SWIMS Network Standards for Inter-Library Document Supply April 2013 Review date: April 2014 Contents 1 Introduction Page 2 2 General information 2.1 Network libraries and membership categories 2.2 Temporary last resort status 2.3 Response times 2.4 Copyright and publisher licences 2 2 3 3 3 Responsibilities of the requesting library 3.1 Selection of locations 3.2 Making requests 3.3 Information required on request forms 3.4 Making speculative requests 4 4 5 6 4 Responsibilities of the supplying library 4.1 Supplying items 4.2 Requests which cannot be satisfied 6 7 5 6 7 8 9 10 8 8 8 8 9 9 Renewals Lost or damaged books Responsibilities to readers Responsibilities to the Network Reciprocal sharing with SENDS Further information Appendix A: ILLs and copyright: scenarios 10 Appendix B: Suggested wording to include with copies 13 Appendix C: Terms & conditions of the HealthILL List 14 1 1. INTRODUCTION This document specifies standards for document delivery (books and photocopies) between SWIMS Network members and outlines the responsibilities of both requesting and supplying libraries. 2. GENERAL INFORMATION 2.1 Network libraries and membership categories The SWIMS Network embraces health care libraries in the areas covered by the NHS South Central and NHS South West regions and part of NHS East Midlands. This includes libraries in Avon, Berkshire, Buckinghamshire, Cornwall, Devon, Dorset, Gloucestershire, Hampshire, Isle of Wight, Milton Keynes, Northamptonshire, Oxfordshire, Somerset and Wiltshire. The health care libraries on Guernsey and Jersey and the Defence Medical Library Service (based in Lichfield, Staffordshire) are also members of the network. There are four categories of Network membership: Full Affiliate Affiliate – charging Affiliate – permanent last resort NHS libraries using the SWIMS shared library management system, with journals and books included on the SWIMS Catalogue; these libraries participate in free, reciprocal resource sharing NHS partner libraries not using the SWIMS LMS, with journals only included on the SWIMS Catalogue; these libraries also participate in free, reciprocal sharing of articles Non-NHS partner libraries not using the SWIMS LMS, with journals only included on the SWIMS Catalogue; these libraries charge for the supply of copies and do not request items from other network members; some also have a restricted membership scheme Non-NHS partner libraries not using the SWIMS LMS, with journals only included on the SWIMS Catalogue; these libraries should only be used for requests on a last-resort basis, but may occasionally request items from other network members A complete list of full and affiliate libraries is available at http://www.swimsnetwork.nhs.uk/locations. A list of permanent and temporary last resort libraries is maintained at http://www.swimsnetwork.nhs.uk/lastresorts The journal holdings of all members and the book holdings of full members (except EXE/ECH1), are included on the SWIMS catalogue at www.swims.nhs.uk. 2.2 Temporary last resort status Libraries which are temporarily closed, insufficiently staffed or where stock is temporarily unavailable may claim temporary last resort status, for periods of 3 days or more. This is only to be used in extreme circumstances. Libraries claiming temporary last resort 1 To check EXE/ECH book holdings go to: http://lib.ex.ac.uk/search/X?SEARCH=&SORT=D&b=medic&b=whh. EXE/ECH are happy to participate in interlibrary lending, but note this does not apply to Exeter University holdings. 2 should e-mail SWIMS-NETWORK@JISCMAIL.AC.UK. The Network Administrator will update the list at http://www.swimsnetwork.nhs.uk/lastresorts when time allows. When mailing the list, include the reason for claiming temporary last resort status, and the likely duration of this, so that other members understand whether there will be no service at all, or simply a slower service than usual. If you have claimed last resort status, in fairness to other libraries, you should avoid making a large volume of requests. 2.3 Response times Under normal circumstances member libraries will respond to requests within 24 hours of receipt or next working day. Libraries that are not adequately staffed each day will respond within five working days. 2.4 Copyright and publisher licences a. In general, printed journals and books are subject to copying permissions and restrictions contained in CLA Licences and the Copyright Act, whilst electronic journals and books are subject to copying permissions and restrictions contained in publisher licences. See points b – n below and appendices A and B for more information. The NHS CLA Licence b. NHS England has a CLA copyright licence for the supply of photocopies and scanned copies from most printed journals and books, by and for “authorised persons”, provided the originals from which the copies are made are owned by the NHS, or by a library contracted to provide services to NHS staff. c. Where copies are made under the CLA licence, a signed declaration is