SWIMS Network

Standards for Inter-Library Document Supply

May 2017

Review date: May 2019

Contents

1. INTRODUCTION

2. GENERAL INFORMATION

2.1 Network libraries and membership categories

2.2 Temporary last resort status and other issues affecting supply

2.3 Response times

2.4 Copyright

3. RESPONSIBILITIES OF THE REQUESTING LIBRARY

3.1 Selection of locations

3.2 Making requests

3.3 Information required on requests

3.4 Making speculative requests for items not listed in SWIMS or other catalogues

4. RESPONSIBILITIES OF THE SUPPLYING LIBRARY

4.1 Supplying items

4.2 Requests which cannot be satisfied

5. RENEWALS

6. LOST OR DAMAGED BOOKS

7. RESPONSIBILITIES TO READERS

8. RESPONSIBILITIES TO THE NETWORK

9. RECIPROCAL SHARING WITH OTHER LIBRARY NETWORKS UNDER THE ‘SEEDS’ ARRANGEMENT

10. WIDER RECIPROCATION

11. FURTHER INFORMATION

Appendix A: ILLs and copyright: scenarios

Appendix B: Declarations and statements

Appendix C: Terms and conditions of the HealthILL List

1. INTRODUCTION

This document specifies standardsfor document delivery 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 South West, Thames Valley and Wessex 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 are also members of the network.

There are four categories of Network membership:

Full / 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
Affiliate / NHS partner libraries not using the SWIMS LMS, with print journals and where possible electronic journals only included on the SWIMS Catalogue; these libraries also participate in free, reciprocal sharing of articles, and full members may lend books to them on request
Affiliate – charging / Non-NHS partner libraries not using the SWIMS LMS, with print 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
Affiliate – permanent last resort / Non-NHS partner libraries not using the SWIMS LMS, with print 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

A list of permanent and temporary last resort libraries and special arrangements is maintained at

The journal holdings of all members and the book holdings of full members are included on the SWIMS catalogue at EXE/ECH, HGM and NOC[1]),

2.2 Temporary last resort status and other issues affecting supply

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 extremecircumstances. Libraries claiming temporary last resort should e-mail cludingthe SWIMS Network library code in the subject line or message text. The Network Administrator will update the list at 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.

Other issues affecting supply, such as a broken photocopier or email address not working, should also be notified to cluding the SWIMS Network library code in the subject line or message text. A follow-up email should be sent when the problem has been fixed.

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

  1. Libraries may make copies under the terms of the both the CLA Licence for the NHS in England and the Library Privilege terms of the 1988 Copyright Act, which was amended in 2014.Publisher licences also usually permit making limited copies from e-resources for licensed users, and sometimes printed copies for ILLs.

The CLA Licence

  1. This Licence allows ‘NHS authorised persons’ to make and receive copies and scanned copies of most printed and many digital copyright works which are owned by the NHS (or by a university library which is contracted to provide services to NHS staff), regardless of the country of publication, although there are some exclusions.
  1. The best way to find out which of your library’s print and online titles can be copiedunder the CLA Licence is via the CLA’sCheck Permissions Tool, available online at: for a title, then select ‘Public Sector’ in the drop-down list, then click ‘Show Public Administration Permissions’).
  1. If a journal or other copyright work has been donated to your library, it can be regarded as being owned by the NHS.
  1. “NHS authorised persons” are all those working for and contracted by the NHS and organisations established under the Health & Social Care Act 2012 (including public health staff employed by local authorities), as well as university students on clinical placement,university staff whilst contracted to work for the NHS, and non-NHS librarians who provide services to the NHS staff. From April 2015, authorised persons also include staff working for NHS ‘collaboration partners’ i.e. organisations which have a business relationship with the NHS and which have their own CLA Licence.
  1. Under the CLA Licence:
  • You may copy two articles from an issue of a journal (or several articles from an issue if on the same theme), or up to one chapter or 5% of a book (whichever is greater)
  • Multiple copies and‘copies of copies’are allowed
  • Copyright declarations are not needed
  • Scanned and digital copies may be stored on an intranet or secure network, but not within an indexed and searchable centralised database
  • Only single paper copies may be made for patientsand carers

