Circulation of nonbook materials

Libraries with automated circulation systems tend to bar code nonbook materials and use the same procedures as they use for books to circulate for these items. Although the manual circulation control systems are capable of handling all kinds of library materials, many libraries choose to handle certain nonbook materials separately. The cost of controlling these special materials is often lower using a separate system because the frequency of special materials circulating is often too low to justify anything but the simplest and least costly system available. Borrower participation is usually required in circulating nonbook materials. Also, the loan periods for these materials may be different from those for books. Libraries develop their own special forms for charging out nonbook material. To charge out such materials, the borrower fills out a special charge card for whatever material is involved.

Borrower registration
Most libraries require customers to register and to obtain a special identification card to charge materials out to the library. Applying for this card is often the customer’s first contact with a library. This is especially true in a public library. In academic and special libraries a general identification card used for many purposes may also serve for a library card. School libraries often do not require students to register. When a library does require the borrower to register, the procedure should be simple and trouble free.

There are several important reasons for requiring borrowers to register:

1. to identify persons who have the right to borrow materials, or in some cases the right to use a library;
2. to give a borrower some special form of identification necessary to charge out material or use a library; and
3. to obtain information on the ages, occupations, interests, and geographic location of a library’s clientele that would help plan for services and acquisition of materials

This last reason applies especially for public libraries. It is important for a library to know whom it is serving and, equally important, whom it is not serving.

Library personnel at the circulation desk must be familiar with registration procedures and be prepared to answer questions about the library’s services and resources. The importance of first impressions at the registration, or circulation, desk cannot be overstated. Staff who cannot answer simple directional or informational questions or whom seemed annoyed with customers’ requests create a negative impression of the library that is hard to overcome.
Borrower registration is usually handled by staff and, in academic libraries, by student workers, with overall supervision by a paraprofessional. The levels of personnel used for registration in a particular library will vary depending on the library’s size, the kind of library, and library policy. The rest of this section is an overview of user registration procedures. Because daily work details vary greatly among libraries we do not discuss them here but leave them to when they are best learned, that is, while working in a library.

Registration in public libraries
Public libraries have a prescribed registration procedure. Most public libraries include local residents and taxpayers among their primary clienteles. Many public libraries also grant borrowing privileges to non-resident users. Sometimes these non-resident circulation privileges are granted on a temporary basis, generally for a small fee or deposit. The privileges are good for a limited period of time, commonly between one and six months.

The prospective borrower is usually required to show proof of identity and eligibility (often a picture ID and proof of residency) and to fill out a library card application. Applications are often available in languages other than English, especially in libraries serving multicultural populations. Children and young adults usually must have the sponsorship of an adult to obtain a card and often have their application co-signed by their parent or guardian, especially if the child is to have full access to the library’s collection, including the Internet terminals. The information requested may include the borrower’s name, address, telephone number, and employer. Many libraries have joined library consortia or networks or have entered into cooperative agreements with other libraries (see figure). Some libraries extend borrowing privileges to cardholders from any public library in that state (called universal borrowing). Others have contractual agreements with other jurisdictions to serve their users without charge. Some libraries have begun to charge fees to non-residents, but the amounts are relatively low.

Libraries using automated circulation systems are able to register borrowers by entering information directly into the system computer. Staff then issue a borrower’s card with a unique bar code or OCR label used to identify the patron. These cards may be used immediately after they are issued.

A public library branch may keep its own file of registered borrowers or there may be a centralized file for an entire system. In either case, an important task is to keep these files current, eliminating inactive names and obsolete addresses. Most library cards expire at regular intervals so borrowers are required to register again. Staff update the files when they remove the records of those borrowers who do not register again. Some public libraries use cards with no expiration date and purge their patron database at regular intervals. Some libraries have eliminated file updating by using lists of registered voters instead of registration, and the latest list of voters is also the list of registered library borrowers.

Registration in academic libraries
The primary responsibility of the academic library is to provide service to the institution’s students, faculty, and staff. Faculty and staff receive identification cards when hired and have library privileges because they work for the institution. Students usually need one of three forms of identification to charge materials out of the library:

1. an institutional identification card issued or validated when the student registers for the academic term;
2. a receipt for fees paid for the academic term;
3. an identification card issued by the library.

As a backup, the library will often have a list or database of students issued by the school registrar’s office. The list or database is also helpful if a student forgets to bring or does not have a identification card.

Academic libraries often make provisions for circulation services to certain classes of noninstitutional borrowers. Alumni frequently have borrowing privileges. Publicly supported institutions usually allow members of the public to purchase a library card for a nominal fee while admitting them to the library free of charge. Even private institutions may make borrowing privileges available for visiting scholars and sell library cards to members of the local community in the interest of good customer relations. Unaffiliated borrowers are usually required to fill out an application form with their name, address, telephone number, and social security number, and present valid identification, after which they are issued a temporary library card.

Registration in special libraries
Registration of borrowers for special libraries can take a variety of forms. An identification card indicating employment with a company or government agency may give a person library privileges. Registration as a general library user in a public or academic library may also include privileges to use a special library that is part of the institution. A special borrower’s card may be issued for a limited time to persons needing to use a special library. Special libraries often issue temporary cards only to scholars and specialists in a special field. There are thousands of special libraries and, of course, many variations in the manner of patron registration. Frequently, there is no special registration because the office staff is small and the library staff is familiar with everyone on sight.

Registration in school libraries

School libraries have the most homogeneous clientele of the libraries examined. Eligible borrowers are generally the students enrolled in the school, although there are schools and districts that serve parents, student from other schools, or members of the community at large. This is especially true in the cases of school and public library partnerships, where schools or school districts share resources with public libraries.

Because of the limited clientele, few school libraries issue library cards to users. Proof of eligibility is less problematic than in other types of libraries. It can easily be established by personal recognition, school identification cards, and class registers. For those libraries that grant privileges to nonstudents, forms of identification other than library cards are the norm. Where partnerships or alliances exist with public libraries, students often have library cards so they can use the public library resources.

Check-out and check-in

Libraries establish limits on the length of time a borrower may keep library materials. The limits are set so borrowers will return items within a reasonable time, making them available to other users. The length of the loan period depends on the size of the collection, amount of circulation, purpose of lending materials, the clientele served, and sometimes the nature of the material loaned. For most items, loan periods are typically from one to four weeks. Certain materials (such as periodicals, pamphlets, CDs, or videotapes) are usually lent for periods of one to seven days. In some libraries certain borrowers are permitted longer loan periods than others. Academic libraries, for example, usually permit faculty and graduate students, because of their more scholarly research needs, to check out materials for longer periods than undergraduates. These periods vary depending on the library.

Libraries with smaller collections or higher circulation rates tend to have shorter loan periods in order to make material available to as many customers as possible. Libraries with larger collections may allow longer loan periods. Library staff will take all of these factors into consideration when establishing loan policies.

Some libraries limit the number of items a borrower may check out at one time or the number of items that one may borrow on a particular topic. This is common in smaller libraries where one borrower could deplete an entire subject area. The larger the collection the less need there may be to limit borrowing.

The various ways to discharge (check in) borrowed materials were discussed previously. Regardless of the system used, the result of discharging is the same: the record of a loan is cancelled and the borrower’s responsibility ends.

As staff discharge material, they inspect it for wear or damage. This is the point at which injury is most easily spotted. If material is badly damaged, the borrower may be charged for a fee. Missing call number labels can be replaced. Torn pages or loose binding must be repaired before the material circulates again or the item may be damaged beyond repair. This is a serious problem because many items are out of print (that is, the publisher has no copies available for purchase) and cannot be replaced. When repairs are needed, a mending slip with appropriate information is inserted in the item and the material is taken to the bindery area for repairs. A circulation record is created to indicate the location of the item.

Search and hold procedures

Circulation systems are, essentially, inventory control systems. The goal of an inventory control system is to be able to locate any item in the system at any time. Patrons often ask circulation staff to find material that the library owns but which is not on the shelf. One of the measures of a good circulation control system is how well it allows staff to locate materials when they are shelved improperly, not filed in their proper location, or checked out. Procedures for locating requested materials and notifying the requester that materials are available are often called “search and hold” procedures.

