A.  Procurement actions taken by the Libraries’ staff:

1.  Direct procurement of books and serial or electronic resources upon request of a University faculty member or student or as an item identified by a Library subject librarian. Library subject librarians approve requests by University faculty or students and send the request to Acquisitions and Metadata Services for ordering.   Libraries’ Acquisitions and Metadata Services staff create order records in the automated acquisitions system (INNOVATIVE). Orders are sent to the vendor either electronically, via email, or using a printed Library Purchase Order.

2.  Publishers and vendors often provide electronic lists of titles available for purchase, which Libraries staff review. Staff also review printed catalogs and other printed announcements from publishers.

3.  Acceptance of “on approval” or “purchase plan” books received via special arrangement from YPB Book Services and other selected vendors.

4.  Creation of requests for orders for books or serials by Subject Librarians by tagging an electronic record in a vendor database and referring the record electronically to Acquisitions and Metadata. YBP Books is an example of a vendor that has large online databases of published monographs.  Acquisitions and Metadata staff identify order requests tagged by a selector in the vendor database and either enter them manually into INNOVATIVE or send them electronically to INNOVATIVE where the order is in “hold” status until the purchase order is authorized by Acquisitions and Metadata staff.

5.  The introduction of electronic books into the market has initiated a new type of acquisitions for library collections called variously “patron-driven acquisitions or selection” or “demand-driven acquisitions or selection.” E-Book vendors such as EBL or Ebrary offer records from multiple publishers that Libraries staff load into its online public catalog for the user to discover.   When the user finds an electronic book (e-book) to use, the user (who is authenticated by the Libraries’ system) opens the record and can access the e-book via a short-term loan.  The short-term loan incurs a charge that is generally a fixed percentage of the cost of the e-book.  After a predetermined number of loans are incurred, the vendor notifies the Libraries that the e-book is purchased for a fixed price, and is then reusable at no additional cost thereafter.   Libraries staff then create an order in INNOVATIVE for the purchased e-book as the Libraries has permanent access to these e-books.  Items borrowed as short-term loans are not considered purchased, yet Acquisitions and Metadata staff still must track and process invoices for these loans using the INNOVATIVE system.

In a few cases, the Libraries subscribe to the ongoing output from a specific publisher of electronic books and have a contract for an annual subscription.  The publisher provides the Library with catalog records for the titles as the books become available, at which time the Libraries loads the title its online catalog as received and available.

B.  Procedures for each of the aforementioned types of procurement are outlined below.

The online order record in the INNOVATIVE system serves as the master copy of the purchase order for procurements for materials for the collection.  The INNOVATIVE system automatically assigns purchase order numbers as an order is created, and the system can generate a list of purchase order numbers for control. It also automatically encumbers, disencumbers, and expends funds. 

1.  Direct order of monographs:

a.  Selecting what to purchase. A student, University faculty member or librarian may request that a specific book or publication be obtained and placed in the Library by making a recommendation to a College Liaison or Collections staff member. They can make a recommendation using a variety of methods, e.g., an e-mail, a form selection from a vendor, marking a publisher catalog or Choice card, etc.  Students or University faculty members send their requests to Library subject librarians who decide whether to select the title for the Collections.   Subject Librarians forward recommended orders to Library Acquisitions and Metadata staff who research the online catalog and other applicable resources to eliminate duplicate orders before approving the request for purchase.

b.  Purchase of requested volumes. Each separate title, for which a recommendation and approval have been established as outlined above, and for which sufficient funds are available, is procured by use of a Library Purchase Order.  A separate purchase order is used for each individual title, except in the case of sets and multiple copies.   Using controlled passwords, Acquisitions and Metadata staff enter order information in the Libraries’ automated Acquisitions and Metadata system (INNOVATIVE).  The INNOVATIVE system automatically generates a unique purchase order number for each order placed.

c.  Distribution of Orders to suppliers:

i.  For major vendors, staff send orders electronically to the vendor and or will authorize the order in the vendor’s online databases. All information is tracked on the online ORDER record in INNOVATIVE.

ii.  For other suppliers, staff can print order forms using the INNOVATIVE system and send the form to the supplier or use an e mail to place the order.

