1.


Circulation control

Importance
Compliance


Circulation policies



R1


Circulation policies must be library-defined




Circulation policies must be determined by a combination of:


R2


borrower category


R3


item category


R4


location




Circulation policies determined in this way must include:


R5


loan periods (expressed in days, weeks, months, extended/fixed date)


R6


reference only


R7


loan entitlements (per item category and overall)


R8


renewal periods (according to method, e.g. phone, self-service etc)


R9


renewal limits by method


R10


reservations - charges


R11


reservations – allow/disallow


R12


reservations - maximum number (by item category and overall)


R13


reservations - loan period reduction if more than one


R14


reservations - length of time held on reservations shelf


R15


reservations - expiry period for unsatisfied reservations


R16


fine rates (normal and special rates, e.g. overdue reserved item)


R17


maximum fines


R18


charges – subscription/membership


R19


charges – hire charges


R20


notice production – type (e.g. overdue and frequency)


R21


notice production - format (e.g. print or e-mail)


R22


It must be possible to apply library-defined grace periods


R23


The system must maintain a calendar of closed dates for each location. All circulation transactions including due dates, fines, recalls and reservations awaiting collection must take account of closed days


R24


Authorised library staff must be able to update parameters with immediate effect





General circulation functions



R25


The system must provide automatic blocks/alerts on borrowers, including:


R26


expired ticket


R27


outstanding fines/fees (library-definable threshold)


R28


overdue/recalled items (library-defined threshold)


R29


over entitlement


R30


Automatic blocks/alerts must be automatically removed


R31


The system must allow authorised staff to input manual blocks with an explanatory message


R32


Authorised staff must be able to override any borrower or item block.


R33


The system must show the status of items (e.g. reserved, awaiting collection) at all times to both staff and end users


R34


The system must maintain a loan history for both items and borrowers, retrievable for a library-defined period


R35


The system must support the circulation of uncatalogued items and recording of brief information when issuing, using library-defined defaults for loan control and trapping such items on return to allow full details to be input


R36


The system must allow for loans of multiple sets, e.g. music, drama sets


V1
P
The system must allow end users to borrow, return and renew items at any service point


V2
P
The system must alert the operator to items which need to be returned to their ‘home’ location and manage the transit of such items, showing their current status at all times




Issue, return and renewal



R37


It must be possible to enter the unique item identifier (e.g. barcode, RFID tag) by machine (e.g. scanner, reader) or manual input


R38


Item identifier only must be required for return


R39


Borrower and item status must be automatically checked on all three functions; any blocks/ accompanying messages must be displayed with an audible warning


R40


It must be possible to override the calculated due date at the point of issue/renewal, subject to borrower and item checks


R41


Borrower expiry date must override due date; warning of imminent expiry date must be given on screen


R42


The system must allow a means of ending the current transaction (to prevent the issue of items to a previously accessed borrower)


V3
A
It must be possible to backdate the date of return to accommodate book drop returns


R43


The system must allow for flagging items as ‘claimed returned’, leaving the item linked to the borrower as a claimed returned item but suppressing notices and fines


R44


It must be possible to flag items as ‘lost’, leaving the item linked to the borrower as a lost item, but suppressing notices and fines


R45


The system must alert staff of ‘lost’ items on issue and return


R46


It must be possible to flag items as ‘damaged’ and alert staff and end users on issue and return


R47


It must be possible to flag items with multiple elements, e.g. triple CD packs, and alert staff/users on issue and return to ensure sets are complete




The system must:


R48


allow bulk renewal of all items on loan (subject to borrower and item checks), or selected items


R49


prevent renewal of overdue items (library defined threshold), reserved or recalled items, and items over the renewal limit




allow for renewal of unseen items via:


R50


telephone


R51


self-renewal via OPAC


R52


self-renewal via automated telephone answering service


R53


flag method of renewal


R54


provide direct access to the borrower record for personal details and details of loans, fines and reservations, from issue, return or renewal functions


R55


provide direct access to the full item record, including reservation information, from the borrower's loan record




Fines and charges





The system must:


R56


show details for each fine or charge, e.g. the loan which incurred the fine


R57


accumulate fines and charges for payment in a single transaction


R58


allow for payment to be accepted either in the Return function or by direct access to the fine payment screen from the Return function


R59


allow payment in full or part against any individual charge


R60


allow payment in full or part against all charges


R61


allow authorised staff to waive all or some fines/charges owing. The reason for the waiver must be recorded.


R62


It must be possible to defer payment (at the discretion of the library)


R63


It must be possible to record the payment method


V4
P
The system must enable group payment of fines, e.g. families


R64


It must be possible to print receipts of fines/charges paid on attached or networked printer


R65


The system must include cash management functions to enable balancing of income received on the system with that recorded on tills


R66


It must be possible to set a default replacement cost (where cost not specified on item record) for lost books


R67


It must be possible to set processing/administration fees


R68


Financial history should be retrievable for a library-defined period


R69


It must be possible to handle other charges, including:


R70


subscription/membership charges


R71


hire charges


R72


reservation charges


R73


library sales


R74


The system must allow refunds to be made and recorded




Reservations





The system must:


R75


allow title-level (first available copy) reservations by staff and end users


R76


allow item category and copy specific reservations by staff only


V5
P
allow grouping of locations to satisfy reservations


R77


allow/disallow reservations on items on order


R78


allow/disallow available items (i.e. on shelf) to be reserved if reservation placed in the library