To initiate the procedure, the customer fills out a search request form. (Staff use the same search procedure if the borrower claims to have returned an item that library records show as still on loan.) Sometimes, most often in public libraries, there is a small fee for holding an item. The customer or staff member writes the call number, author, and title on the search form, as well as the requester’s name and address so that the patron can be notified if the material is found. Staff begin the search by checking the circulation records and the shelves. Approximately half the items customers are unable to locate are actually in their proper location. If the material is not located, an extended and standard search procedure is followed. Staff look in all possible locations. These include book carts, sorting shelves, missing files, mending areas, and other locations where materials might be found. Because of the library’s emphasis on providing access to information, this is an important service, and libraries make every effort to locate missing items for their customers.

Borrowers often request that charged-out materials be held for them when they are found or returned. Another characteristic of a good circulation system is its ability to identify holds, also known as reserve requests, when material is returned. Patrons usually fill out a hold or reserve request form (see figure), although many online systems allow customers to place their own holds at the catalog terminals. Staff attach the hold or reservation card to the charge-out record so the reserved material can be identified in the discharging process. With an automated system, a staff member or the borrower enters the hold information in the system and the information automatically displays when the item is returned and discharged. When reserved material is identified, staff mail notification to the requester (or, in some cases, telephone the patron). The library holds the material for only a limited time, usually a few days. If the patron does not check out the item, staff notify the next person wanting the material or they return it to the shelves. Some libraries mail the material directly to the borrower who requested it instead of sending a notice and requiring the customer to come to the library.

Overdues, fines, and billing

Overdue materials are a problem because they are not available to other borrowers. Fines are levied and billing performed to encourage borrowers to return materials on time so they are available to others. Libraries handle overdues and fine procedures in a variety of ways.

In recent years there has been a trend to lower or eliminate fines in some libraries, while other libraries have raised fines to try to improve timely return of materials. Some libraries have tried alternate methods of collecting fines to make the process less onerous; for example, the Cleveland Public Library accepts Visa and MasterCard, and a number of libraries accept food donations for the needy in lieu of cash, especially around holidays. While there is a lack of confirming evidence in the literature, most libraries believe some form of a fines and billing system is an effective means for convincing borrowers to return books on time. Some libraries even use fines to raise revenue.

Libraries that levy fines should inform borrowers about fines and fine schedules before any materials are loaned. Some libraries print the fine schedule on the transaction card inserted in the book pocket, on the pocket itself, or in the library handbook. There may also be a sign posted at the circulation desk.

Few libraries have complete freedom to set the fine policy; instead, they must conform to the desires of their governing bodies. In a public library the librarian may make recommendations on a fine policy, but the library board has the legal authority to establish the policy. In a college or university the librarian makes recommendations to the president or the administrative body with authority over the library.

Fine rates vary for different types of loans; for example, fines for short-term loans are often higher than for long-term loans. Fine amounts may also vary according to type of item, for example, higher fines for videos or books on tape. There may be a different fine schedule for children or juvenile borrowers (usually lower than the rate used for adults). Some libraries do not charge children fines at all, believing it is more important to encourage reading as a positive experience.

Some libraries have a policy of rescinding fines for borrowers who are unable to pay. Many libraries have tried moratoriums to encourage the return of overdue material. If a borrower returns the overdue material within a specified period, staff cancel the fine. The rationale for such amnesty programs is that the purpose of fines is not to punish borrowers or to make money for the library; rather, fines are levied as an incentive to encourage the timely return of material. Some libraries allow borrowers to work off their fines by performing tasks around the library.

When staff or the online system identifies overdue material a notice is usually produced and mailed to the borrower. Some systems are programmed to place telephone call reminders in place of written notices. If the borrower does not respond to the first notice, second and third notices may be sent as deadlines expire. The number of notices mailed is a matter of library policy and postage budgets. Staff keep manual or online records of the notices sent and on the eventual resolution of the problem (see figure). A library usually bills a delinquent borrower for the amount of the fine, plus a standardized service charge to cover the cost of processing.

If the fine remains unpaid or the material unreturned, libraries generally suspend further circulation services to the borrower until the situation is resolved. Libraries using automated circulation systems can easily change a borrower’s status to block further checkouts until fines are paid or books returned.

Libraries may resort to the employment of collection agencies, which sometimes report delinquent patrons to companies who are sources of credit checks. In some extreme instances, libraries may take extreme action in small claims court. The decision to initiate legal proceedings generally rests with the chief librarian. Public libraries may work with the city or county legal department to act against borrowers who fail to respond to overdue notices. Libraries sometimes take such action against borrowers guilty of flagrant violations in hopes of deterring others from committing similar transgressions. Academic libraries work with the university registrar or business office to withhold transcripts or degrees from students with unpaid library fines. School library staff contact parents.

Collection of fines and fees

Collection of fines and fees is an important responsibility because it usually involves accountability in handling money. Often, libraries collect fines and fees at the loan desk when a borrower returns overdue or damaged material. This requires a cash register or cash box for making change, a ledger of some sort for recording transactions, and accurate accounting procedures. Fines must be computed carefully; a fine is a poor customer relations device in any case, and miscalculation of the fine will only aggravate the situation. Automated systems automatically calculate fines.

Circulation staff often encounter borrowers who contest their fines. The most common argument heard is that the items listed as overdue were, in fact, returned on time and library records are in error. If the material is, in fact, found in the collection, staff generally give the borrower the benefit of the doubt and excuse the fine. Flexibility in collecting fines will do much to preserve good public relations while obtaining the return of overdue materials.

In some libraries, usually academic, the fine money is not collected by the library. Instead, the library issues a bill stating the fine and the borrower pays the fee at the business office or other campus agency. Sometimes fines for overdues do not revert to the library at all but disappear into a general fund for use by the governing body of the institution.

A library also collects fees for damaged or lost books. Generally libraries charge the cost to replace or repair the material plus a fee, or service charge, to cover the expenses of processing the fee. The amount of the service charge varies from library to library. For example, a lost book that costs $29.95 to replace might be billed at $34.95, the cost of the book plus a replacement fee of $5.00. Some libraries permit borrowers to purchase a replacement copy in return for reducing or eliminating the fee.

Some libraries have special fees for rental collections. Some academic libraries have rental reserve collections and some public libraries have rental collections of popular materials. If multiple copies of particular works are needed but funds are limited, the library might purchase several copies for rental and thereby recover the cost of the material.

The librarian or support staff may not do the actual collecting of fines and fees but will probably supervise the operation and must be aware of library policy and be able to solve problems that may arise. One of these is negotiating fines and fees with borrowers. When bargaining, it is important for staff to remember the philosophy behind the charges. The staff should be willing, and able, to negotiate a reduction in fines for returned overdue materials if they perceive a legitimate reason to do so. Such a willingness to consider the special circumstances of individual borrowers does much to ease the negative situation. It enhances the library’s customer relations and achieves the basic aim of getting material back on the shelves.

Ethical and legal considerations
Consistent with the Library Bill of Rights and the principle of intellectual freedom (the right to read and think whatever one wishes), circulation staff are ethically bound not to reveal the reading habits of library users. Only the reader and the circulation staff, in the legitimate performance of their duties, have a right to know what information sources the customer has consulted or checked out, and circulation staff have an obligation to prevent others from obtaining this information.

Probably as long as libraries have existed, police, government officials, ministers, parents, spouses, and others have asked library staff about the reading habits of borrowers. Only during the past 50 years, however, has the library profession expressed a desire to keep circulation records confidential. In 1938, the American Library Association “Code of Ethics” specified the confidentiality of library records, the first formal acknowledgment of this issue in the United States. (American Library Association, Code of Ethics Committee, “Code of ethics for librarians ... adopted ... December, 1938,” ALA Bulletin 33 (February 1939):128-30). Since 1970, the profession’s stand on confidentially has become stronger. There is currently, for example, a movement to keep children’s records confidential, even from their parents.