not required. d. “Authorised persons” are all those working for working for and contracted by the NHS and organisations established under the Health & Social Care Act 2012, plus HEI students whilst on placement, HEI staff whilst contracted to work for the NHS, and nonNHS librarians who provide services to the NHS in England. e. If a journal is donated to an NHS library, it becomes NHS property and can be copied under the terms of the NHS CLA licence. f. Scanned copies may be made from originals published in the United Kingdom, Australia, Canada, Denmark, Finland, France, Hong Kong, Ireland, South Africa, Spain and Switzerland. Scanned copies may not be made from originals published in the USA, unless the publisher is included at: http://www.cla.co.uk/data/pdfs/nhs/nhse_participatingdigital.pdf g. Scanned copies may only be sent to people who have access to NHS e-mail accounts. Scanned copies may not be stored on a server or posted on an intranet or the Internet. h. The CLA Licence does not cover certain excluded works: http://www.cla.co.uk/licenceinformation_listofexcludedcategoriesandexcludedworks.php i. To check whether a title may be photocopied, faxed or scanned under the CLA Licence, you can try www.cla.co.uk/licences/titlesearch. When searching, select the ‘public administration licence’ (this is the standard licence on which the NHS Licence is based). . 3 The Copyright Act and Library Privilege j. Where copies cannot be supplied under the CLA licence (e.g. because they are for non-NHS persons, or from excluded works), they may still be made under the ‘Library Privilege’ terms of the 1988 Copyright Act. k. In these cases, end-user signed declarations are required, copies must be for a noncommercial purpose, only single copies may be made and no further copying is permissible, and the supplying library should receive a payment (or have a funding stream in place). l. It is permissible to supply copies by fax, or scan them and e-mail them under Library Privilege - as long as any copies made as part of the transmission process are destroyed, and, as above, end-user signed declarations are received. So, for instance, if an article from a journal published in the USA cannot be scanned under the CLA licence, a library could nevertheless supply a scanned copy under Library Privilege. m. The requesting library is responsible for obtaining and keeping signed declarations. They should be kept for 6 years from the end of the year in which the copy is made. Publisher licences n. E-journals and e-books are subject to publisher licences, and supply of copies to other libraries may or may not be possible. To avoid breach of licence, it safest to download and post paper copies, and not to e-mail electronic copies. The licence terms for locally purchased e-resources will vary so libraries may decline to supply copies from their own e-journals. 3. RESPONSIBILITIES OF THE REQUESTING LIBRARY 3.1 Selection of locations a) Where you have a choice, use libraries within your LETB area (i.e. South West, Thames Valley, Wessex or East Midlands) before libraries elsewhere in the Network. Use libraries elsewhere within the Network before approaching last resort libraries. b) When selecting locations for journals, check holdings as well as titles, to make sure that the locations you approach have the journal for the dates that you require, and that the journal year and volume tally. c) Do not request any article that you are able to access electronically, unless for any reason you cannot access it yourself within the required timeframe. 3.2 Making requests a) The preferred method of making requests to other network libraries is via e-mail. If you send requests by fax, you should bear in mind that recipient libraries may use a fax machine located outside their library, ensure a fax header sheet is used and allow for a 4 delay. Requests should not be posted. Do not use SWIMS reservations or traps as a way of making book requests2. Urgent requests must be made by phone. b) If more than one item is included on an email, ensure they are clearly numbered and separated. c) Avoid requesting more than three requests from any one location per day, unless by prior agreement. d) Do not make requests that infringe copyright. If a signed copyright declaration is required for the copy being requested, it is your responsibility to obtain and store this. e) Do not request multiple copies of single items. Although NHS readers are entitled to multiple copies of a single item under the NHS CLA Licence, it is unfair to expect other NHS libraries to supply multiple copies (and non-NHS libraries cannot do this). Under the NHS CLA Licence you may make copies from the copy as long as the end user is an ‘NHS authorised person’ and the original is owned by the NHS. f) Be cautious about asking another library to reserve an item that is currently on loan: SWIMS Network libraries may prioritise renewals by their own users over reservations by other libraries, so please contact the holding library to discuss this if necessary. 