| Report to Collection Development Council on Serial Order Consolidation from Serial Consolidation Working Group I. Key Recommendations A. Acquisitions units having their invoices paid by the Sterling Acquisitions Fiscal Support Team will have direct subscriptions transferred at the time of renewal to the preferred vendor in the country of origin unless the selector provides reasons not to do so. B. Acquisitions units paying their own invoices are urged to similarly consolidate their subscriptions. C. CoDGeR is requested to develop guidelines for the selection of vendors for online journals. D. We recommend follow-up implementations as indicated in section V below. II. Background
Tobin Nellhaus, Chair of the Collection Development Council, appointed Jeffry Larson (chair), Marcia Romanansky, Susan Tucker, Andy Shimp, and Cynthia Crooker to a journal subscription consolidation group that was charged to consider practices and policies of consolidation of purchasing with serial vendors (see original charge in Appendix). The following document outlines benefits, recommended best practices, and preferred vendors. Serials include periodicals, newspapers, and monographic standing orders. A separate project is reviewing our newspaper subscriptions for possible cancellation (in view of the availability of web versions), and we accordingly omitted them from our consideration. The US/UK markets vendors specialize either in monographs or in periodicals (with different terms and conditions), and we wished to address this fact in our recommendations. According to a report from NOTIS of January 2002, the Library system, excluding Law, had 56,382 serial subscriptions or standing orders, of which 48,732 or 86.4% were paid (as opposed to gift or exchange). Of these, Sterling Acquisitions (excluding the school and department and curatorial units) handled 15,765 subscriptions (of which 15,493 were paid), or 27.7% of the total (31.8% of the paid subscriptions). We met with Kim Parker, Head of Electronic Collections, and Edita Baradi, Technical Services Coordinator at the Social Sciences Library, about serial orders in their fields; Jeffry Larson also interviewed Rolfe Gjellstad , Divinity Serials Librarian, Chris de Vallet of the Arts Library, and Carla Lukas of the Classics Library. We focused on subscriptions that have been placed directly with publishers, and developed a proposal to transfer such subscriptions to preferred vendors. Given the considerable benefits of serials consolidation as outlined below, our major recommendation is that existing direct subscriptions will be reviewed for consolidation during the renewal process. Candidates for transfer will be identified as their invoices arrive for payment (the encounter method). We further recommend that new subscriptions will be placed with preferred vendors whenever possible. An informal survey indicated
that many school and department libraries have already
undertaken efforts to consolidate subscriptions with
preferred vendors along the lines of our proposal.
Because of historical decisions
and the unique requirements of some libraries with autonomous
ordering units, consolidation choices occasionally
differ. At this time we do not recommend a library-wide
consolidation effort, either by title or by vendor, given
the considerable resources that would be required to
identify and coordinate existing subscription orders
among independent acquisition units. We recommend
that school and departmental libraries consider these
guidelines when choosing preferred vendors. III. Benefits of Consolidating Subscriptions and Standing Orders with Preferred VendorsA. Periodical Subscriptions1. Consolidating periodical orders (a.k.a, subscriptions) with a Periodical
Vendor – EBSCO, for example – provides a single source
for selection and annual invoicing and renewal. Renewals and payments for
subscriptions placed directly with publishers need to be done on a title-by-title
basis.
