
should be submitted into two parts.  The order for the current
material is sent to a serials agent, the order for the earlier
material is sent to a back order agent.  Depending upon the popularity
of the title and the print run, the back issues may not be available.

Revised Order Request Form

   The revised Order Request Form is separated into three sections.
Section I covers the location and type of order.  Section II addresses
questions about the conditions under which the item should ordered,
the fund to be used, and any processing notes.  Section III provides
prompts to ensure that complete bibliographic information accompanies
the order.

Section I:

Date -- Enter the date on which you are submitting the order.

Ord Pri. -- Enter Priority 1, 2 or 3.  If no information is provided,
the order will default to a p3.  Priority 1 orders will be processed
within 48 hours, priority 2 within 2-3 weeks, priority 3 within 4-6
weeks.

Loc,SubLoc -- Using the standard abbreviations, enter the CLIO
notations for the designated library location.

Standing Order -- If you wish to begin a standing order, enter the
volume number,issue number and date for the beginning volume.

Back Issue -- To request a back issue or replacement issue of a
serial,	provide the volume, issue and date of the issue requested.  If
additional space is required, use the Notes area at the	bottom of
Section II.

Section II:

Vendor Code -- TSAD will assign the vendor code.  If you wish to make
a suggestion, please enter that information in the Notes area.

Selector -- Enter your initials here.  Please use the initials which
you have agreed to use for ordering.  (This is to prevent confusion
over the requestor.)

Cat. Pri -- Assign a cataloging priority of 1, 2, or 3.  (If this item
is not to be cataloged for the collection, please indicate UNCAT
here.)

Notes to Vend -- Information to be included in this area includes a
specific volume or edition to be acquired, the vendor's catalog or
item number, instructions about the binding, e.g. hard cover only.

Local Notes -- Local notes will be entered in the NO field of the OPR.
Notes entered here should result in a streamer in the item, telling
those further in the processing flow to look in the OPR for additional
information.

If NEW to this LOCATION, accept -- If a copy of the title requested is
not held in the location noted in the LOC field in Section I, a copy
will be	ordered for this location.  If a copy is held, the request
will be returned to the selector.

REGARDLESS who has a copy, accept -- A copy of the title requested
will be	ordered.  This will occur despite the number of copies held in
any location.

SHOW to selector upon receipt -- If the selector wishes to physically
review the item requested before it is sent through the processing
stream, this box should be checked.  Upon receipt in CLIO, the item
will be placed on the selector's shelf in 232 Butler.  Routing
information is entered in CLIO to show that this item is on the
selector's shelf.  This should not be used routinely.  

RESERVE -- If the item requested is to be reserved for a course, the
professor's name, course number, and semester should be	entered here.
This will appear in the NO: field of the OPR.

REPLACE -- If the department library should be notified that this item
is a replacement for another title, the call number of the item being
replaced should be entered here.

XC -- Selectors may choose to assign expenditure classes (XC's) to
monographic material.  These XC's must be four numeric characters.The
first number is always a zero.  If the selector chooses not to assign
XC's, default XC's are assigned by TSAD based on the method used to
acquire the item.    

Fund -- Every order submitted must include a fund code which is valid
in CLIO.  CLIO can encumber only one fund per order.

Cost -- If known, the price of a single copy should be entered here.
All prices are assumed to be in US Dollars unless otherwise specified.
If a price is not listed, TSAD will assign a default of $35.00 to all
monographic orders.

Copies -- Enter the number of copies requested.  If this field is left
blank,one copy will be ordered.

Notes -- Notes is a free text area.  Additional information concerning
the item requested should be entered here.  This includes special
discounts or availability information which TSAD may not possess.

Section III

   Section III provides space and prompts for the selector to enter
bibliographic data about the item being requested.  A printout from a
database which includes the pertinent bibliographic information may be
attached instead.  If a printout is not attached, the bibliographic
information requested should be legible.