3.3 Information required on request forms a) Whether sent by e-mail or fax, the following must be included for each item requested and must be legible: Requesting library code Full postal address of requesting library (for the benefit of libraries which do not use WinCHILL or similar, include this in a format that can be used as a label) Request number, if used (good practice) For journals: Journal title in full. Only use abbreviations which are completely unambiguous3: Year, volume and part number or date of issue, and pages of article Author and/or first few words of title of article If the journal title is an e-journal, then this must be specified. For books: Author Title Year of publication Specific edition if required Classmark ISBN (if readily available and helpful) 2 This particular instruction may be subject to change in future, if or when SWIMS is used for ILLs. 3 Examples of acceptable abbreviations are Am = American; Assoc = Association; Br = British; Eur = European; J = Journal 5 b) Every effort should be made to send a full and accurate reference. Check references that look incomplete, unclear or inaccurate before sending. Supplying libraries have the right to return requests with incomplete references. c) For Data Protection compliance, avoid including or minimise reader information included on requests to other libraries. d) If an article needs to be sent to a different e-mail address than the one used by the requesting library, and/or there are local limits to the size of downloads, make this clear in the requesting e-mail. 3.4 Making speculative requests for items not listed in SWIMS or other catalogues SWIMS Network libraries typically have a list of others sources to try for items not available within SWIMS, such as SENDS (see section 9), the Nursing Union List of Journals, the Psychiatric Libraries Co-operative, the BMA Library and BLDSC. For speculative requests for items not available from such sources: a) The SWIMS-NETWORK mailing list may be used. Include ‘ILL request - can anyone help?’ in the subject header, so that list members can quickly distinguish these as speculative rather than specifically targeted requests. If a request is satisfied via the network, immediately send a follow-up message to the list to let others know. b) The HealthILL mailing list (HealthILL@libraryservices.nhs.uk) may be used. This is a UK-wide list so reaches a wider audience, but should only be used as a ‘last resort’. Please see Appendix C for the terms and conditions of use of the HealthILL list. c) LIS-MEDICAL should NOT be used. d) As with specifically targeted requests, copies requested and supplied must not breach the terms of the copyright or publisher licences. It is good practice to add ‘if permitted by licence’ to requests. Bear in mind that libraries may not be able to supply e-pubs ahead of print, even if they have an electronic subscription to the journal. 4. RESPONSIBILITIES OF THE SUPPLYING LIBRARY 4.1 Supplying items a) Requests should be processed as soon as possible. Adequately staffed libraries are expected to respond within 24 hours and unstaffed libraries within five days. If there are unforeseen delays in supplying items, the requesting library should be informed as soon as possible. b) Photocopies may be single or double-sided, and made on A4 or A3 paper, and should be clear, clean and properly collated. c) Photocopies of articles and book chapters must include the source of publication. 6 d) Ensure that it is clear to the requesting library which library has supplied the book/photocopy, and the date it was supplied. e) Help ensure that the requesting library can match your document with their request e.g. by including the request form or a copy, or replying to the original e-mail, citing the request number (if provided). f) Where possible, crop scanned copies so that receiving libraries do not need to print pages with lots of black ink. To keep the size of files to a minimum, scanned articles should be in black and white unless colour or greyscale is required for illustrations. g) For books, ensure that the return date is clearly visible. If there are any specific instructions for the requesting library (e.g. no renewals), include these in the copy trap in SWIMS and on the item, and inform the requesting library by phone or e-mail. If the book that has been requested is very large or heavy, you may decline to lend or consider advising the requesting library, in case their reader only requires a chapter. h) Supply copies by the quickest and most cost-effective means available. Use scan/email or copy/fax where possible under the terms of the NHS CLA licence, publisher licence or library privilege. i) Where post must be used, second class post is assumed. Items should be sent in secure, protective and clearly addressed packaging. Avoid using staples. j) Supplying libraries reserve the right to decline to fulfil a request but must provide a reason for their decisions, e.g. short loan, inadequate reference, not allowed under copyright or publisher licence, book too heavy, in demand locally etc. k) If request forms include reader details, supplying libraries must treat them as confidential. Do not leave them where unauthorised persons may access them, for Data Protection purposes. l) Under the terms of the NHS CLA licence supplying libraries are not required to collect signed copyright declarations for requests supplied to other libraries. 