Working Paper # 6 : Technical Services Division in a Team-Based Learning Organization

Appendix D: Recommendations

Category 1: Recommendations to be reviewed in the short term

1. Develop a pilot program to test an electronic order form with a test group of selectors.
   Leader: Jan Siar to consult with Carole Bell and Carlen Ruschoff. Carole Bell and Karla Hahn will identify the selectors to participate in the pilot.
   Status: Pilot program was successful. Next step is to provide individual passwords for all selectors.
2. Clarify and document the University and State procedures for selectors' signatures. Verify the use of electronic forms.
   Leaders: Carole Bell and Carlen Ruschoff .
   Status: Done.
3. Set up an interim database to track electronic resources orders. Begin investigating what tracking mechanisms are available with the new ILS.
   Leader: Gwen Halford
   Status: Done.
4. Review the Acquisitions web page to determine what information needs to be clarified. Write documentation on 'who does what.'
   Leader: Jan Siar
   Status: This is on hold pending reorganization.
5. Develop a plan and process to integrate the searching and ordering into one process. Ordering should be done at time of searching.
   Leader: Carole Bell and Jan Siar
   Status: Done.
6. Changes in receiving procedures:
   Leaders: Pearl Coleman, Paul Bushmiller, Jan Siar
   
   1. Notate MRF and on-line order with any changes in publishing information
      Status: Done. Eliminated filing of MRFs at start of 2002 fiscal year.
   2. Check each MRF at receipt for Hold/Notify information
      Status:Done. Implemented at start of 2002 fiscal year.
   3. Send sort code 2 orders to requestor
      Status: Done. Implemented at start of 2002 fiscal year.
   4. Investigate integrating part of payment process into the receiving process.
      Status: Done. Implemented at start of 2002 fiscal year.
7. Investigate revising PromptCat loader profile to block records that would require cataloging work, i.e., call #s, subjects, UKM, Canadian vendor records, etc.
   Leaders: Marlene Vikor, Jan Siar
   Status: Deferred.
8. Agree to stamp the system date received on MRF copies.
   Leaders: Marlene Vikor, Pearl Coleman
   Status:Resolved: Eliminated filing of MRFs at start of 2002 fiscal year. Stamping no longer an issue.
9. Work with campus accounts payable to inquire into the following areas recommended by the Working Group (numbering from the parking lot of the group's report).
   Leaders: Carole Bell, Carlen Ruschoff
   
   1. Tracing checks. It would be more efficient if the Libraries' Payment unit could directly access the State payment records instead of having to go through the Accounts Payable Office.
      Status: Pending training training from the Accounts Payable Dept.
   2. Stop payment procedures. It is unclear what happens once the process leaves the library. Documentation of campus/state procedures would be helpful.
      Status: Done.
   3. Detailed payment procedures past the campus stage. Documentation of what occurs once payment is initiated by the Libraries should be developed. It would be helpful to understand campus/state-caused delays in payments.
      Status: Not Done.
   4. Vendor address field for campus payment. There is some question as to how large this field can be. It should be clarified whether we can increase our field size to allow enough field space(s) to accommodate foreign addresses.
      Status: Not Done.
   5. Changes in accounts payable. Investigation should begin on how our Acquisitions unit can be reliably and expeditiously informed of changes when they occur.
      Status: Not Done.
   6. Invoices for titles deviating from calendar year coverage. On Faxon tape loaded invoices, with calendar year coverage, the invoices load cleanly. With any deviation from calendar year, blank spaces and slashes are loaded in the coverage field, thus requiring corrections that need to be done by hand. Investigate with ITD whether this glitch can be fixed?
      Status: This may not be an issue with change of vendors to Swets-Blackwell.
10. Update payment procedures described on the Acquisitions home page.
    Leader: Jan Siar
    Status: On hold pending reorganization.
11. Eliminate invoice coding as recommended. Need only: object, fund, date, signature, received date.
    Leader: Pearl Coleman
    Status: Not done.
12. Work with Preservation staff to train them on the finer points of invoice handling. A particular issue seems to be MRF creation to facilitate payment of certain types of invoices.
    Leader: Pearl & Yvonne
    Status: Done.
13. Consult with space-planning person.
    Leaders: Carlen Ruschoff/TSSAC
    Status: Initiated, discussions on-going.
14. Compile Cataloging Dept. statistics.
    Leader: Heidi Hanson
    Status: Not done.
15. Continue identifying what cataloging documentation is needed, putting it online [Post to department via email and/or make an agenda item at next dept.meeting]
    Leaders: Robert Bratton/Web Team.
    Status: Not done.
16. Take a "snapshot" of a weekly cataloging workload via OCLC Microenhancer.
    Leaders: Heidi Hanson/Carlen Ruschoff/Marlene Vikor
    Status: Done.
17. Ensure all Rapid LTs check series headings against LCAF and Local file; address series backlog; streamline processing of copy with "not traced" series.
    Leaders: Heidi Hanson/Marlene Vikor
    Status: First part done. Second & third parts not done.
18. Investigate all/more Faculty catalogers becoming NACO and/or SACO contributors/reviewers.
    Leader: Heidi Hanson/Gerry Park
    Status: Not done.
19. Report consolidated statistics for UMCP contributions to NACO-NACO regular & funnel contributions in Cataloging's monthly report.
    Leader: Heidi Hanson
    Status: Not done.
20. Investigate how to address the redundancy of searching in the added copy process have Acquisitions print out bibliographic record so the staff adding copy in Cataloging would have the OCLC#.
    Leader: Heidi Hanson/Jan Siar
    Status: Not Done.
21. Advertise CATM Help Desk to internal customers in an article for Library Matters.
    Leaders: Wilma Bass & Loretta Tatum
    Status: Done.
22. Create clearer contacts in other TSD departments for assistance in resolution of "old" problems assigned to CATM: put on Cat. Dept. Meeting agenda.
    Leaders: Wilma Bass/Heidi Hanson/Loretta Tatum
    Status: Done. Agreed to contact Dept. Head
23. Training for selectors in the transfer/withdraw process: TIP or individual team meetings.
    Leaders: Delores Huff
    Status: Done.
24. Clarify and document all end-processing procedures as they currently stand. Distribute documentation to all staff with any end-processing responsibilities (EPU and PRES). This documentation should define "standard" processing and all document all variations. Develop mechanism for systematic updating and dissemination of the procedures.
    Leader: Sandy Lynch
    Status: The EPU operations manual is near completion, but not on Web yet.
25. Explore extending "in process" time period to more than 10 days to prevent misidentifying of materials in EPU as "on shelf." More accurate reflection of processing time. Different length (longer) of time for branch materials to take into account transit times and unpacking at endpoint.
    Leader: Carlen will work toward consensus regarding new length of time and make arrangements with ITD to implement.
    Status: Explored, but consensus for extending time not achieved.
26. Evaluate and design interim space solutions for EPU to better facilitate tasks/production.
    Leaders: Sandy Lynch, Stan Stanek, and Christine McCarthy
    Status: Done.
27. Damaged gifts processing - Selector training is planned for April to provide selectors with information regarding the "hidden costs" of accepting damaged gifts, identifying types and levels of damage and preservation options and available consultation services.
    Leaders: Sue Koutsky, Christine McCarthy
    Status: Done.
28. Communicate status to other Library Department/Units - articles in Library Matters highlighting each Unit and identifying key contact people for questions. Preservation Units will make yearly status reports (and at other times as needed) regarding volume, special projects and any other issues that may have an impact on access services.
    Leader: Yvonne Carignan, working with Preservation Unit Heads (Sue, Christine, Atalanta)
    Status: Done. Yearly follow-ups planned.

