LSF EXCEPTION REPORTS

1
LSF EXCEPTION REPORTS

• An Introduction and Guide

2
The Purpose of Todays Presentation

• To answer the questions you may have about the
  following issues
• What are LSF exceptions?
• Why are exceptions generated?
• How are the Exception Reports generated?
• What is the significance of the exceptions?
• How does one make the required corrections?

3
Todays presentation should also. . .

• Foster Improved Communications
• Between the LSF and Staff on Campus involved in
  exception correction.
• Among staff in different units who must work
  collaboratively to make the required corrections.
• Increase the of reported
  exceptions that are corrected.

4
Lets start off with a few definitions.
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I. LSF Exceptions Defined

• LSF Exceptions are
• problems (arising from either the transfer of an
  item to the LSF or the refiling of an item
  already accessioned/shelved off-campus) that
  require corrections to records in Voyager.

6
Time out for a bit of necessary jargon . . .

• The new additions/transfers to the LSF are
  properly called accessions.
• The items that are re-shelved are called refiles.

7
and for a reminder about the relationship
between the LAS and Voyager

• All work at LSF is performed using a stand-alone
  inventory software program called the Library
  Archival System ( LAS).
• LSF staff at Hamden never work directly in
  Voyager
• LSF staff do not charge/discharge items, create
  item records, locate items through title/call
  number searches, edit or update online records,
  etc.

8
This arrangement presents certain challenges. . .

• Several necessary tasks that relate to the
  updating of records in Voyager following actions
  in the LAS must be accomplished behind the scenes
  utilizing automated programs designed by ILTS.

9
II. Why are exceptions generated?

• JUST ABOUT EVERY WORKDAY IN HAMDEN TWO ACTIVITIES
  TAKE PLACE
• -New Items are added to the LSF inventory
  (accessions).
• -Items that have been paged for use on campus
  are re-shelved (refiles).

10
Items shelved at LSF . . .

• Are identified . . .
• Are paged . . .
• Are retrieved . . .
• Are re-shelved . . .
• by their barcodes alone.

11
The LSF Inventory

• lqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqq ITEM
  qqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqqk
• x
  LAST x
• ITEM CUS ARR DATE ACC DATE
  STAT ACTION COLL RT MD TP BCF
• xqqqqqqqqqqqqqq qqq qqqqqqqqqq qqqqqqqqqq qqqq
  qqqqqqqqqq qqqq qq qq qq qqqqqqx
• 39002080701684 SC 01/15/2007 01/17/2007 IN
  01/17/2007 N A BH 0.00x
• 39002080701809 SC 08/28/2006 08/31/2006 IN
  08/31/2006 N A BH 0.00x
• 39002080701981 SC 08/21/2006 08/24/2006 IN
  08/24/2006 N A BH 0.00x
• 39002080702245 SC 08/21/2006 08/25/2006 IN
  08/25/2006 N A BH 0.00x
• 39002080702286 SC 08/21/2006 08/25/2006 IN
  08/25/2006 N A BH 0.00x
• 39002080702294 SC 08/21/2006 08/25/2006 IN
  08/25/2006 N A AH 0.00x
• 39002080702328 SC 08/21/2006 08/25/2006 IN
  08/25/2006 N A AH 0.00x
• 39002080702377 SC 08/21/2006 08/24/2006 IN
  08/24/2006 N A BH 0.00x
• 39002080702401 SC 08/21/2006 08/25/2006 IN
  08/25/2006 N A BH 0.00x
• 39002080702435 SC 07/17/2006 07/20/2006 IN
  07/20/2006 N A CH 0.00x
• 39002080704225 SC 09/04/2006 09/06/2006 IN
  09/06/2006 N A BH 0.00x
• 39002080704563 SC 08/28/2006 08/31/2006 IN
  08/31/2006 N A AL 0.00x

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Still, the LSF is not an island

• In order for patrons to identify items shelved at
  LSF and request them as needed, the LMS (Voyager)
  must be able to communicate with the LSFs
  inventory database (LAS).