4.2 Requests which cannot be satisfied a) If you cannot supply the item requested, or the reference is faulty, notify the requesting library ASAP by the quickest means (or immediately, if the request is urgent). If the request was made by e-mail, reply by e-mail. b) Include the reason for non-supply in your response. The abbreviations below are commonly used, but use a fuller explanation if appropriate. MFS Ref only missing from stock reference only OL/DB…. NYR on loan/due back… not yet received c) SWIMS Network libraries may prioritise renewals by their own users over reservations by other libraries. If you agree to reserve for another library an item that is currently on loan, please ensure they are aware of any caveats that apply. 7 5. RENEWALS a) Renewal of books is at the discretion of the lending library. Do not automatically renew ILLs on SWIMS (unless you have a locally agreed protocol in place). b) The borrowing library should contact the lending library by phone or email to request a renewal, specifying the barcode of the book to be renewed and the renewal date. The lending library will update the record on SWIMS as appropriate. 6. LOST OR DAMAGED BOOKS a) Given the costs involved in raising invoices network libraries should not invoice each other in respect of lost, damaged or overdue books. In the interests of good network relations, the library responsible for the loss of a book should contact the lending library and offer to replace it: If the loss occurs during transit from the supplying library to the requesting library, the supplying library should assume responsibility for the loss. If the loss occurs whilst the item is on loan to readers or during transit back to the supplying library, then the borrowing library (or their reader) should assume responsibility. Where readers are asked to purchase replacement copies, care should be taken to ensure that the correct title and edition is purchased. 7. RESPONSIBILITIES TO READERS a) Ensure that readers are informed ASAP if there is likely to be a delay in satisfying their request, or if for any reason their request cannot be satisfied. 8. RESPONSIBILITIES TO THE NETWORK Network member libraries must: a) Treat all personal information on request forms as confidential in accordance with the Data Protection Act. b) Maintain statistics of items requested and supplied via the network. c) E-mail the SWIMS-NETWORK list to claim temporary last resort status, and, for charging libraries, changes in charges or charging methods. d) Try to resolve any particular difficulties in supply with the library involved. Notify the SWIMS Network Board about any unresolved or general problems, or with any suggested improvements to the operation of the scheme. e) Comply with the SWIMS Network Terms of Reference (available at www.swimsnetwork.nhs.uk/policies), and in particular: f) Maintain accurate, up-to-date library contact details on HLISD. 8 g) Maintain accurate, up-to-date holdings information on SWIMS (for affiliate members, this is via the Network Administrator) and in the Link Resolver. Include information about gaps in holdings and missing issues. h) Be a member of the network e-mail discussion list, SWIMS-NETWORK. i) Ensure that all library staff, and in particular those who deal with inter-library lending and document supply, are familiar with the contents of this document. 9. RECIPROCAL SHARING WITH SENDS a) SENDS (South East Network Document Supply) comprises the libraries in the NHS South East Coast area of Kent, Surrey and Sussex. b) SWIMS libraries may approach SENDS libraries on a second resort basis, i.e. after SWIMS locations have been exhausted. SENDS libraries may approach SWIMS libraries on the same basis. c) To search the SENDS catalogue of journals and books and find contact details for SENDS libraries, go to (http://www.ksslibraries.nhs.uk) and the http://www.southeastlibrarysearch.nhs.uk. d) Libraries in either network may approach libraries in the other network to borrow books but this should be agreed in advance between the libraries in question. Libraries in both networks reserve the right to decline to lend books. 