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Lost in Claims – Using the Serials Claiming Module on INNOPAC

Linda Kimsey, Marietta College
Ann Farrell, Mayo Clinic

Linda Kimsey and Ann Farrell presented an overview of the serials claiming function with a specific look at setting up the checkin module to claim serials, using the create list function for claim lists, and electronic claiming.

Fun fact: Marietta is the home of Kardex. Kimsey’s first serials position involved checking in on a Kardex, and she finds the notes feature on INNOPAC quite parallel to the notes on a Kardex. Once irregularities are identified, from history of receipts, or using information from publishers, a note in the checkin card or record helps eliminate false claims. When converting from manual to electronic claiming, transaction dates are of critical importance. INNOPAC uses transaction dates based on your parameters and history of receipt. It is also possible to identify “normalized irregulars,” and other unusual claim and receipt patterns. If a title is not published in July, or is always late in December, viewing the history of receipts or notes in the checkin record will alert staff to the fact a claim may not yet be due. Kimsey does not adjust the transaction dates for these irregular receipts, as viewing the notes and history would generally be sufficient. INNOPAC has parameter settings for each card that allow you to individualize the claim intervals, with set defaults available as a starting point. The system identifies an issue as late according to the “days before claim” which you set in the card parameters.

Vendors and publishers will often have time limits for claiming; these should be stated in the checkin record as a note. Publishers may inform you that there is a delay, in which case the transaction dates can be adjusted. When you are past the time limit for claims, or know that the issue is not yet published, you would obviously not want to claim. Other categories of subscriptions are not claim candidates - for example title is not bound (retaining current issues only), government documents, or gifts. Viewing the claim file will often uncover checkin record maintenance that is needed, a common maintenance needed is adjusting transaction dates -- in an upcoming INNOPAC release, this maintenance can be done while in claim mode.

Kimsey next covered the conversion from printing hardcopy slips to using the electronic claims interface. Before electronic claims can be processed, the vendor record needs to contain EDI information, and the checkin record needs to contain the vendor title numbers. At Marietta, they ran into a problem when using the new checkin/archive old command to create new records. The vendor title did not copy to the new record, and claims on the new card would not transmit. Innovative can assist your library if system-related problems occur. To reduce false claims, a printed claims list is used to review claims prior to sending. This list can also be sent to your vendor instead of the electronic file, in the event that your connection has a temporary breakdown. Claims need to be reviewed quickly, to keep to a minimum the number of claims that need to be removed from the EDI file. Kimsey covered her strategy for printing a claims list. She searches on the card, retaining all the box information, for claims >=1, and transaction date=[date of claim]. When printing the list, she displays box information if present.

Ann Farrell of the Mayo Clinic in Jacksonville, Florida, provided a case study of claiming in a consortial environment. The Mayo Medical Center Libraries has a shared system with 12 libraries. Each library creates its own checkin record and is responsible for checkin and claiming. Currently they print and mail all claims -- the electronic claims module is in the process of being implemented. Claiming at the Mayo Medical Center Libraries is done during checkin, if a gap in receipts is observed, in addition to using the complementary technique of using a review file.

Farrell explained the procedure for reviewing a claim file. It is important to keep this file up to date, adding records for new subscriptions or title changes. When reviewing the list, you can specify whether you want all issues claimed or verify each issue, choose the order record to use, and add a note (if desired). The system will hold each claim in a print queue until printed or removed. Farrell also uses a printed claim list for reviewing, although her search strategy is different from Kimsey’s. She searches on the card, retaining each box separately, with a location=xxxx, box status=E, claims>0, and transaction date >xx-xx-xx. Because claims are done during checkin, no single transaction date will capture all the claims. The claims list is printed with title, order#, publisher’s id#, and box information. This list can be sent to an e-mail address, copied into word processing for text formatting, and then e-mailed to the vendor.

Claims are a necessary activity in serials management, and the INNOPAC system helps serials staff compile and review subscription and receipt data. With knowledge of the system and a few guidelines, individual libraries and members of consortia can claim consistently and expedite a response from the vendor or publisher.

Recorded by: Elna Saxton, University of Cincinnati

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