13
This communication is carried on at several
levels. For example,

• There is an interface that collects call slip
  requests and imports them into the LAS.
• There are automated programs that update online
  records in Voyager following activities at LSF
  (specifically, the accessioning and refiling of
  material).

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II. How are Exceptions Generated?

• The processes that may lead to the creation of
  reported exceptions are those which interact with
  the automated programs that update records in
  Voyager.
• Heres how it works . . .

15
At the conclusion of each days activity at LSF .
. .

• Two files of barcodes from the LSFs database are
  sent, through an LAS function called End of Day
  Processing, to a server on campus
• A file of all the barcodes for items accessioned
  that day
• A file of all the barcodes for items refiled that
  day.

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EOD is necessary . . .

• . . . because, as a result of End of Day
  Processing, the appropriate changes are
  automatically made to records in Voyager for
  items transferred to LSF or re-shelved that day.

17
Exactly what changes are made to records in the
on-line catalog as a result of EOD?

• Since LSF accessioning and refiling routines
  affect the on-line catalog in different ways, it
  would probably be best to examine each process
  separately . . .

18
New Accessions

• When a volume is processed on campus for transfer
  to LSF, only its item type in Voyager is changed
  prior to physical transfer. For example
• Items for which a selector has determined
  unrestricted access is appropriate will have
  their item types changed to lsfc.
• Items for which a selector has determined
  restricted access is appropriate will have their
  item type changed to lsfr.

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Example 1 Item received at LSF with proper
bibliographic prep
20
Example 1b Item received at LSF with proper
bibliographic prep
21
So, to reiterate at the time of transfer. . .

• No change has been made to the permanent location
  (perm loc) in the item record
• No change has been made to the location in the
  holdings (MFHD) record.

22
In order for our patrons to locate and request
materials shelved at LSF . . .

• The locations in the item record and MFHD for
  items transferred/shelved at LSF must be updated.

23
Triggered by EOD processing, an automated program
runs each day which . . .

• Looks for the barcode in Voyager that matches the
  barcode in the LAS-generated file of barcodes. .
  .
• And then, if certain other criteria are met,
  updates the permanent location and the MFHD
  location appropriately.

24
What are the other criteria? In order for the
location code change to take place . . .

• 1. The barcode field in the item record in
  Voyager must have a barcode and that barcode must
  match the barcode in the LSF accessions file.
• 2. The item status must have been changed (to
  lsfc or lsfr) appropriately prior to transfer.
• 3. The appropriate mapping must exist between the
  chosen item type and the existing location.

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If all three of these conditions are met when the
automated Location Change Program is run . . .

• The permanent location in the item record is
  changed appropriately.
• The MFHD location is changed appropriately.

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Example 2a Item a successfully accessioned at
LSF following EOD
27
Example 2b Item successfully accessioned at LSF
following EOD
28
But, what happens if any one of these
requirements for success is not met?

• The program fails to update the record in any way
  and an exception is generated and reported.
• For example . . .

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If the item type is not changed to lsfc or lsfr .
. .
30
If the barcode is associated with more than one
item in Voyager . . .
31
If there is not a matching location in the
existing transfer mapping tables . . .
32
If the barcode is not scanned into the barcode
field . . .
33
. . . then the location for the item is not
changed, and an exception is noted and reported.

• Depending on the problem the exception message
  may read
• Item has invalid Item type jourcirc
• Barcode not in Prodorbdb
• Barcode has multiple items (2)
• No matching location for . . .

34
LSF Refiles

• Before items are returned to the LSF after being
  paged by a patron, SOP calls for their discharge
  by staff on-campus. This action results in an
  item status of in transit discharged (and the
  creation of a routing slip) for the returned item.

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Example 3a An Item properly discharged for
return to LSF
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A Reminder

• At LSF, Voyager is not used to discharge items
  upon receipt before refiling (re-shelving).
• But returns to LSF still need to be discharged so
  that the in transit status will be removed.
  How is this accomplished?

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As a result of EOD processing an automated
program looks at the item status and . . .

• If the item status is in transit discharged the
  status is changed to discharged
• If the item status is anything other than in
  transit discharged, the item and its status is
  noted and reported as an exception.