The following discussion of this issue is necessarily brief (Much of the material in this section was taken from: B. S. Johnson, “A more cooperative clerk: the confidentiality of library records”, Law Library Journal 81 (Fall 1989): 769-802; and Bruce Kennedy, “Confidentiality and Library Records: a Survey of Problems, Policies, and Laws,” Law Library Journal 81 (Fall 1989): 737-68.) Nothing in the following paragraphs is intended to be construed as legal advice. From a strictly legal standpoint, government officials have legitimate reasons to view library records. Public safety is the strongest justification for disclosure of library records, such as in response to requests relating to investigations of specific crimes. Legitimate national security concerns may also justify government access to library records.

Citizen access to library records is much less defensible. Although the records of libraries, which are governmental agencies (publicly funded in some way), may be categorized as public records, access to these records serves no public function. Citizens have few legitimate uses for library records. Nevertheless, most states’ laws regarding open records are so broad that library records may be open to inspection by the general public.

Most requests for circulation records, however, infringe on the privacy of the library user. Privacy may be considered an intrinsic and a prophylactic right that secures and safeguards other rights. A person has the right “to be left alone,” according to Justice Brandeis, and the right to be free from the harassment, intimidation, and persecution that might result from free access to circulation records.

In 1970 the American Library Association adopted a policy on the “Confidentiality of Library Records,” the current version of which was published in 1988 (American Library Association, “Confidentiality of Library Records,” ALA Handbook of Organization 1988/1989 (Chicago: American Library Association, 1988,), 237). This policy attempts to constrain unlimited police access to library records by requiring an order from a judicial, legislative, or administrative body. The 1995 revised ALA Code of Ethics (available at

http://www.ala.org/ala/aboutala/offices/oif/statementspols/codeofethics/coehistory/codeofethics.pdf) reaffirms the librarian’s duty to protect each user’s right to privacy with respect to library records. Many librarians and library associations responded to these documents by adopting confidentiality policies of their own.

A summary of state laws and practices, as of the mid 1990s, may be found in Shirley Wiegand’s book, Library Records (Shirley A. Wiegand, Library records: a retention and confidentiality guide (Westport, CT: Greenwood, 1994)). These statutes attempt to strike a balance between access and privacy. Each law permits some access, especially in response to court orders or subpoenas. Several statutes provide that libraries need not disclose circulation records under the state open records law. A number of states allow records of a minor child to be disclosed to a parent or guardian. Performance of library routines permits the disclosure of records to library staff, and records may be disclosed to others if the patrons consent.

The current status of confidentiality laws leaves several issues unclear. Under current legislation, library staff may be liable for civil or criminal liability for wrongful disclosure of records. There is no federal law regarding confidentiality of library records, and the question of whether or not the state legislation limits federal access often arises. Thus far, the federal government has not tested the legislation in the courts. Interstate transactions, like interlibrary loan, raise the question of which state’s law governs access to transaction governs.

Policy in most libraries requires that staff attempt to eradicate past circulation records and preserve the confidentiality of customers. If the circulation system used in a library requires that the name of a borrower appear on a book card or some other record traceable to a book involved, staff should render the name illegible as part of the discharging process. Libraries with automated systems are in a good position to act in defence of confidentiality by ensuring that the system eliminates any link to between the borrower’s name and the specific material borrowed once the item has been returned and any fees paid.

All library staff must be familiar with library policy on disclosure of library records because someday any library employee may be approached by a citizen or governmental authority with the request that the library disclose information on the reading habits or other library use of particular users. Staff who are approached with a request of this kind should refuse to comply and immediately report the request to their supervisor.

Basic library procedures: Circulation functions

“For him that stealth a Book from this Library, let it change into a serpent in his hand and rend him. Let him be struck with Palsy, and his Members blasted. Let him languish in Pain crying aloud for Mercy and let there be no sur-cease to his Agony till he sink in
Dissolution. Let Bookworms gnaw his Entrails in token of the Worm that dieth not, and when at last he goeth to his final Punishment, let the flames of Hell consume him for ever and aye.”
Curse Against Book Stealers,Monastery of San Pedro, Barcelona

Circulation functions, procedure and policy
No matter what types of material a library circulates, there are a number of questions that must first be answered:

• What items circulate?
• Who can check out items?
• How long can they stay out?
• Will fines be charged, and if so, how much?
• Will a patron be able to check an item out if there is a fine?
• How long will a fine continue on a particular item?

Most libraries develop policy and procedure manuals that outline in detail the way that various circulation functions (and other library functions) should be handled. An important first step for anyone who starts working in a library is to become familiar with the details of the circulation manual. You will want to be able to answer any questions that patrons might have about borrowing materials. If you become the manager of a library, an important first step would be determining if the library has a policy and then a procedure for each circulation function. If it does not, developing a manual would be an important first step.

Patron registration and verification
All types of libraries (public, school, special, and academic) need information about their borrower s. Patron registration facilitates the collection of basic information so that patrons do not have to provide this information every time they wish to borrow material. Libraries register patrons in order to:

1. Identify those who have a right to borrow.
   In a public library most taxpayers and local residents in a city or town would have the right to borrow. Public libraries may also extend privileges to nonresident users. Usually this is because the library is part of larger public library system or network that enables a patron to charge materials from all libraries in a geographic region. This is referred to as reciprocal borrowing.School and academic libraries would be interested in ensuring that staff and student can borrow materials. It should be noted, however, that many academic libraries also permit users outside the university community to register, although, they may charge some kind of registration fee. Special libraries, such as a law library affiliated with a law firm, would restrict the right to borrow to lawyers and staff in the firm.


2. Identify what their privileges are.In many cases various patrons are assigned particular privileges based on their status.
   For example, in an academic library, university faculty are usually permitted to borrow material for longer periods of time than students. Faculty may also be exempt from overdue fines. Patrons from outside the university may be limited in the amount of material they can borrow.


3. Identify where patrons can be located.
   Location information is particularly crucial for a public library to obtain. Since public libraries serve a wide variety of people and people may move often, keeping the information up to date is critical. This may be less of a problem for academic, school, and special libraries because users can be tracked down within the institution or workplace.


4. Give each eligible patron a special form of identification.
   A unique numerical (or alphanumeric) patron identification code is critical for tracking circulation records with most automated circulation systems. In a smaller library using a manual system and where library staff are completely familiar with their users, the patron’s name may be sufficient identification.


5. Obtain statistical information.
   Patron registration can be used as an opportunity to collect some background information on users. For example, in a public library it may be useful to know occupations, ages, reading interests, geographic location, etc. This information can help the library determine who (or who is not) using the library, develop the collection, and plan services.
   Patron registration in a public library is usually done with a form. Registration with a school, university, or college usually constitutes registration. In a special library, employment in a company usually means that a per son can use the library. Once patrons are registered the method used to identify an authorized person include:

• Borrower’s card

This would be a special card that include at a minimum the user’s name and identification number (represented both numerically and as a barcode for an automated system). Most public libraries issue a borrower’s card.

Identification card
In an academic setting (or even some school settings), the multi-purpose student identification card (with photo and student identification number) will also serve as the library card. In a special library, the employee identification ca rd may serve as method of identifying authorized users.

Registration file
Since formal registration is usually not required in school libraries and most do not issue student identification cards, registration information from school files is used. Students’ names, room numbers, addresses, and phone numbers can be kept on file by the library or readily accessed from the school’s main office.

Regardless of the way in which a patron is registered or the form of identification required, the patron’s first contact with a library is the circulation department. Library personnel should take advantage of this opportunity for creating positive public relations. For instance during borrower registration, information about library policies and services can be distributed. Staff should be prepared to give straightforward, friendly responses regarding a patron’s borrowing privileges and access to the collection. There should also be some room within the library’s patron registration policy for flexibility with regard to identification. For example, in a smaller library which requires a library card, circulation staff may still be able to check materials out without a card to a well-known borrower.

Charging and discharging
Procedures for charging and discharging materials will vary depending on the automated circulation system or manual circulation system.