All information is tracked in the online ORDER record in INNOVATIVE.

d.  Selecting from vendor’s printed or online forms:

i. Print forms: Some vendors may forward a form or list which serves as notification of a new book.    Print forms are becoming increasingly rare as vendors move to electronic versions.

ii.  Electronic selection from vendor electronic databases: Library subject librarians access vendor publishing databases, such as YBP Book Service’s GOBI and find records for titles they wish to order.  Library Collection Liaison Librarians tag the records; Acquisitions and Metadata Staff, using special passwords, retrieve the tagged record, and download it to the INNOVATIVE system.   After verifying the availability of funds and eliminating duplicates, Acquisitions and Metadata staff send the electronic order to the vendor.

e.  “On Approval” or “Purchase Plan” Books.

i.  General. Some vendors (YBP Services and others) send the Libraries “pre-selected approval books or purchase plan books” on a regular, usually weekly, basis.   Profiles for these scholarly titles are established by subject librarians using a variety of criteria that have developed and matured over time.  The vendors send titles meeting these criteria.  Subject librarians periodically review and refine the profiles as needed.   As the number of patron-driven materials received increases, the number of print books received on approval/purchase plans is decreasing significantly.

ii.  Procedures. With each shipment, the vendor supplies electronic files of bibliographic and invoice data.  Acquisitions and Metadata staff download these files into INNOVATIVE and use them to create an ORDER record for each title and to record receipt and invoice information for each volume.  The vendor also supplies a paper invoice with each shipment, which Acquisitions and Metadata staff route to the Libraries Accounting Office.

f.  Patron-Driven or Demand Driven “on Approval”’ or “Purchase Plan” books.  As noted previously, patron driven selection and acquisitions is replacing traditional ways of selecting books and becoming integrated with purchase plan models.   Instead of sending a catalog of available print books against the profiles that the Library staff establish, YPB, working with EBL and Ebrary, send records for the Libraries to load into its online catalog for both e-books and for print books that would have been received as part of a subject profile. Users can chose either the print or electronic version of the book by following the links to the book type in the online catalog.   If a print version is requested, Acquisitions and Metadata staff retrieve the request and order the book via YPB. Alternatively, if an e-book is selected, the electronic version is accessed by the patron automatically and directly from the catalog.

g.  Documentation of Receipt for above procurements.  The vendor’s invoice is checked against the shipment and the INNOVATIVE on-line record of the purchase order, annotated as appropriate, stamped, dated and signed by an authorized Acquisitions and Metadata staff member and the original copy is sent to University Libraries’ Accounting Office.  Acquisitions and Metadata staff also record the invoice date and number, the payment amount, and the receipt of the item in the online purchase order record.  The INNOVATIVE system maintains the payment data in files awaiting approval by Library Accounting staff.

2.  Serials/Periodicals Procurement

a.  Initial Order.  Librarians review requests for serials identified by campus faculty or library staff and determine which serials should be purchased.  As approved by the Collections Coordinator based on available funds, College Liaison Librarians send order requests to Acquisitions and Metadata/Serials staff to place the order.  Because access to serials is purchased annually, serials generally represent an ongoing commitment of funds.  Many of these resources are expensive, so the Collections Coordinator and Subject Librarians often meet as a group to review and make decisions regarding purchase of access to new serial products.  The initial order may be established for a year or other specific time period but is usually established as “to continue until cancelled.”  A purchase order is established in INNOVATIVE; this same purchase order (and purchase order number) is used for subsequent renewals until the order is cancelled.  Requests for serial titles costing over a certain amount are reviewed by a committee of librarians each year, since funding is limited.

b.  Renewal Review.  Subject Librarians periodically review serials/periodicals being received and indicate those to be cancelled.   When a decision is made to cancel a serial/periodical, Acquisitions and Metadata/Serials staff notify the supplier to cancel the order at the end of the subscription period and the status of the order is coded as cancelled in the INNOVATIVE record.

c.  Ordering Through Subscription Agents. University Libraries places many subscription orders through subscription agents/vendors rather than directly with the publisher to save costs of issuing checks, claiming, and other staff-intensive tasks that would otherwise be required.  Procedures agents follow include:

i.  Renewal Checklist: Agents produce a renewal checklist that is based on the previous year’s orders and prices.  This checklist is sent to University Libraries in the summer to review and make corrections, and is then used as a basis for renewal of subscriptions for the next calendar year.

ii.  Master Service Agreements: University Libraries has Master Service Agreements with major Serial Agents that are renewed annually.  As part of the agreement, the Agent provides evidence of financial solvency to the University.  Also, as part of the agreement, the Serial Agent guarantees that the publisher has been paid prior to sending University Libraries an invoice.  Agents normally begin making renewal payments before the next subscription year begins to publishers in order to assure timely renewal and receipt of issues by University Libraries.

iii.  Payment to Publishers: To verify that the Serial Agent has paid the publisher, University Libraries contacts publishers that represent the largest amount of expenditures with that Agent, using a sampling method approved by the University.   University Libraries may also use the webpage of the publisher that lists payments if available or, in some cases; e-mail notification by the publisher of payment is accepted as proof of payment from the serial vendor.