2. Electronic interfacing for Serials Claims and Serials Invoices is available from the major Periodical Vendors. Such services are not normally available for subscriptions placed directly with publishers. 3. Consolidation significantly reduces the vendor maintenance associated with creating individual vendor codes for direct publisher subscriptions. 4. Consolidation providesleverage in negotiating discounts and other terms and conditions of purchase. 5. Periodical Vendors provide a high level of customer service and, through consolidation, several service issues can potentially be resolved with one contact with the Vendor. B. Monographic Standing Orders1. Consolidating standing orders with a Book Vendor – Blackwells, for example – provides for the consolidation of shipment and bibliographic notices in the books themselves, a service that is not available from Periodical Vendors who make “drop shipment” arrangements with publishers or from publishers when standing orders are placed directly. 2. When the standing order vendor also supplies the Library’s approval plan, both plans are automatically interfaced, and duplication between services is eliminated. 3. Improved termsare usually awarded when the Library consolidates its book purchasing in one area or market with one Book Vendor. 4. Book Vendors frequently provide discounts on standing orders, unlike Periodical Vendors who bill at list and add service changes. 5. Since the Book Vendor takes physical possession of the books, their internal bibliographic records are updated according to library standards, a function not usually performed by Periodical Vendors or publishers. 6. Book Vendors can frequently supply back
volumesof a standing order title, occasionally
from stock, a service that Periodical Vendors cannot
supply, as their orders are “drop shipped.” IV. Assumptions & General Guidelines Definitions
1. Serials are defined as a continuing publication, and this category includes periodicals and book-type continuation titles (e.g., monographic series, annuals, yearbooks, regularly-scheduled proceedings, subsequent editions of reference works, etc.) Note these latter publications are also referred to as “serials.” (Note: this treatment excludes newspapers, which are undergoing a separate review.) 2. Preferred Vendor status is given to a major vendor for either Periodicals or Book-type Continuations (or for both, as in the case of many Western European vendors). This status is based on factors such as Voyager EDI compatibility, financial stability of the company or parent company, standing with academic libraries, quality and speed of services, reliability, and purchasing history with the Yale University Library. To ensure quality service, it is important to match the order with the vendor’s strengths. For example, place an order for a mass market series with a trade vendor (Baker & Taylor’s Continuation Service) rather than with Blackwell-US. BBS normally does not supply mass market titles, whereas such materials are routinely stocked and supplied by Baker & Taylor. Some vendors have built a niche by subject or by type of publication, and these vendors should be used when the usual “preferred vendor” is unlikely – despite their protestations – to provide good service. Bernan is an example of a niche vendor specializing in the supply of government documents and documents from international agencies. Note: See table of preferred vendors in Appendix below. 3. A Periodical Vendor (a.k.a., jobber) is defined as a company specializing in the supply of periodical and other serial-type material. The vendor does not take physical possession of the materials, and the materials themselves are “drop-shipped” from the publisher. This vendor invoices in advance for subscriptions and maintains an up-to-date title file. In most cases, periodical vendors levy service charges and do not discount. These charges are connected to the claiming function that the periodical vendor is committed to perform. (Note: “drop shipment” occurs when the vendor/jobber supplies the names of the vendor’s customers to the publisher so that the publisher may send the materials directly to these customers.) 4. A Standing Order Vendoris a usually a book vendor offering standing order services on the basis of “supply until forbid.” This vendor takes physical possession of the materials, updates bibliographic records, consolidates shipments, and invoices upon supply. The vendor is expected to monitor the publication of new items in standing order titles and to interface the standing orders with the library’s approval plan to avoid duplication. Some vendors offer discounts on standing order materials. 5. A Sole Source is a publisher or producer, etc., who elects not to participate in the normal distribution channels and requires that orders – subscription or standing orders – be placed directly with them. Some “sole sources” handling book-type standing orders will invoice the library on an “open account” basis, whereas others require pre-pay or credit card payments. Note: A few of the sole source individuals who operate on the fringes of publishing will require cash or a personal check, as they do not have a Federal Tax ID or refuse to provide SSN. It is the University’s general policy not to deal with such individuals. However, when the material is essential to collection development efforts and the information contained cannot be easily duplicated, non-traditional payment methods may be explored. Price is definitely another criteria for maintaining a trading relationship with such suppliers – the lower the price, the less risk associated with the purchase. Acquisitions units should contact the Library Business Office for guidance and available options. 6. Country of Origin refers to the place of publication of the material being ordered. The trend towards “internationalization” of publishing continues and frequently blurs the lines of country of origin. In addition, many Western Europe vendors are positioning themselves as handling all periodicals regardless of the country of origin. Some of these same vendors are simultaneously both periodical and book vendors. 7. A participating library or unit is any library or unit in the YUL system that elects to adopt the preferred vendor concept and agrees to consolidate its periodical orders accordingly. While involvement is strictly voluntary, this category will include acquisition units (other than area curatorial collections) whose invoices are paid by the SML Fiscal Support Team (see Appendix C). Several libraries have already consolidated their periodicals orders, most notably the Engineering and Medical libraries. Consolidation activities at the Divinity Library are in progress. 