The Copyright Act and Library Privilege

  1. Where copies cannot be supplied under the CLA Licence (e.g. because theend-user or the item being copied is not covered by the CLA Licence), they may still be made under the ‘Library Privilege’ terms of the Copyright Act.
  1. From 2014, library staff may make Library Privilege copies for other not-for-profit libraries from any copyright work, including from e-journals and from works excluded from the CLA Licence.
  1. In these cases:
  • You may only copy one article from an issue of a journal, or a ‘reasonable’ proportion of any other published work.
  • The requester must have provided a declaration in writing to say that they have not previously been supplied with a copy, that the copy is required for non-commercial research or private study, that they won’t supply the copy to anyone else, and that as far as they know, no one else is going to be asking for the same copy for the same purpose at the same time. This declaration does not have to be signed, or use a set form, and can be sent electronically, so for instance requester could type their name or tick a check box to confirm agreement. See Appendix B for a form of words to use on electronic declarations
  • You can supply the copy digitally, but the individual receiving it may only store it digitally for their own personal use.

Copyright Fee Paid (CFP) copies

  1. These should be obtained in instances where copies cannot be supplied under the CLA Licence and Library Privilege copies are unavailable (for instance because the BL cannot supply for copyright reasons) or unsuitable (because the requester needs to share the copy with others).

CFP copies can be treated as if owned by the NHS, and further copies made under the CLA Licence. An allocation of CFP copies is included with the CLA Licence Plus, so these are free to NHS libraries.

To obtain CFP articles from the British Library, you need to set up a second account with the BL and use this to request the articles. If your library does have a second BL account for this purpose, contact Ania Nogal () for an application form. To obtain CFP articles from the RSM, email full citation details to and state ‘article requested under the terms and conditions of the CLA Licence Plus’.

Publisher licences

  1. Electronic databases and journals are typically licensed for access by those who work for specific organisations, and library staff may make copies for everyone covered by the licence, without limit and without a declaration. Beyond this, they are usually quite restrictive in terms of the copying that is allowed. However a) you may be able to make copies under the CLA Licence (use the CLA Check Permissions tool at and b) following the changes to the Copyright Act in 2014, libraries can now make Library Privilege copies for other not-for-profit library from anycopyright work, and this privilege cannot be overridden by a publisher’s contract. Remember that in these instances, you will need a written/ticked declaration from your user.

3. RESPONSIBILITIES OF THE REQUESTING LIBRARY

3.1 Selection of locations

a)Where postage is involved, choose the least expensive option. In terms of document supply, take care to use locations equitably irrespective of location alphabetical order.

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. Do not use SWIMS reservations or traps as a way of making book requests[2]. 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 declaration is required for the copy being requested, it is your responsibility to obtain this[3]. Unless you know that the copy will be supplied under the terms of the CLA Licence, it is safest to assume that a declaration is required.

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 requests

a)The following must be included for each item requested and must be legible:

  • Requesting library code and network name
  • 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 unambiguous[4]:
  • 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)

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 libraries in the networks in the ‘SEEDS’ arrangement (see section 9), NULJ (the National 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 LIB-SOUTH 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 () 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 a link to the terms and conditions 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)Copies may be single or double-sided, and made on A4 or A3 paper, and should be clear, clean and properly collated.

c)Copies of articles and book chapters must include the source of publication.

d)Ensure that it is clear to the requesting library which library has supplied the book/copy, 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.

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, 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.

m)Ifforwarding a scanned item to the user ensure that the appropriate statement in appendix B is included (if unsure, because the item is supplied from a hard copy or e-journal, use statement 2).

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.