BROKERING LENDING WITH OCLC August 2, 2013

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1 TABLE OF CONTENTS Notice.. 2 Context.. 2 Lending operations with OCLC for institutions with multiple ILL departments With or without brokering.. 2 Brokering operations Role of the broker.. 3 Rota construction... 3 Diagram of lending operations without brokering. 4 Diagram of lending operations with brokering... 5 Brokering diagram with OCLC... 5 Broker Work Queue. 6 Brokering Work Queue 6 Advanced search.. 7 General configuration for brokering. 7 Cancel request from the borrower. 7 Request features Request hitlist display.. 8 Request details display. 8 Searching for a brokered request with the borrower s original request number Appendices Appendix 1: Brokering work queue details Appendix 2: New actions visible in request details

2 Notice: The examples and screen shots in this document were created using two Colombo libraries, given that OCLC does not have a test database to allow us to illustrate the various brokering operations in a more realistic manner. As soon as one of the Colombo libraries implements brokering in production, we will update this document with more appropriate examples. Context: Brokering is a VDX functionality which allows incoming lending requests to be redirected to the ILL department(s) which possess the document. Borrowing requests from Colombo libraries to OCLC never involve the brokering mechanism. Brokering is only used for lending requests coming from OCLC-WCRS. Brokering may be used by institutions which have multiple interlibrary loan departments. Lending operations with OCLC for institutions with multiple ILL departments: With or without brokering: Without brokering: Institutions which have multiple ILL departments may lend to OCLC libraries without using brokering. In effect, a university may choose not to implement brokering. Lending requests will thus be entirely managed through a single VDX lender, even if the documents are found at another Colombo library location at that university which is a VDX lender (model used at Université de Montréal). With brokering: Colombo libraries, like the vast majority of OCLC member libraries, only possess a single OCLC symbol even if there are multiple ILL departments within their institution. Brokering allows for OCLC lending requests to be forwarded to those ILL department(s) within the same institution which possess the document. Brokering operations: The notion of brokering implies that there is a broker. The broker is the intermediary between the borrower and the lender. Brokering in VDX is partially automated. To understand the concept of the broker we use the example of insurance. The broker receives a request for insurance from a client, and then forwards the request to several insurance companies. The broker thus manages the communication with several companies and, at the end, sends a contract (from a single company) which satisfies the initial insurance request; or informs the requester that they cannot obtain a contract meeting their requested terms. The client only does business with a single point of contact. This model is similar for brokered requests in VDX. From the perspective of the OCLC borrower, they only interact with a single contact: University A. In brokered requests, there are three participants. Their roles are different. The broker and the lender both belong to the same university. 2

3 Borrower. The OCLC library making the lending request to a Colombo university. Broker. The broker is a Colombo location which receives a lending request and automatically creates a borrowing request to VDX lenders. The term also refers to the ILL personnel who take actions for this location. Lender. A Colombo library which receives lending requests from the broker. Role of the broker: The broker may only take three (3) actions in the scenario which we propose: Add lenders to a request for which DocFind was not able to identify any lenders. Respond Answer Nonsupply for a request with no rota of lenders and which cannot be filled by any lending location at that university. Respond Conditional Reply-No to an Answer Conditional from the lender (even if the lender had been previously added to the rota). The Bureau for the university will be configured to be the broker. The Bureau is the location that has the code Q 00 (for example, QSH00 for Université de Sherbrooke, QMM00 for McGill University). This is the location that will receive the original lending request from OCLC. This OCLC lending request will never be seen by the lending libraries. It will automatically create a borrowing request from the broker. The broker work queue is thus a borrower work queue. If necessary, it is possible for the broker to consult the original lending request received in VDX. However, no action may be taken on this lending request. Each institution must designate the ILL personnel which will have access to the broker s borrowing requests. Rota construction: VDX uses DocFind in order to create lender rotas. DocFind queries the university s catalogue based on the ISBN or ISSN or a combination of title/author/publication. (Reminder: diacritic characters in the fields title/author coming from OCLC are incorrectly coded by OCLC). The SFX Web service is not used in the creation of rotas. DocFind Responder must be configured for Copy requests for all lenders. No automatic response will be taken by DocFind Responder other than adding the call number to the pick list. 3

4 Diagram of lending operations without brokering (ISO interactions) Normally, Colombo lending libraries at a university may be contacted directly by ISO borrowers. 4

5 Diagram of lending operations with brokering (ISO interactions) Brokering with OCLC: The broker s borrowing request uses DocFind in order to create a rota of lenders from among University A s lending libraries. The request is automatically sent to the first lender on the list (created based on the rules currently in place in Colombo (random order or last resort)), or else remains with a status of Idle, in the broker s work queue, with no rota. When a lender replies that they will send a document, the response is automatically transmitted to the broker who automatically transfers it to the borrower. All other messages between borrower and lender will be automatically transferred by the broker. When the last lender in the rota sends an Answer Nonsupply, VDX transmits this response automatically. The request is then completed both for the broker and for the lender and disappears from the work queue. If several lenders send the response Non Supply, only the reason given by the last lender will be transmitted to the borrower. 5

6 Broker Work Queue: In order to properly manage brokered requests, an additional work queue is available: Broker Work Queue. This work queue is also available through the option Combined Standard and Broker Work Queue Page. This work queue only displays the borrowing requests created by VDX. This work queue is only visible to ILL staff members who are designated as brokers. ILL lending staff would not normally have access. By default, the broker has the same permissions as a bureau administrator. They access the broker work queue which is linked to the location «Bureau xxx» (example: McGill Bureau) by selecting the option Managing requests for xxx Bureau from the dropdown menu at the bottom left of the screen. Only by selecting the option Managing requests for xx Bureau will the broker then see the location xxx Bureau appear in the right-hand box. Once xxx Bureau has been selected, the broker work queue may be displayed. Broker Work Queue 1 : 1 See Appendix 1 for definitions of the elements of the broker work queue 6