Whatever circulation system is used, when charging material circulation personnel should make sure that:

1. The patron is registered with the library or is recognized as a legitimate user of the library.
2. The materials that he/she wishes to borrow can circulate.
3. Correct charge-out routines are followed according to a given library’s procedures manual.
4. The date due is somehow indicated to the patron (e.g. by a stamp on a date due slip or a print-out of borrowed items from an automated circulation system).
5. A hold is placed on an item if it is not available and the patron still wishes to eventually borrow the item.

When discharging material circulation personnel should make sure that:

1. Correct charge-in routines are being followed according to the library’s procedures manual.
2. The material actually belongs to the library.
3. Fines are collected, or a note is made that overdue material has been returned.
4. Returned items are inspected for damage (torn pages, loose bindings, missing labels or cards).
5. Hold requests are processed properly.

Loan periods
Loan periods establish the amount of time that a patron can borrow an item. The length of a loan period can have a big impact on staff workload and patron satisfaction with a library. For example, if loan periods are too long users may be frustrated that they can’t get the materials they want. If loan periods are too short, there will probably be a lot of overdues and staff will be frustrated by the burden of processing them. The length of a loan period depends on a number of factors:

1. Type of library
Most public libraries have a loan period from between two and four weeks. School libraries usually have a one or two week loan period. Academic and special libraries may permit longer loan periods for staff because the material is usually being used for work-related matters (e.g. teaching a class, special projects).
2. Size of the collection
A small collection typically means a shorter loan period so that more people can use the materials.
3. Frequency with which particular materials circulate
For instance, children’s books are read quickly and have high circulation demand and so a shorter loan period may be appropriate. Another example would be periodicals in an academic library. These usually are high demand items and lengthy loan periods will frustrate others who may need to consult a particular volume of a research journal.
4. Purpose of lending materials
If materials are being loaned for extensive research, longer loan periods may be necessary. Materials being loaned for recreational use, probably should have shorter loan periods.
5. Clientele served
Libraries serve a variety of clientele. A special library located in a workplace may choose to lend materials on a longer basis because the materials can be easily tracked down within the building. Public libraries may choose to have four week loan periods in recognition that their patrons do not live close to the library and only visit once a month.
6. Type of materials
Some materials are more fragile and require special treatment. For example, magazines, compact disks or videotapes may circulate on shorter loan periods. Other materials such as dictionaries, atlases, and handbooks of various types may not circulate at all because they are consulted by librarians and patrons on a regular basis. Circulating such reference materials will mean that they are not available when needed. As well, if materials are rare and need to be preserved (e.g. very old, rare books) they may not circulate.

It is often easiest to have a single loan period for all items to provide for consistency in procedures. Other possibilities include: 1.) different loan periods for different collections (e.g. periodicals or audiovisuals); or 2.) a single day each week on which everything is due (e.g. Friday). The latter method may be useful in a smaller library with limited staff because it is easier to keep track of overdues, date s tamps change only one a week, and patrons will get used to everything being due at the same day each week.

Loan periods are a matter of policy. There should always be some flexibility within the process so that the policy does not need to be changed for exceptions. The length of loan periods should be made very clear to patrons and any exceptions carefully noted.

Renewals
Renewals are one way of giving some flexibility in loan periods. As with establishing policies on length of loan, policies must be set regarding renewals. Some of the issues to be resolved are:

• Should renewals be allowed on all materials or only certain types of materials (e.g. no renewals on audiovisual materials or periodicals)?
• How many times can items be renewed?
• Will renewals have to be done in person or can they be done by phone, fax, or e-mail?
• Will renewals only be permitted to certain types of borrowers (e.g. staff or faculty)?

In general, most libraries set limits on the number of renewals (two or three) and do not allow books to be renewed more than three or four days in advance of the due date. Overdue items usually cannot be renewed without paying the appropriate fine. With automated systems, patrons may be able to renew items on their own. If there are overdues, the computer system will “block” the user from renewing items. The user will be forced to talk to library staff about the overdues so that the block can be removed.

Reserves
Reserve collections are usually found in most school and academic libraries. They address the problem of what to do when a group of students all need to consult materials for a class within a limited period of time for an assignment. Regular loan periods would mean that students would be frustrated because the material would always be circulating and library staff would be annoyed because students would be demanding holds or recalls on material. Public libraries might also need to establish reserve collections in support of school libraries with a “hot” research topic or community continuing education (e.g. cookbooks for a cooking class).

Both the access and the loan period are usually restricted in a reserve collection. The area where reserve materials are kept are closed to patrons. Staff members retrieve the items at the request of the user. In a school or academic library, the responsibility for placing titles on reserve fall on the instructors. Instructors fill out forms indicating the title, author, and call number of each title they want placed on reserve. The library staff will need to know: how long the material should be kept on reserve; the loan period (2 hours, 2 days, 1 week); whether the material can leave the library, and who can use the material.

Policies regarding access to reserve collections are changing in some libraries. For example, the University of British Columbia libraries has an open stack reserve area. The reserve area is secure and students cannot leave the area with materials. Additional shelvers are required in the reserve area to keep it organized. However, less staff time is spent on retrieving materials.

Another option that larger university libraries are exploring is electronic reserves. Instead of storing the physical item on a shelf in the reserve area, an electronic copy is stored on a computer. Students can access the reserve item and print a copy as needed for their own reference. One of the biggest problems is resolving copyright issues.

Usually titles should be placed on reserve well in advance of the class they are intended for because it takes time to process the material and it might be necessary to recall material to place it on reserve. However, in some instances the library staff only becomes aware that material should be placed on reserve after three or four students come in and request the same material.

Reserve materials should be easily identified so that they are not accidentally returned to the main circulating collection. Easy methods of identification include applying stickers to book cards, pockets, or spines. As well, patrons using the library should be able to determine that materials are on reserve. In an automated circulation system this can be indicated as part of the circulation status of an item (e.g. charged to reserve). In a manual system, card catalogues can be marked with dots, stars, or paperclips. Alternatively, lists of reserve materials can be posted.

Recalls and holds
Library materials are usually either on the shelves or circulating. Recalls and holds are services offered to patrons so that they can obtain materials that are checked out to another user. In the case of recalls, patrons are sent a notification requesting the return of material for another user prior to the date it is due. If the patron does not respond to the recall notice, they may be subject to fines. A hold (sometimes call a reservation) puts a patron on a waiting list for a particular item. The person who currently has the item is permitted to keep the material for the full loan period. However, when he/she returns the item, it cannot be renewed but will go to the next patron on the hold list.

Patrons who have placed holds are notified that the item is waiting for them in the library.
Notification may be by postcard, e-mail, phone, or bulletin boards. If that patron does not borrow the recall or hold item within a certain time period (e.g. two weeks) it can be checked out to another patron.

Materials in heavy demand will place a strain on the recall or hold service. In public libraries, bestsellers may have lengthy hold lists. It can be a public relations nightmare if the waiting period is too long. Public libraries may respond by purchasing multiple copies of a best sellers and limiting loan periods. Academic and special libraries can attempt to overcome demand by placing materials on reserve.

Searches
What happens when a patron is looking for an item that is apparently not in its proper location on the shelf and according to circulation records not checked out? Most libraries then initiate a “search” (or trace) on the item. In a busy library, it is usually impossible to stop what you’re doing to look for a book. The patron is usually asked to fill out a “search form “ that asks for the author, title and call number of the missing item. Later when it may be less busy or, at a certain time each day, staff will search for the missing item(s).

The usual procedure is to:
1. Recheck the circulation files (in a manual sys tem where the book card may have been misfiled).
2. Recheck the shelves to see if the item has been mishelved or, to see if the patron made a mistake in where they were looking for the item.
3. Look on the bookcarts of materials to be shelved.
4. Check to see if the book is being mended or bound.
5. Check library staff offices.
6. Check the book return slot to see if it has become stuck somewhere in the bin.