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Refile Exception (Item StatusOn Hold)
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III. Creation of the Exception Reports

• Exceptions are electronically noted, compiled,
  and then communicated via e-mails (one for
  accessions, the other for refiles) to the LSF
  manager.

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What do the E-Mails Look Like?
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Accessions Exceptions

• Date Mon, 11 Dec 2006 195619 -0500 (EST)From
  Voyager Owner ltvoyager_at_magyar.library.yale.edugtMe
  ssage-Id lt200612120056.kBC0uJul000351_at_magyar.libr
  ary.yale.edugtSubject LSF Accessions Job
  RanX-YaleITSMailFilter Version 1.2c
  (attachment(s) not renamed)X-Scanned-By
  MIMEDefang 2.52 on 130.132.50.48Status  
  Accessions job completed.  Run log Mon Dec
  11 195500 EST 2006Connecting
  prodorbdb.library.yale.edu1521VGERNumber of
  records in accessions file 858Execution
  complete835 barcodes matched.4 files
  created.23 items with errors (see error
  log).Accessions Error LogMon Dec 11 195500
  EST 2006Starting Id LSFAccession.java,v 1.3
  2004/04/06 203038 jbarnet Exp Barcode has
  multiple items 39002006493697 2Item
  39002006493713 has invalid typecircItem
  39002015866842 has invalid typecircItem
  39002077305127 has invalid typecircItem
  39002077305192 has invalid typecircItem
  39002083538588 has invalid typecirc

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Refile Exceptions

• Date Mon, 11 Dec 2006 192027 -0500 (EST)From
  Voyager Owner ltvoyager_at_magyar.library.yale.edugtMe
  ssage-Id lt200612120020.kBC0KRKR028841_at_magyar.libr
  ary.yale.edugtSubject LSF Refiles Job
  RanX-YaleITSMailFilter Version 1.2c
  (attachment(s) not renamed)X-Scanned-By
  MIMEDefang 2.52 on 130.132.50.8Status  
  Refiles job completed.  Run log Mon Dec 11
  192001 EST 2006Connecting prodorbdb.library.ya
  le.edu1521VGERINIT OK prodorbis.library.yale.e
  duNumber of records in refile file
  228Execution completeItems processed 228Items
  reset 221Refile Error LogMon Dec 11
  192001 EST 2006Starting LSFSetRefiled
  V1.8Incorrect location barcode 39002053276292
  Location smlNo in transit found for
  39002053276292 (Not Charged)No in transit found
  for 39002077459502 (Charged)

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What Happens Next?

• The LSF Manager isolates the barcodes contained
  in the e-mails and then runs a report drawing on
  information in the LSFs local database to
  identify the appropriate parties to make
  corrections.

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LAS Generated Item Status Report

• 01/03/2007 0700 YALE UNIVERSITY
  LIBRARY PG 1
• RPT 00240160
• ITEM STATUS
  REPORT
• INPUT FILE NAME Exceptions_010307.txt
• RECORDS READ 11
• Input
• Seq Item Cus Item
  Status
• ---------- -------------- ---
  ------------------------------
• 1 39002000421686 CC
• 2 39002000421686 CC
• 3 39002016372410 CC
• 4 39002025703639 CC
• 5 39002013314431 SC
• 6 39002073733819 SC
• 7 39002038080496 MS

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Using the Information contained in the LAS Item
Status Report and the data in the Exception
e-mails, the LSF manager then generates a daily
exception report and e-mails it to the
appropriate parties.

• EXCEPTION REPORTS
• 01/03/07 (For materials processed on 01/02/07)
• Refile Exceptions Owning Library
  Status
• Incorrect Location (sml) 39002000421686 CC
• No in transit found for 39002000421686 CC (Not
  Charged)
• No in transit found for 39002016372410 CC (Not
  Charged)
• No in transit found for 39002025703639 CC (Not
  Charged)
• No in transit found for 39002013314431 SC (Not
  Charged)
• No in transit found for 39002073733819 SC (Charge
  d)
• No in transit found for 39002038080496 MS (Charge
  d)
• No in transit found for 39002042281825 MS (In
  Transit On Hold)
• Accession Exceptions Transferring/Sending
• Library
• Item has invalid type circ 39002083312539 SC
• Item has invalid type circ 39002071188297 SC