R79


automatically notify staff at each site of reservations for items not on loan (remote reservations) for shelf check


R80


allow staff to record ‘not found’ status against remote reservation request


R81


allow for remote reservation requests to be routed between sites if on shelf copy at more than one site


R82


allow for a default collection point to be specified which can be changed if required by staff/end users


R83


allow reduction of loan periods when there are outstanding reservations on items


R84


allow generation of recall notices for reserved items (recall item due back soonest), and reduction of the loan period


R85


alert staff of a reservation on an item on return from loan and notify the requester that the item is awaiting collection


R86


alert staff/end users if a reservation is awaiting collection, whenever the user record is accessed


R87


allow for reservations to be cancelled automatically on expiration


R88


allow for reservations to be cancelled manually by staff (with provision for reason)


R89


Staff must be able to change the order of the reservation queue


R90


It must be possible to set an expiry date for uncollected reservations, with automatic notification to staff (to remove from reserve shelf)


R91


It must be possible to set an expiry date for unsatisfied reservations, with automatic notification to end users




Bookings



R92


The system must support booking of equipment, e.g. PCs, either directly on the system or via an interface with a bookings system using SIP2/NCIP standards




Borrower records



R93


It must be possible to import and update borrower information from the organisational database


R94


The system must be able to generate a PIN number automatically or to accept an externally derived PIN


R95


It must be possible to create/edit borrower records manually in addition to importing them


V6
P
It must be possible to duplicate data common to more than one borrower, e.g. family details


R96


Fields for the borrower record must be library-defined. Standard fields must include:


R97


name


R98


address (provision for at least two addresses)


R99


e-mail address (provision for at least two addresses)


V7
A
automatic use of address by date (term/vacation)


R100


telephone numbers


R101


borrower category


V8
P
date of birth (under 18s)


V9
P
home branch


V10
A
location/department


V11
A
course


R102


joining date


R103


date of expiry


R104


last use


R105


free text notes/messages


V12
P
The system must provide an automatic change to borrower category, once the borrower reaches 18


R106


Borrower records must be accessible by name and number


R107


Library staff must be able to delete borrowers' records, in bulk or individually, except where current transactions or blocks are outstanding


R108


It must be possible to delete records by the date of expiry


R109


When a library card is being replaced, the existing borrower's details must be carried across from the old card


R110


It must be possible to flag a borrower barcode/library card as ‘lost’, prohibiting transactions on that card and alerting staff when it is used


R111


The system must be able to generate unique user numbers and accept numbers from an externally derived source




Notices



R112


The system must allow automatic generation of notices, including:


R113


overdue letters


R114


fines


R115


replacement costs


R116


recalls


R117


notification of item awaiting collection




The system must allow notices to be generated in a range of formats, to include:


R118


print


R119


e-mail


R120


SMS messaging


R121


Text and format of notices must be library-defined



A

Short loans



V13
A
The system must allow for short loan periods to be set, including both hourly and overnight loans


V14
A
Hourly loans must cater for both rolling hourly periods (e.g. items due back four hours after issue) and fixed times


V15
A
It must be possible to maintain items in a short loan collection by allocating temporary short loan status linked to courses and reading lists


V16
A
It must be possible to set specific parameters for short loan items, to include:


V17
A
loan periods


V18
A
loan entitlements


V19
A
renewal periods


V20
A
renewal limits


V21
A
reservations


V22
A
fine rates


V23
A
notice production


V24
A
The system must support bookings of short loan items for a given date/time



P

Mobile library services




P
The system must offer equivalent circulation functions to mobile libraries, to include:


V25
P
issue, return and renewal of items


V26
P
borrower loans and messages


V27
P
fines and charges


V28
P
interception of reserved items


V29
P
borrower registration


V30
P
borrower search


V31
P
OPAC search


V32
P
It must be possible to list all stop points and group them into routes


V33
P
Loans must be associated with a stop point/route


V34
P
The system must support bulk renewals of all loans at a stop point (for use if stop point is postponed)


V35
P
Mobile library transactions must be synchronised with the main library system



P

Housebound services




P
The system must support services to the housebound to include:


V36
P
profiles and borrower history of housebound readers to enable selections to be made


V37
P
generation of pick lists


V38
P
issue and return of selected items to individual housebound readers according to specific parameters


V39
P
block issue and return of selected items to day centres, homes etc according to specific parameters



P

Project/group loans



V40
P
It must be possible to group multiple items for issue under a single ‘parent’ identifier


V41
P
It must be possible to return items from the project/group loan individually


V42
P
The system must automatically return the ‘parent’ item when the last on-loan item in the group has been returned


V43
P
It must be possible to unlink on-loan items from the project/group loan, so that the rest of the project/group loan can be re-issued



P

Stock rotation



V44
P
It must be possible to move collections of stock from branch to branch on a rotating basis


V45
P
The rota must incorporate dates for transfer of collections and produce an alert when collections are due to be moved


V46
P
Items on loan in a collection must be routed to the new location




Back-up circulation



R122


In the event of system or network failure, there must be a back-up circulation function capable of handling all issue and return transactions without disruption to services


R123


Recovery of transactions must be possible as soon as the system is back online


R124


All recovered transactions must be time‑stamped so that later transactions supersede earlier ones


R125


The system must report on current reservations on recovered return transactions