8. A voluntary complieris any library or unit in the YUL system that wishes to continue to place some orders directly with publishers and/or with multiple vendors rather than seek systematic consolidation. Some vendors may overlap in terms of country of origin. Curatorial collections typically fall into this category (see Appendix C), although these units tend to consolidate their purchasing with reliable vendors in the various geographical areas represented in their collections. Policies 1. Subscriptions for Periodicals and Standing Orders for book-type continuations will be placed with the category-appropriate vendor. a. Subscriptions for periodicals should be placed with periodical vendors according to country of origin. b. Standing Orders for book-type continuations should be placed with the preferred book vendor by county of origin. Unless there are other considerations, do not use a Periodical Vendor for Standing Orders as these vendors levy a service charge and do not discount. Note: In cases where the library has an approval plan and is profiled to receive titles in ongoing monographic series, book-type serials, and sets, it is essential that standing orders placed with vendors other than the approval vendor are excluded from approval coverage by the approval vendor. 2. Each participating library will have an account with its preferred vendor according to country of origin of the serial title being ordered. An important note : Participation in consolidation activities is – while highly recommended – entirely voluntary for libraries that are “self-payers.” Procedures1. Selectors will be consulted when they recommend that an order for a new periodical or standing order title be placed directly with the publisher or with a vendor not listed among the preferred. There may be special reasons why the Selector has chosen not to consolidate the order, including special or package terms. a. Before contacting the Selector, check the preferred vendor table to ensure that there is a supplier who can consolidate the order. When all the information is available regarding the order, work with the Selector to ensure an efficient and effective placement of the order. b. When contacting the Selector, specify a turn-around period for the confirmation of the vendor selection – that is, the order may be consolidated with a preferred vendor, or placed with the Selector’s choice of supplier for specific reasons. c. When contacting Selectors involved in placing subscriptions and standing orders, use “high priority” and the subject line “Renewal – Direct Subscription/Standing Order.” Note: indicate exceptions to the “Preferred Vendor” policy in the header notes field. 2. The Encounter Method will
be used to review the “consolidation potential” for
existing direct Subscriptions and Standing Orders.
This method relies essentially on a “title-by-title
review” as the subscription renewal or the latest
invoice for a standing order is encountered in the payment
process. When the invoice / renewal form for a Subscription
which is being ordered directly from the publisher is
received, the Selector will
be contacted as outlined in the previous section. V. Implementation of Subscriptions and Standing Order Consolidation 1. Implement a Subscription and Standing Order Consolidation Initiative using the Encounter Method, effective July FY05. 2. Evaluate this Initiative in December 2004 and in June 2005 to determine feasibility of method and results. 3. Keep the following statistics for the Initiative: a. Number of existing Subscriptions that are consolidated and dollar value b. Number of new Subscriptions that are consolidated and dollar value c. Number of existing Standing Orders that are consolidated and dollar value d. Number of new Standing Orders that are consolidated and dollar value Note for Subscriptions: Since direct subscription renewals are presented for payment on the publishers’ invoices or renewal cards, it is fairly easy to obtain and record such data as periodical title and price. Note for Standing Orders: Standing Orders supplied by a periodical vendor such as EBSCO are billed by EBSCO on a separate invoice as they are billed after they have been drop shipped by the publisher. These invoices are easily obtained and the titles and prices recorded. Note for Statistics Gathering: FST will provide this information as part of their process of notifying OST of a subscription or standing order to be consolidated. 4. Evaluate the feasibility of transferring book-type continuation Standing Orders both from EBSCO and from publishers to a preferred book vendor – either Blackwells or Baker & Taylor depending upon type of publications – academic with Blackwells and trade with Baker & Taylor. a. Determine the number of titles and estimated dollar value of book-type continuation Standing Orders currently purchased from EBSCO. Use the EBSCO renewal list and drop ship invoices to identify titles and dollar amounts. b. Contact this vendor for improved terms to retain orders; evaluate offer. c. Contact suggested preferred book vendors for terms to transfer book-type continuation Standing Orders from EBSCO to them. d. Consider other terms, including cancellation assistance for book-type continuation Standing Orders, that vendors may offer to win the business. This service involves having the new vendor prepare cancellation notices to publishers and/or other vendors for the Standing Orders that are being transferred. 5. Establish separate accounts as needed with EBSCO and preferred vendors for all participating libraries to facilitate consolidation. 6. Implement a Communication Plan to share Benefits and Recommendations with CDC, RSC, and ASG, Curators, and School and Department Libraries; consider an announcement at LMC. 7. Pursue all opportunities for improved discounts and other purchasing terms and conditions with both vendor types – Periodical and Book – especially in conjunction with libraries within the Yale system who employ the same vendors. Develop a strategy to use YUL’s leverage to best advantage. Appendix A: Original Charge1) Identify journal subscriptions that are currently
maintained directly or through a small vendor but now
can be handled through a major subscription agent. Appendix B: Preferred VendorsThe following table identifies vendor by Vendor Type – Books, Periodicals, or combined Book and Periodical – and other key characteristics. The vendors included are supplies of materials in the English and Western European languages.
[X] = Offers service in this category, but YUL does not use it or intends to shift existing orders from such vendors to more appropriate sources.
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