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The Compiled Exception Report is then sent as an
attachment to the appropriate parties with the
following e-mail

• Everyone        Attached is a summary of the
  LSF Exception Reports for items processed on
  12/14/06  These reports detail problems (arising
  from either the transfer of an item to the LSF or
  the re-shelving of an item already
  accessioned/shelved off-campus) that require
  corrections to records in Voyager.        Please
  read the attachment and make the necessary
  corrections to items for which you are listed as
  the sending and/or owning library.  Directions
  for making the required corrections are to be
  found in the document "Correcting LSF Exception
  Reports" which is posted on the LSF website (at
  both http//www.library.yale.edu/lsf/retrieval.htm
  l and http//www.library.yale.edu/lsf/transfers.ht
  ml ).         NB. In cases where the physical
  piece will be required for the correction to be
  made ( "Barcode not in Prodorbdb"), the volume
  will be retrieved and delivered to the
  appropriate unit this afternoon by Eli
  Express.                                         
         Thanks very much.                         
                                 Mike

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III. What is the Significance of Exceptions?

• Exceptions are significant primarily because they
  impede or prevent patrons from identifying/request
  ing materials shelved at LSF.
• Uncorrected exceptions lead to
• patron dissatisfaction
• Added (and unnecessary) work for library staff.

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Exceptions may also be significant because they
indicate other correctible problems

• Example 1 Equipment deficiencies
• (scanner malfunctions, for example)
• Example 2 Training Issues

49
Left uncorrected, LSF exceptions would quickly
accumulate.

• Current rate for reported refile exceptions is 4
  of items re-shelved at LSF.
• Current rate of reported accessions exceptions is
  1.1
• Projected gross number of exceptions in FY 07
• 2,600 refile exceptions
• 2,900 accession exceptions

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IV. How does one make the required Corrections to
the Exception Reports?

• Once you grasp the fundamental reasons behind the
  generation and reportage of exceptions, their
  correction is to some extent a matter of common
  sense.
• If you have any questions, however, on how to
  proceed in making corrections, there are
  available resources to guide you.

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Resource 1 Online Documentation

• As the Exception Report e-mails note,
  documentation for correcting exceptions can be
  found online at the LSF website
• A. Error Message Barcode not in
  prodorbdb.library.yale.edu1521LIBR
  39002098762377
• Problem
• This problem is usually due to operator error
  when an item record is created by staff preparing
  items for transfer to LSF, the barcode is not
  entered into the barcode field in Orbis. The
  problem may also be the result of an equipment
  failure, i.e., a scanner that is operating
  improperly.
• Resolution
• LSF staff will retrieve the item and
  forward it to the sending unit where the barcode
  will be scanned into the Voyager item record
  field. Staff at the sendingunit must also check
  to make sure that the item type was correctly
  changed to lsfc/lsfr. Finally, staff making the
  corrections must manually update the permanent
  location in the item record as well as the MFHD
  location for each item appropriately.

52
Resource 2 Ask the LSF Manager

• If you have a question concerning exception
  report correction which you do not believe is
  adequately answered by the available online
  documentation, e-mail me (michael.dimassa_at_yale.edu
  )
• If I am unable to answer your question
  personally, I will get you an answer by
  consulting with my contacts in Cataloging, ILTS,
  and Access Services.

53
When making Corrections . . .

• Make Corrections in a timely manner.
• Make Corrections in a comprehensive manner.
• Make all your required corrections.

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Remember For Accessions Exceptions

• If the program fails and an exception is
  reported, nothing in the record is updated. When
  making the correction, you must also update the
  permanent location and the MFHD location.

55
The administration of Exception Report correction
is your call

• It is an in-house decision as to how the
  responsibility for correcting exceptions is
  handled.
• Some units have designated one staff member to
  correct both accession/refile exceptions.
• Some units have different staff members make the
  various corrections
• Still others have a coordinator who assigns the
  correction responsibility.

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However your unit chooses to effect Exception
Report corrections . . .

• With all of us working together, we can get the
  job done.

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QUESTIONS?