iv.  Tracking Invoice Payments: University Libraries receives detailed invoices regarding the subscription period and payment amounts from the Subscription Agent after the publisher has been paid.   These detailed invoices are recorded by Acquisitions and Metadata staff in the INNOVATIVE Acquisitions and Metadata system against the purchase order record.

d.  Direct Orders. For orders that are placed directly with publishers or producers of   information, orders are sent to the supplier and invoices are received and processed for payment by Acquisitions and Metadata and Accounting staff, respectively, similar to the process for monographs.

e.  Serials/Periodicals Receiving and Invoice Processing

i.  Receiving Procedures. Acquisitions and Metadata/Serials staff record the receipt of issues for ongoing print subscriptions in the check-in record in INNOVATIVE.

ii.  Serials Invoice Processing

a)  Electronic Invoices. Major serials vendors supply invoices for new and renewal orders in electronic and paper format.  The electronic invoice files are made available to the Libraries on the vendor’s website, where the Acquisitions and Metadata/Serials staff retrieve them and download them into the University Libraries’ online system (INNOVATIVE).  After verifying the accuracy of each charge, the electronic invoice is moved into the online pay file in INNOVATIVE, and paperwork is forwarded to the Libraries Accounting office for payment processing.  A copy of the paper invoice is maintained in the Acquisitions and Metadata/Serials office, and the official paper invoice is filed in the Libraries Accounting Office.

b)  Paper Invoices. Many publishers may provide paper invoices for new and renewal orders.  The accuracy of each charge is verified by Acquisitions and Metadata/Serials staff against existing purchase orders and the invoice is manually keyed directly into a pay file in the online INNOVATIVE system. The paper invoice is then forwarded to the Libraries Accounting Office for payment processing and filing. 

c)  Prepayment procedure. If prepayment is required by the supplier, the original copy of the initial or renewal invoice should be stamped with the “received” stamp, but “prepayment” and current date should be entered in the block “Date”  Acquisitions and Metadata staff enter fund and purchase order number information in the appropriate fields and secure the signature of an authorized individual of the Libraries Acquisitions and Metadata Services Department.

C.  Securing payment for materials ordered on Libraries’ Purchase orders.

1.  Vendors for Libraries Purchase Orders:  The Library Technician III in Monographs of Acquisitions and Metadata Department is designated as the staff member responsible for establishing new vendor records in Innovative and sending the information to the Kuali Financials (Kuali).  The vendor fields must match both Innovative and Kuali formats.  Prior to paying invoices, Acquisitions and Metadata staff ensure that the vendor record exists in Kuali.

2.  Invoices that have been approved by Acquisitions and Metadata staff in the INNOVATIVE automated acquisitions system are considered processed, and are stored in INNOVATIVE’s  pay files until the pay file is posted, and then permanently stored in the system’s order record.  Libraries Accounting staff post the pay files:  posting is the process where the system assigns voucher numbers and batches the invoices to prepare them for electronic transfer to Kuali.  After the files are batched in Kuali, Libraries Accounting staff review the batches in Kuali for accuracy before transmitting the batch to the check-writing module in Kuali (under the jurisdiction of University Accounts Payable) for payment.  Original vendor invoices are retained by Libraries staff for six years, plus the current year.  Copies are forwarded to University Accounts Payable upon request by vendor or when a University document is used for payment (i.e. University Purchase Order.)

3.  When prepayment is required by the vendor, a copy of the purchase order and invoice is forwarded to Accounts Payable to be sent with the check to the vendor.  Libraries Accounting staff note the check attachment information on the original paper invoice before filing it.

4.  The INNOVATIVE documentation consists of a Posting Register (summary of transactions for each fund), an Invoice Register (detailed list of each invoice including purchase order numbers), an Invoice Summary (list of voucher numbers, vendors, and invoice totals), and an Encumbrance Register (list of purchase orders encumbered since last posting).

D.  Authorized Signatures.

1.  Libraries Acquisitions and Metadata and Accounting staff are authorized by the University Business and Financial Services Office and the Dean of Libraries to perform the above procedures. The Acquisitions and Metadata Services Coordinator authorizes staff to allow access to specific segments of the INNOVATIVE system that involve ordering and serials check in.  Functions within the INNOVATIVE system are password protected.  The Accounting Director authorizes access to Kuali.  The Dean of Libraries signs all contracts/agreements on behalf of the Library as Board Designate/Department Head.  The Assistant Deans are designated Controller Designees and may sign in that capacity when appropriate (see also Section D. 7).

2.  When purchase orders are created in INNOVATIVE, University procedures require that a purchase order over $1,000 be reviewed and approved by a higher level supervisor than the staff member creating the purchase order. Normally, the Coordinator for Acquisitions and Metadata Services approves these purchase orders in Innovative by entering his/her inputter initial.