7 Advanced search: On the Advanced Search page, the broker will see new search options providing access to broker requests: General configuration for brokering Three possible scenarios exist for brokering. The Colombo team has only implemented one scenario, as the other two were deemed unworkable. VDX is configured to only transmit messages between the lender and the borrower when the document has been Shipped. The main elements 2 of brokered operations: Lender: The Conditional action does not work in this scenario: There is a bug which prevents the Conditional message from being sent to the borrower. If the broker sees a request in the work queue under Conditional (From Lender), they must respond: Conditional Reply-No, and possibly add that lender back again to the rota. If the last lender in the rota responds Answer nonsupply the request will then be automatically completed for both the lender and the broker. In the case of an Answer nonsupply, only the reason provided by the last lender will be transmitted to the borrower. In the case of a request where DocFind was unable to create a rota of lenders, the request will be found under the heading Idle in the work queue and the broker must then: Add a list of lenders and authorize the request, or Take the action Broker: Answer nonsupply. The broker may, for a request with a status of Pending, do a Local Change Request Details action in order to add lenders to the rota. Cancel request from the borrower: (Problematic) The request will be automatically cancelled for the borrower (automatic confirmation from the broker for the original request). The broker receives a request for cancellation. This automatically sends a request for cancellation to the lender. The lender MUST confirm the cancellation. The request is then complete for the lender. For the broker, however, the confirmation of the cancellation is received BUT THE REQUEST IS NOT COMPLETED AND IT WILL STILL DISPLAY IN THE BROKER WORK QUEUE. The request must be retrieved from the report Unread requests requiring action - as Requester or from the published saved search Borrowing Not in Work Queue and completed manually. 2 See Appendix 2: New actions visible in request details 7

8 Note that when the borrower sends a request for cancellation with a note, the broker receives the note but not the lender. Request features: Request hitlist display: The broker s borrowing request does not display the OCLC borrower request number in the hitlist display, nor the name of the OCLC borrower. Instead, the VDX request number is displayed. In the following illustration, the lender symbol appears: Broker display: Display of a request which does not have a rota: note that the borrower and the lender are both the Bureau: Request details display: In the request details, under Additional Service Details, the name of the borrower appears next to the label Originally Requested By As well, under Delivery Details, the original borrower appears: 8

9 Searching for a brokered request with the borrower s original request number: You can find requests using the OCLC borrower s request number. You must first find the lending request for the original borrower and use it to find the broker s borrowing request. Do the following standard Search: Then click on the Details button from the request hitlist display From the Log Messages section of the VDX request copy the number found under the heading Message Do the following standard Search: 9

10 At least two requests will be displayed: o The broker s borrowing request in which the complete History of the request may be found, in the event of there being several potential lenders in the same institution. o The active lending request for that institution. 10

11 If the request has been sent to more than one lender in the same institution, all the requests will be displayed: 11

12 Appendix 1: Brokering work queue details: Idle Pending Terminated Cancel Pending New Notes from Lender New Notes from Borrower Conditional (from Lender) Conditional (to Borrower) Shipped from Lender Received by Broker Shipped to Borrower Received by Borrower Borrower Renewal Requested Renew Pending with Lender Lender Renewed = Yes Lender Renewed = No Overdue to Lender Overdue by Borrower Recall by Lender Recall to Borrower Returned by Borrower Checked In by Broker Returned to Lender Checked In by Lender ILL requests which have not yet been sent out Requests which have been sent to a lender Requests which the borrower has cancelled Requests which the broker has cancelled generally after a cancel request has been received from the borrower The lender has sent a note to the broker The borrower has sent a note to the broker The lender has sent a Conditional reply to the broker The broker has sent a Conditional reply to the borrower The lender has sent a Shipped message to the broker The broker has sent a Received message to the lender The broker has sent the document to the borrower The borrower has advised the broker that the document has been received The borrower has sent a Renewal Request to the broker The broker has asked the lender if the loan may be renewed The lender has informed the broker that they will renew the loan The lender has informed the broker that they refuse to renew the loan The lender sends an overdue notice to the broker The broker sends an overdue notice to the borrower The lender sends a Recall message to the broker The broker sends a Recall message to the borrower The borrower sends a Returned message to the broker The broker sends a Checked In message to the borrower The broker sends a Returned message to the lender The lender sends a Checked In message to the broker 12

13 Appendix 2: New actions visible in request details: The following actions may appear in the History for brokered requests. They reflect messages sent automatically between the broker and the borrower. These actions are not available to ILL personnel who manage the brokering: Broker: Auto Conditional Broker: Borrower Damaged Received Broker: Damaged Broker: Borrower Note Received Broker: Conditional Reply No Broker: Conditional Reply Yes Broker: Lost Broker: Borrower Lost Received The broker has forwarded a Conditional message from the lender to the borrower The broker has forwarded a Damaged message from the borrower The broker has forwarded a Damaged message The broker has received a Note from the borrower The broker has forwarded a response to a Conditional message from the borrower to the lender The broker has forwarded a response to a Conditional message from the borrower to the lender The broker has forwarded a Lost message The broker has forwarded a Lost message from the borrower 13