If after this effort, the item still cannot be found then the search form should be put aside and on a regular basis, searched. After a certain time period (three to six months) if the item cannot be found then the cataloguing record should be withdrawn or reordered. In the meantime, the patron should be notified about the status of the search and if necessary, another copy of the item might be requested from another library through interlibrary loan for the patron.

Overdues, fines, and fees
Well, you knew we would get here sooner or later! Perhaps no policy and procedure causes as much controversy as overdues and fines. Overdue materials are a problem because they are not available to other library users. Of course, if no one has recalled or put a hold on an item, library patrons may wonder why all the fuss? Fines lead to the public perception that libraries are able to function and buy materials because of the vast quantities of money collected in overdue fines. Why, the public may wonders does the library need more tax money to function? Would that library fines could support a library! Most libraries spend a significant amount of time and money attempting to retrieve overdue materials and collect various fines. Overdue fines represent a drop in the bucket for library revenues and may, or may not, be worth the effort depending on the size and type of library.

The theory behind fines for overdue material is that they provide an incentive for patrons to return materials on time. Responsible citizens and library users should respect library property and other users’ rights. As well, the return of library materials means that the library will not have to use the acquisition budget to repurchase materials (that may or may not still be in print) but can use it for new acquisitions.

Many libraries, especially public libraries, have responded to high overdue rates by: increasing fines, imposing service charges, and taking legal action against the worst offenders. Certainly, overdue fines may provide some incentive for returning materials. They also show that the library is serious about the policies that have been established returning loan periods. To a certain extent, fines do provide a source of income for libraries. On the other hand, a number of studies have shown that overdue fines are not a significant deterrent to the ultimate return of items (Patsy Hansel and Robert Burgin, “Hard Facts About Overdues”, Library Journal 108 (February 15, 1983), pg. 350). Hansel and Burgin conducted a survey of North Carolina public libraries in 1981 concerning overdue library materials. They found that most overdue materials are returned within one year and concluded that since most library procedures involving overdues have little or no effect on the return rate, most need not be done. Most overdue materials are returned regardless of what steps libraries take.

Fines may also have the opposite effect from what they intended. They are certainly a hardship for children, students, the poor and the disadvantage (those who may most need access to a library). Parents may discourage children from using the library if they are constantly paying overdue fines. Pursuing overdue fines may cost more in administration than the revenue they bring to the library. Sometimes excessive fines may result in lower circulation or, result in more theft and mutilation.

In response to the negative reaction to fines, many libraries (especially public libraries) have tried alternate methods such as amnesty weeks or “fine free days”. During amnesty weeks users can return items without fear of being fined. Response to such efforts is usually quite good and demonstrates that the library is interested in the timely return of materials rather than punishment or revenue generation. Overdues and fines may be avoided if the library has an appropriate loan period for its clientele. As well, if patrons can drop materials outside of regular hours (e.g. evenings or weekends) there may be fewer problems with overdues.

Libraries that have gone the complete “no fines” route report that the number of overdue notices increase considerably. The trick is to achieve some kind of balance. Fees must not be so high to financially discourage users from returning material. However, they should be high enough to reflect the library’s concern regarding the rights of all library patrons. If a library chooses to go wit h fines, the schedule of fines must be well advertised and there must be a reasonable cycle of notices requesting the return of the material. Given the negative nature of fines, the library should also be very sure of the amount of fines owning. The usual cycle is:

1. First notice – a card or letter one or two weeks past the due date informing the user that the item is overdue. Studies have indicated that approximately 90-95% of all library materials are returned within four weeks, whether or not overdue notices are sent.
   
2. Second notice – a card or letter three weeks past the due date informing the user that they will be billed for replacing the item.


3. Third notice – a bill sent six to eight weeks past the due date outlining the replacement costs for the items that are overdue. Final notices may be referred to an outside collection agency. In a public library the final recourse may be court action. In an academic library, the library works with the registrar or business office withholding transcripts and degrees from students. In a school library the library staff will contact parents. In fact, in all types of libraries suspension of library privileges may be a very effective last stage in the overdue process.

The process of sending notifications is easier with an automated system. As well, an automated system can readily be set up to block patrons from borrowing additional items until they have returned the overdue items and paid fines.

In addition to overdue fines, libraries may also collect fines for damaged materials, lost materials, or lost library identification cards. The fee is designed to replace or repair the material (either fixed in advance or calculated costs of purchasing from a publisher) plus a processing fee. Libraries may also collect fees for the use of certain collections in the library. For example, some libraries have rental collections of audiovisual materials. Regardless of whether a fine or a fee is being collected, a proper receipt should be issued to the patron. Monetary transactions must be tracked with some type of accounting system and cash should be kept in register, locked cash box, or safe.

There should be some flexibility with overdue policies. For the patron with a good reason for overdues, policies need to be in place that permit staff to waive fines. It is also not a good idea to pursue payment of overdues from the families of patrons who have died. This leads to bad publicity and more negative stereotypes about crazy librarians.

Security and theft
Because the circulation desk is typically the last stop that patrons make before they leave the library, circulation desk staff usually have a role to play in library security. Theft is a problem facing all libraries. Missing material is frustrating for both patrons and library staff. Stolen material limits access to information and is a drain on collection development funds. Staff time will have to be spent to reacquire and reprocess the stolen items. If a book is no longer in print, it may not be possible to replace at all.

To combat theft problems many libraries have purchased and installed theft detection systems. The basic purpose of any surveillance or theft detection system is to prevent materials from being removed from the library without being charged out. Theft detection systems operate on the common principle: electromagnetism. Systems usually interact with detection metal strips hidden in the spines of books, between pages or in the gutters of periodicals. A special detection screen is set up by the library exit. If a patron attempts to leave the library with an item without going through the check-out procedure at the circulation desk, an audible and sometimes, visible alarm (flashing light) is triggered. The exit gate or turnstile locks so that the patron cannot leave.

Theft detection systems can be set up in one of two ways: 1.) by-pass method and 2.) full-circulating method. In the by-pass method, library materials are permanently activated. They are never “demagnetized” or “desensitized”. Patrons walk through the security gate and circulation staff take the responsibility of passing the items around the gate and giving them to the patron. These systems are less expensive than full-circulation systems because the library does not have to purchase an activate/deactivate unit. They do require more staff time because all items have to be handed to the patron around the security gate.

The full-circulating method usually involves the use of a special activate/deactivate unit purchased from the manufacturer. During the check-out procedure, staff run items across the units to desensitize them. During the check-in procedure, a switch is flipped on the unit and all items are re-sensitized.

Theft detection puts the circulation staff in the position of security guard. When an alarm goes off many patrons are surprised and quickly surrender the item they have. In many cases, they have absentmindedly walked off without going to the circulation desk. Sometimes circulation staff are put into the uncomfortable position of having to search a patron’s bag, backpack, or briefcase. In the event that a patron runs away with an item (by jumping the turnstile), a call to the police or security guard is the best solution. Many libraries have special procedures for handling patrons when the alarm goes off. This ensures that patrons are handled consistently with respect and tact.

Problem patrons
Having touched on the theft detection role that is involved with circulation, a few words also need to be said about “problem patrons”. Unfortunately, circulation desk staff are often on the frontlines with regard to dissatisfied library users. Circulation staff are responsible for explaining overdue policies, collecting fines, and catching thieves. As well, if a library is open in the evenings and on the weekend, limited staffing is usually provided. Thus, the job of clearing out the library often falls on circulation (which has to be staffed all the hours that a library is open).

Faced with an upset and angry patron, circulation desk staff need to be prepared to be courteous and calm. Most patrons will eventually calm down. For those, who are out of control, a policy needs to be in place that protects staff. Often, a good strategy is to refer the patron to the head of the library. This will give the individual a feeling that their complaint is being heard by someone else who may be in the position to change things. If no one else is around, staff should not hesitate to call the police or building security if they feel threatened. Such incidents should always be described in writing so that a record is on hand if there are any further problems from the individual.

Patron confidentiality
All patrons, whether they are difficult or not, deserve the right to privacy. In establishing charging and reserve procedures, the library staff must be conscientious about patron privacy. It is really no one else’s business what anyone is reading.