10. FURTHER INFORMATION The Network Administrator is Trish McLean (patricia.mclean@gwh.nhs.uk) People who have contributed to this revision of the policy are: Ambrose Phillips, Library Assistant, Nuffield Orthopaedic Centre (NOC) - ambrose.phillips@ouh.nhs.uk Bennet Jones, Library Assistant, Avon and Wiltshire Mental Health Partnership Trust (CLN) - bennet.jones@awp.nhs.uk Helen Bingham, Library & eLearning Resources Mgr, Health Education Wessex – helen.bingham@wessex.hee.nhs.uk Helen Nicholson, Library Assistant, Royal Berkshire Hospital NHS FT (RBH) – helen.nicholoson@royalberkshire.nhs.uk Jayne Plant, Library & E-Learning Services Mgr, Milton Keynes Hospital NHS FT (MKH) Jayne.Plant@mkhospital.nhs.uk Maeve Ladbrooke, Library Assistant, Oxford Health NHS FT (WARN) - maeve.ladbrooke@oxfordhealth.nhs.uk Lindy Jost, Senior Library Assistant, Buckinghamshire Healthcare Trust (WYC) - lindy.jost@buckshealthcare.nhs.uk Rod Gegg, Librarian, Royal Cornwall Hospitals Trust (RCH) - rod.gegg@rcht.cornwall.nhs.uk 9 Appendix A: ILLs and copyright: NHS libraries supplying copies to their own service users Which licence is relevant? Is a copyright declaration required? Are there any restrictions on WHAT can be copied? Are there any restrictions on WHO you can send the copy to? Are there any restrictions on HOW this copy can be sent? Are there restrictions on what the end-user can do with the copy? A. An article from an electronic journal to which your library has access Publisher licence No No No – publisher licences generally allow licensed organisation to supply articles to all its registered library service users No - though you may consider sending the link rather than pdf Personal use, including storage, OK. Sharing with others who have access in own right OK. Inclusion in teaching packs, VLEs, etc, probably OK but check licence. Use statement 2 (in B. An article from a printed journal published in the UK and held in your library NHS England CLA licence No – you can send to anyone covered by the NHS CLA licence, but if scanned and sent by e-mail, it should be to someone with an NHS e-mail account No – can copy and post ,or most likely scan and e-mail to anyone with an NHS e-mail account C. An article from a printed journal published in the USA and held in your library NHS England CLA licence No – can send to anyone covered by CLA licence Yes – you most likely can’t scan it under the NHS CLA licence - but you can fax/scan under copyright law (need a declaration, must destroy copies) No The only restriction is that no more than two articles may be copied from a single issue (more if a ‘themed’ issue). There is no definition of a ‘themed issue’ so use your own judgement on this. No As above, no more than two articles may be copied from a single issue. 10 appendix B). Personal use, including electronic storage if scanned, OK. Can supply onwards to others covered by CLA licence. Must not put on a server. Use statement 1. Personal use of paper copy is fine. Can also photocopy for others covered by CLA licence. Use statement 1. D. An article from BL (an Which licence is relevant? Is a copyright declaration required? Are there any restrictions on WHAT can be copied? Are there any restrictions on WHO you can send the copy to? Are there any restrictions on HOW this copy can be sent? Are there restrictions on what the end-user can do with the copy? The licence used by BL Yes The BL can only supply you with single copies. No – can send to any of your service users who has signed a declaration. No, but you must not make any additional copies. Personal use only. Strictly no further copying. Use statement 2. NHS England CLA licence No The library will not be able to supply you more than two articles from a single issue. No – can send to anyone covered by the NHS CLA licence. No – can copy and post, or scan and e-mail to anyone with an NHS e-mail account. Personal use, including electronic storage if scanned, is fine. Can supply onwards to others covered by CLA licence. Must not put on server. Use The library will only be able to supply you one article from a single issue. No – as long as the individual has signed the declaration. ordinary copy, not a copyright cleared copy) E. An article from a print journal from another NHS England library or HE library contracted to NHS F. An article from a library not covered by the NHS England CLA licence i.e. not Not covered by a licence – copyright law’s library privilege applies NHS or NHS contracted HE G. An article that you found free on the internet Not covered by a licence – copyright law’s library privilege applies Yes statement 1. The library will Personal use only. have been able No further copying. Use statement 2. to post it, fax it or scan it for you, but once the user has the copy, all other copies must be destroyed. In theory if you supply this, you are supplying it under fair dealing, however the user could have found this themselves and made their own ‘fair dealing copy’. So the best approach is to send the user the link – that way they can also see and take account of anything that the source website says about permitted uses and copyright, etc. 11 ILLs and copyright: NHS libraries supplying copies to other libraries Which licence is relevant? Is a copyright declaration required? Are there any restrictions on what can be copied? A. An article from an electronic journal to which your library has access Publisher licence No Check the