Patron privacy is a sensitive issue. People read for pleasure, but also for self-education in dealing with issues concerning themselves and their families. It is their right to have their privacy protected and library staff should be aware of protecting this right for their patrons. There are legal and ethical considerations regarding patron confidentiality. Canadian implications are similar to those in the United States.

Through the use of barcodes on library cards or identification cards, some patron protection is built into a circulation system. A very frequent occurrence, especially in a small library, is a patron who is looking for an item and finds that it is checked out to someone else. Patrons will often approach the circulation desk wanting to know who has borrowed the item. They believe they probably know the patron and would like to get them to give the material up. Circulation staff should be very clear with patrons that they cannot give out any kind of patron information. Recalls and holds offer solutions to these individuals. Although they may not get their hands on the material as quickly as they like, patrons will be more satisfied if they believe they can borrow material and use it privately.

Circulation statistics
To close, a few words on circulation statistics. At the end of the day after all the various circulation functions have come to a close, circulation statistics tell part of the story about what happened in a library in a given day, month, or year. The purpose of gathering statistics is to provide management with information on how the collection is used and to indicate need for changes in:

staff scheduling
collection weeding
reserve practices
duplication practices
selection based on use of various classification schemes

Library personnel may require the following statistical information:

· number of items loaned
· subject classes of items
· circulation by format type
· peak/low times of day/year
· circulations per volume owned
· circulations per capita
· proportion of circulated to uncirculated items in total collection
· attendance figures

As previously noted, many automated circulation systems can provide a variety of statistical reports. Although it is more time consuming, in most libraries with manual circulation systems also keep track of the number of books that were circulated each day by various categories (e.g. adult and juvenile) and by classification. These statistics are kept by counting book cards and recording information on statistics sheets.

Additional references
Battaile, Connie. Circulation serves in a small academic library. Westport, Conn. : Greenwood Press, 1992.
Burgin, Robert and Hansel, Pansy. Library overdues: analysis, strategies and solutions to the problem. New York : Haworth Press, 1984.
Manitoba. School Library Curriculum Services. Circulation manual: a guide for school libraries. Winnipeg : Manitoba Education and Training, 1992.
Burnaby Public Library. Membership and Policies. Sample of circulation policies of a public library.http://www.bpl.burnaby.bc.ca/mem.htm
University of Alberta. Circulation policies and procedures. Sample of circulation policies of an academic library. http://www.library.ualberta.ca/libraryfaq/#Borrowing_Policies_and_Services
Winnipeg Public Library. Library cards and borrowing information.http://wpl.winnipeg.ca/library/libraryservices/jointhelibrary.asp
Electronic Reserves Clearinghouse: Links and Materials on the WebSite providing information about setting up electronic reserve systemshttp://www1.mville.edu/Administration/staff/Jeff_Rosedale/

Appendix
Sample patron registration form from the Winnipeg Public Libraryhttp://wpl.winnipeg.ca/library/pdfs/MembershipAppEng.pdf
http://wpl.winnipeg.ca/library/pdfs/MembershipAppFr.pdf

Basic library procedures: Role of circulation services

The circulation services unit of a library fills two important roles. The first and perhaps most obvious role is that of circulation control. This is defined in a classic text as “that activity of the library, which, through personal contact and a system of records, supplies the reader with the books wanted.” (Jeannie M. Flexner, Circulation Work in Public Libraries (Chicago: American Libraries Association, 1927),1) Throughout history, people have had limited access to books and other forms of information. The primary reason for the existence of the library is its specialized service, which makes available to users a wider variety of information and ideas than they could otherwise obtain. This service is the foundation upon which the whole structure of the modern library rests. The use of modern reference tools, instruction and guidance in the use of the library, and readers’ advisory are unimportant if customers cannot obtain the information they want. Circulation routines are established, records maintained, and personnel employed and trained to make information efficiently available to borrowers or to explain why requested items cannot be immediately supplied.
A second and equally important role of circulation services is that of public relations. Often the first contact people make with a library is at the circulation desk, the centre of library activity for most customers. Public opinion of the value and usefulness of a library results from many personal contacts between individual users and the library staff. In many cases, circulation practices determine whether users continue to use the library or whether they become discouraged at failures to obtain desired information promptly. Whole library systems may be judged by the work of a single circulation assistant.
The library must properly train circulation staff to prepare them to give effective and efficient service. Staff members should be imbued with the service ideal of the library and taught the philosophy behind the routines they perform. In this way they may be expected to treat each user as an individual whose request is important and who is entitled to the full measure of services consistent with library policy.
Special libraries usually do not have a staff person devoted to circulation. Often check-out of library materials is done on a self-serve basis with instructions on how to fill out cards placed in plain sight. After use, materials may be deposited in the library, mailroom, or in-box of library staff. Checking in and reshelving materials may fall to the librarian, library clerk, or other office support staff.

Philosophy of circulation
The circulation philosophy of a library derives from the library’s mission and goals or from its governing body. Commonly, this philosophy involves guaranteeing to a library’s clientele equal and fair access to the library’s collection. Today this philosophy also includes a desire to deliver material into the hands of the users. This desire to provide access to library materials is expressed through the actions of staff and the existence of appropriate procedures.
These democratic ideals were not always the norm. For centuries libraries were more the preservers and guardians of knowledge than the purveyor of it. Until the invention of movable type in the fifteenth century, books were both scarce and valuable, and few people were literate. Libraries, whether government collections; religious collections attached to temples, churches, or monasteries; private collections; or academic collections, had very restrictive circulation policies. The generous circulation privileges we know today are of recent vintage. Indeed, the whole notion of a publicly supported lending library, whose purpose is to make books available to all, is a relatively new idea.
In the United States, public libraries as we now know them date from the mid-nineteenth century. Initially, public libraries performed an educational function. In the early 1800s, librarians argued over the question of open access to the bookshelves. Free access to the books first was conceived as a privilege for the scholarly researcher. Later, people advocated access to the collections of a basis of service to the needs of working people. Supporters of closed stacks maintained that unfettered access would lead to disorder on the shelves and decimation of the collection through theft. They also argued that the presence of intelligent desk attendants would be more helpful than stack access.
Recreational reading began to take on importance in the late nineteenth and early twentieth century. Emphasis on the use of books gradually increased and it was understood, even in the nineteenth century, that the card catalog did not provide sufficient across to the collection for most patrons. In response, library staff developed annotated book lists, subject lists, bulletins of recent acquisitions, and printed daily lists on subjects of current interest. The minimum age of borrowers were lowered, and children’s rooms were established. Hours were extended to cover nights and weekends.
Academic libraries lagged behind public libraries in emphasizing use. “In the old days at Columbia College, freshmen and sophomores were allowed to visit the library only once a month to gaze at the backs of books; the juniors were taken there once a week by a tutor who gave verbal information about the contents of the books, but only seniors were permitted to open the precious volumes, which they could draw from the library during one hour on Wednesday afternoons.” (T. W. Koch, "Some phases of the administrative history of college and university libraries," ALA Bulletin 6 (1912): 274). In 1893 Lodilla Ambrose wrote: “Several large institutions limit students to a reference use of the library...In a certain college a student may have only two books a week; one of these must be from the religious department, and these will only be given to him on presentation of a ticket signed by one of his professors.” (Lodilla Ambose, "A Study of college libraries," Library Journal 18 (1893): 116)
One does find exceptions to these limitations on student use of the library. However, before the first generation of the twentieth century, the traditions and the literature of collegfe libraries emphasized preservation rather than use.
Today, circulation staff find themselves with new formats aside from books, such as videos, CDs, laser disks, cassettes, and computer software. Libraries determine circulation policies and routines with the goal of providing maximum access to the materials. The circulation staff member sees their work through this ideal as it is expressed in library policies and individual attitudes. As the staff member becomes familiar with the rules and regulations, the policy of the library with regard to their role will be better understood. Although rules are generally enforced with impartial fairness, some circumstances require a literal interpretation while others call for a more liberal rendering: for example, staff at a library that requires a valid library card may overlook the occasional forgetfulness of a well-known borrower and allow the customer to check out books without the card, yet still require proof of eligibility from an unknown borrower. The more fully the circulation assistants understand the underlying philosophy of the institution, the more accurately they can determine which circumstances call for exceptions to the rules.

Customer relations
Almost everything done in a library is an act of customer relations. Anything that affects the patron’s attitude toward the library, negatively or positively, is part of customer relations. How long it takes to catalogue books, how staff answer the telephone, the accuracy of the reshelving process, the inflection in one’s voice when answering an question, the presence and quality of signage, and the “warmth” or atmosphere of a library are only a few examples of things that have an impact on customer relations.
There are philosophical and practical reasons for a library to be concerned about customer relations. Good customer relations will stem from the delivery of quality service. Conversely, bad customer relations is a sign that the service philosophy of the library is defective in vision, execution, or both. Some libraries make formal attempts to assess user satisfaction to determine how well they are meeting and exceeding the needs of their customers.
From a practical standpoint, good customer relations is vital for the stability of a library’s financial base. Whether public, academic, special, or school, a library must depend on a parent agency for funding. Libraries are expensive yet low-profile institutions and in times of financial exigency (that is, most of the time) they are easy targets for budget slashing unless they can rally supporters. Good customer relations is essential in building this corps of advocates and thus helps to guarantee that a library will continue to have the resources it needs to fulfill its mission and goals.
Because of its central role in providing service to library users, a large share of the responsibility for good customer relations rests on the circulation staff. Increasingly in some libraries, working with culturally diverse groups presents a challenge to staff. There is a growing need to understand cultural differences and the needs of non-English speakers to provide good-quality service. If staff members apply rules and regulations with fairness and flexibility, each customer is treated as an individual with important needs, and if routines aimed at providing efficient service are accurately performed, positive customer relations will almost surely follow.
There are, however, a small number of library users who do not respond to courteous treatment and efficient service. These customers are sometimes categorized as “problem patrons”. The largest category of problem patrons is those individuals with contentious personalities or chronically bad attitudes. To these individuals, attempts at fair treatment are unappreciated and reasonable library service is insufficient. Nevertheless, library staff must make reasonable attempts to satisfy every customer’s library needs, even those of problem patrons.
Urban libraries, especially public libraries, are sometimes visited by individuals who are, for instance, intoxicated, or by homeless people seeking shelter. Latchkey children gather in many libraries after schools let out. Although these and other users may cause occasional problems for the staff, no class of users should be singled out for special treatment. The same policies should govern treatment of everyone. If certain behaviour problems are common at a particular library, a policy for handling individuals exhibiting this behaviour should be in writing and known to all library staff. Posting such a policy to make customers aware of it is also helpful.
It is important that circulation staff members do not get into the habit of considering all library customers with problems as problem patrons. Users often have valid criticisms and to treat them all as problem patrons is to reflect a negative service attitude on the part of the staff.
What sorts of problems are brought to the attention of a circulation staff member? Intner’s 1987 study of circulation policy asked librarians about users’ complaints. (Shelia Intner, Circulation policy in academic, public, and school libraries (New York: Greenwood, 1987)) In academic libraries the principal problems reported by borrowers were lack of information about materials they wanted to borrow and couldn’t find and lack of notification about overdue materials. Circulation limits on reserve items and restrictions on renewals were other problems, as well as dissatisfaction with the tedium of manual charging systems and strict application of circulation rules. The most frequent complaints of public library users were about insufficient numbers of desired titles and not being notified about their overdue materials. Borrowers were also unhappy about short loan periods, limited renewals, fines, and the use of collection agencies. The most frequent complaint of students using school libraries was that materials they wanted were not available. Students also wanted to be notified about their overdue materials and they disliked receiving overdue notices for materials they believed they had returned. Like other library users, students were annoyed at limited loan periods and restrictions on their library privileges.
Circulation staff should be aware of the most frequent complaints made by users of their library and should pass complaints on to their supervisors. Many libraries have manual or online suggestion boxes or complaint forms to document problem areas. Appropriate responses to complaints should be taught to all loan desk workers and the responses should be made with courtesy and tact. Some libraries have a response bulletin board, which allows staff members to post public responses to questions or complaints.

Circulation control systems
Characteristics of circulation control systems
In theory, a circulation control system allows staff to determine, at a minimum, the location of each book in the collection and to administer the circulation policy fairly. Each system has unique characteristics that determine its value to a library. The traits discussed below occur, in varying degrees, in all circulation systems. When a system is studied, the importance of each characteristic for a particular library’s operation must be considered.
First, the system must be easy for borrowers to use and for library personnel to operate. A complex or cumbersome system may result in poor service and customer relations if borrowers view it as an obstacle to their needs, rather than as an aid. Simplicity and ease of use might be the most important qualities of any circulation control system.
Second, the system must be reliable. It must accurately record transactions with little opportunity for user or staff error.
Third, the system should allow library staff to identify the borrower, the material borrowed, and the date material is due. All systems provide this information, but differ in the speed with which it is retrieved. In some libraries this information may not be needed instantly. In school and academic libraries, however, where class assignment deadlines are important determinants of circulation demand, one requirement is that the borrower’s name and the due dates of materials must be available immediately so staff members can recall materials for use by other students.
Fourth, the system must provide a record of overdue materials. This information is needed to send overdue notice, provide a record for fines, and develop a list of materials for possible replacement. Some libraries identify overdue material daily, while other libraries do it less often.
Fifth, the system should provide easy and accurate retrieval of requested materials when they are checked in. Borrowers often request materials already on loan. The borrower should be able to request notification when materials are returned and available for further use. This request is called reserving a book, or a hold request. The system must allow for returned materials to be checked against hold requests and held for the next borrower.
Sixth, the system should allow for easy retrieval of statistics required by the library. For some libraries a manual system provides enough statistics with minimal effort. Other libraries may need sophisticated records on reading patterns or collection use, requiring a computerized system.
And finally, the system must be cost effective. The system must not make an undue claim upon the staff, material, or financial resources of a library in proportion to the benefits received from the system and the rest of the library budget.

Selection of a circulation control system
Selecting a circulation control system is one of the first decisions made when establishing a library. The system selected affects how materials are prepared for use: It must be known whether the circulation control system will require a book pocket and book card, a date due slip, a punch card, or a bar code before material is processed. The method of circulating books affects other library operations as well. Careful study is needed to select a circulation system. Once it is in operation any change or major modification will be costly and time consuming. Many considerations are involved in the selection of a circulation system.
The first most common consideration is the quality of service given to the customer. To some degree all of the following factors must be balanced with the library’s standard of good service. The circulation control system must be compatible with the needs of the library’s users and the overall purpose of the library.
The second factor is the size of the library collection and the expected volume of circulation. Some systems, well suited to a small volume of circulation, would be inadequate in a larger library. The opposite is, of course, also true: An automated system is needed in a library circulating 500,000 items a year, but may be unnecessary in a library circulating 5,000 volumes a year.
The third consideration is the cost of the system. Three elements pertain here:
1. the initial cost of processing and equipment;
2. the cost of ongoing processing; equipment maintenance, and supplies;
3. the cost of personnel needed to operate the system.
This kind of analysis is complex and requires detailed research. A carefully selected circulation system may save many thousands of dollars in unnecessary expenses each year.
A fourth consideration is the type of customer the library serves and the kind and amount of borrower participation built into the system. Some systems require that the borrower merely hand the material to library personnel, who do everything necessary to charge it out. Other systems require that the borrower fill out cards with the author and title of the book and the borrower’s name and identification number. Still other systems allow customers to self-charge materials out to themselves. In a public library, the circulation control system must accommodate a wide range of customers and abilities. To avoid errors, a public library might use a system in which the patron hands the material to library personnel who handle the entire processing. At the other end of the spectrum is the academic or special library. Because these libraries serve a select clientele from whom relatively error-free participation is expected, the library can save personnel by letting the borrower do as much as possible. There are still a number of small institutional libraries (for example, corporate and seminary libraries) where the honor system serves as the only circulation control.