licence terms. The licences for national core content journals and the proposed Framework Agreement journals say that you can only supply copies to other libraries if the end recipient is eligible for access in their own right. Some ejournal publisher licences say that if articles are printed and posted they may be used for ILLs. B. An article from a printed journal published in the UK and held in your library If the library you are supplying the article to is an NHS England library (or HE library contracted to the NHS), then the NHS England CLA licence applies. Otherwise this is not covered by a licence and copyright law applies. If the library is an NHS England library, no If the library is an NHS England library, the only restriction is that no more than two articles may be copied from a single issue If the library is not an NHS England library, fair dealing applies, therefore only one article per issue If the library is not an NHS England library, yes Are there any restrictions on who you can send the copy to? Are there any restrictions on how this copy can be sent? Are there restrictions on what the end-user can do with the copy? Safest to send a link, or download a print copy and scan/post. Don’t email pdfs. Must be for purposes of research or private study and not for commercial Use. Use statement 2. No – if the library is an NHS England library, you are supplying the copy under the terms of the CLA licence No If the library is an NHS England library, no, short of putting it on a server. Use statement 1. If the library is not an NHS England library, you may still supply the copy, but under library privilege No, but if supplied under library privilege and scanned/e-mailed or faxed, destroy all transmission copies. If the library is not an NHS library, the end user is bound by the declaration that they have signed. Use C. An article from a printed journal published in the USA and held in your library 12 statement 2. As above, but scanning may not be possible. Safest to use statement 2. Appendix B: Suggested statements to include with copies These statements apply to photocopies and scanned copies from printed journals and books, and to copies from electronic journals. The wording could be used in e-mails, fax header sheets or on compliment slips, as appropriate. They can be used with copies supplied to libraries’ own users and with interlibrary copies. Where used with inter-library copies, they should be forwarded to the end user. 1. Copies supplied under the NHS CLA Licence “This copy has been supplied to you under the terms of the NHS England CLA Licence. You may store your own copy (e.g. on your personal drive or own PC), and make further copies for other NHS colleagues, but you must not put it on an intranet or internet page. Thank you for your co-operation.” 2. Copies supplied under the Copyright Act or publisher licences (use where the NHS CLA Licence doesn’t apply, with copies from BL, BMA and other non-NHS libraries, and copies from e-journals) “This copy has been supplied to you under the terms of the Copyright Act or a publisher’s licence. It is for your personal, non-commercial use only. You may not make further copies and you may not store an electronic copy. Thank you for your co-operation.” 13 Appendix C: Terms and conditions of the HealthILL List HealthILL@libraryservices.nhs.uk facilitates interlending/document supply between library staff working in health and social care across the whole of the UK. Note that ILL requests and duplicate journal offers are not accepted on LIS-Medical. To join the list: sign up at http://lists.libraryservices.nhs.uk/cgibin/mailman/listinfo/healthill Anyone who tries to post to the list who is not a member will be asked to join the list before their request can be activated. If a generic library email address is used to join the list then this email address needs to be used for all subsequent requests not the address of individual members of staff. To contact the list owners: e-mail healthill-owner@libraryservices.nhs.uk Terms and conditions of usage 1. Please put the title of the journal in the subject line of your request e.g. Annals of Internal Medicine 2. If your request is satisfied please send another email to the list with the same subject line as the request with - satisfied at the end e.g. Annals of Internal Medicine - satisfied. This stops other libraries from looking for a request you've already satisfied and is useful for the statistics we are keeping of the list. 3. The list should only be used for “last resort” requests 4. Library staff must ensure that requests made and supplied via this list do not breach terms and conditions of copyright or publisher licenses 5. Postings to the list must not contain commercial advertising or offensive or obscene comments/images 6. Postings must not include attachments 7. Postings should contain full library contact details 8. Please remember that lis-medjournal-duplicates@jiscmail.ac.uk already exists for inter-library duplicate journals. 14