Selected circulation control systems
Automated circulation control systems
The newer circulation control systems are computerized. Not all libraries possess an automated system, although the number of libraries with automated circulation control systems has greatly multiplied since the first systems were installed in the mid-1970s. As early as 1989, a survey of public and academic libraries suggested that more than 60 percent enjoyed some level of automation. ("Upgrading systems, softwarem and microcomputers: the state of automation in 1,003 libraries," Library Journal 114 (September 15, 1989):56) This has increased to nearly 100 percent as of 1999.
In 1998, 10 of the top 12 automated library systems offered circulation modules, and a number of PC based systems are also available for smaller libraries. (Leigh Watson Healy, Library systems: current developments and future directions (Washington, DC: Council on Library and Information Resources, 1998). Systems vary from a single PC based system in a small library to a mini-server in larger libraries with multiple PCs. Each system operates in the same general manner but with certain unique features. The description that follows covers only the basic characteristics common to most computer-based systems.
Automated circulation systems generally require little or no patron participation. Each library user is assigned a unique identification number that appears as a bar code (also called a zebra number or optical character recognition or OCR label). These bar codes are attached to the user’s library card, and staff scan (or “read”) them with a light pen or optical scanner. Anyone who shops in a grocery store will recognize the bar codes, which are similar to those that appear on most food packaging. Staff also apply a unique bar code to each item in the library’s collection. The item’s bar code number is linked to the item’s bibliographic record in the online catalogue.
To charge out an item, the customer presents the bar-coded identification card to the circulation attendant together with the material to charge out. The clerk scans the bar code on the identification card with a light pen or optical scanner, or may enter patron and item data via a keyboard. The computer automatically retrieves the patron record and checks the borrower’s eligibility to borrow materials (for example, no current excessive overdue fines is enrolled in school, and so forth). If the patron’s status report is satisfactory, the attendant scans in the bar code on each item to be charged out. Each item charged out is automatically linked to the patron’s record in the computer’s memory. The attendant returns the identification card and completes the transaction by placing a pre-printed date-due notice in the book or stamping the date-due slip in the book to remind the borrower of the items’ due dates.
To check in returned material, the staff member places the system in the discharge, or check-in mode. When the system reads the bar code on the item it clears the record from the computer’s memory unless the item is overdue, in which case the system automatically generates a fine notice. The borrower’s record is either cleared or attached to the overdue information. If another borrower has a reservation (hold) on the item the system displays this on the monitor and the clerk takes appropriate action to notify the requesting borrower.
At least one automated system has a portable unit with an independent power source. This allows staff to charge material out at remote locations, such as on a bookmobile, or use it as a backup system during a power failure. The unit can also be used to compile records of in-house use of reference and other materials.
Increasingly, computer-based circulation systems are linked with the library’s automated catalog in integrated systems. This allows customers to determine the circulation status of catalogued materials directly from the public terminals. It also allows customers to determine the circulation status of materials in the collections of other libraries with integrated systems. This is a valuable enhancement of service and is especially useful information for interlibrary loans and interlibrary referral.
Automated systems can also facilitate self-charging for library customers. Permitting borrowers to check out their own items frees circulation staff to perform other service functions. This service may also improve productivity and efficiency, reduce expenses, and allow libraries to handle increasing circulation activity without increasing staff while affording customers an option for self-service. The technologu is similar to that used in automatic teller machines. The borrower places a library card in the system. If the card is approved, instructions appear on how to position the item and scan the bar code. The system then verifies the circulation status of the item, checks it out, and desensitizes the security device. Date-due slips can be printed, and if a problem is encountered the customer is prompted to inquire at the circulation desk.
There is a list of tasks most computerized circulation systems can be programmed to perform. Each of these jobs is labour intensive and costly with a manual system. If a computer performs these tasks a library can improve service, and, perhaps, even save money:

1. identifies delinquent borrowers who have overdue materials and/or owe fines;
2. displays the reason for the delinquency;
3. alerts staff to lost or stolen identification cards when one is presented;
4. indicates when a reserve (hold) has been placed on an item;
5. displays all items currently checked out to a borrower and eliminates any record
of past circulation activity;
6. allows placement and notification of reserves (holds);
7. calculates fines and fees for overdue items;
8. prints recall notices;
9. automatically prints overdue and fee statements;
10. indicates whether a particular item is already checked out or is temporarily unavailable, for example at the bindery;
11. records and prints a variety of statistical information concerning collection use and circulation activities.

Automated systems are flexible and a library may tailor the functions cited above to meet its specific needs. The only way to understand an automated circulation system is to see one in operation or, better yet, use one in person. A visit to a successful operational system is far more useful than reading a description.

Manual circulation control systems
In a landmark 1961 study, George Fry & Associates identified 28 different circulation control study systems employed in American libraries (George Fry & Associates, Study of Circulation Control Systems: Public Libraries, College and University Libraries, Special Libraries (Chicago: Library Technology Project of the American Library Association, 1961). Most of them, however, are not widely used, and only two manual systems prevail today. They are the Gaylord system and the Newark system. Because computerised circulation systems are now the norm, the general descriptions of the Gaylord and Newark systems will be discussed only.

The Newark system
The Newark circulation control system is the most widely used manual system in the United States. It is simple to use for both borrowers and staff and is suitable for both small and medium-sized libraries. The system requires no expensive equipment. There are two variations of the system: (1) self-charge, which requires borrower participation; and (2) staff-charge, with no borrower participation.
When a library uses a the self-charge method, borrowers remove the book card from the book pocket and write their names and identification numbers or other required information on the first available blank line. The borrower gives the book and book card to the circulation attendant, along with a library card or other form of identification. The staff member verifies the identity of the borrower and stamps the due date in the book and on the book card. The book card is then ready to be filed, by date due and the call number or simply by call number. In this case it is necessary to have the call number, author’s name, and title on the book card and book pocket to verify that the book card pertains to a particular book.
In the staff-charge method, a circulation staff member, not the borrower, fills out the information on the book card. Borrowers give the attendant the material to be charged out and their library cards. In this method each library card has an identification number, and the staff member writes this number on the book card instead of the borrower’s name. The staff member does not sign the patron’s name, or the borrower could later claim the signature was forged. The remaining steps are the same as in the self-charge method. Staff-charge is more expensive to operate because of increased staff time, but it generally reduces the number of errors.
In both of the above methods, when material is returned a staff member removes the book card from the file. This ends the borrower’s responsibility, and staff cancel the borrower’s record on the book card. the book card is placed back into the book pocket and the material is ready for reshelving.
A library using the self-charge system maintains a file of registered borrowers by name; however, libraries maintain two registration files for the staff-charge version, one filed by identification number and one filed by borrower’s name. Because only the borrower’s identification number is on the card, staff use the second file to identify the borrower if material is overdue or if other problems arise.

The Gaylord System
This circulation control system is named for the manufacturer of the electric book charger staff use to charge out materials. It is similar to the Newark system except that a machine fills in the information on the book card. This frees both the borrower and library personnel from this time-consuming task. The system requires no borrower participation. When borrowers register with the library, they receive library identification cards with an identification number embossed on a metal plate. One variation of the charging machine allows the use of a plastic identification card, which can be used to print directly onto the book card.
If an identification card with the embossed plate is used, registration files of borrowers by name and identification number are needed, because only the identification number appears on the book card. With the plastic identification card, the borrower’s name can be printed on the book card, eliminating the need for a registration file by identification number.
To charge out material the borrower presents the material and identification card to the circulation attendant. The staff member removes the book card from the book pocket and inserts it into a slot in the charging machine, then inserts the identification card into another slot. The machine automatically prints the borrower’s name or identification number and a due date on the book card. The attendant places a predated date-due card in the book pocket. The book card is now ready to be filed by due date and in order by call number or author.

Evans, G. Edward; Amodeo, Anthony J.; and Carter, Thomas L. Introduction to Library Public Services. 6th ed. Greenwood Village, Colorado : Libraries Unlimited, 1999.