Category 2: Recommendations to be reviewed in the long term, (i.e. by end of fiscal year 2002)

1. Evaluate the statistics collected in TSD and identify those statistics that are needed and eliminate those that are not.
2. Take advantage of changes that can be made to the workflow through implementing the new ILS.
3. Establish turnaround times for acquisitions, cataloging, catalog maintenance, and preservation activities.
4. Workflow between acquisitions, cataloging and catalog management, and preservation (can workflow be re-engineered to reduce the number of units through which a volume must pass?)
5. Investigate alternatives to placing order by "snail mail" (eg. Fax, e-mail, Web, electronic transmission from ILS).
6. Review and revise the procedure for brittle materials replacements, including microfilm copies purchased from commercial vendors as well as libraries.
7. Review and revise the content of flyers and sort coding for materials that move on to Cataloging; reduce amount of paper included with material (including creating new flyers for "official fascicle processing", loose-leaf and superseded material.
8. Investigate how payments can better interface with campus accounts payable and beyond [see also category 1?].
9. Review procedures and priorities for pre-order searching [move to category 1?]
10. Work with ITD staff to develop/implement electronic quality control features in ExLibris, e.g. on-demand reports, systematic 019 processing, error notification, loader specifications.
11. Look into distribution of cataloging distribution amongst catalogers. Consider alternatives such as organizing by subject areas.
12. Systematic evaluation of Prompt Cat/Bib Notification effectiveness and other bulk loads -- are they working together as anticipate? Can they be adjusted to work together more effectively? What is the effect of loader overlay hierarchy on their effectiveness? What is the effect of the absence of heading authorization on the records?
13. Explore the possibility of supporting an informal USMAI NACO "funnel".
14. Look into distribution of cataloging amongst catalogers. Consider alternatives such as organizing by subject areas.
15. Preservation planning and prioritization -- part of recent update of Strategic plan. Explore strategies for managing and maintaining priorities for both general and special collections.
16. Collect and analyze data related to outsourcing end-processing services that may be included in purchase plan vendor proposals.

Category 3: Library policies that need to be discussed beyond TSD

1. Library record keeping. Record all information: order, bibliographic, holdings, etc. in a single database. Eliminate redundant files.

Category 4: Recommendations for Process Improvement Teams (PIT)

1. Electronic resources procedures (ordering, licensing, cataloging, maintenance)
2. Government Documents procedures (including establishing volume and turnaround time for materials which have been acquired through the GovDocs Regional Depository Program)
3. Gifts policies and procedures, (e.g. Standardize and share selection policies, review preservation issues, including establishing volume and turnaround time for materials which have been acquired through the gifts program, priority setting, guidelines for retention of maximum # of copies, serials, editions, offprints, reprints, donors with special language skills assisting in processing. Pilot: Selectors will pre-select gifts, and Acquisitions will search items and return potential added copies for final selection. The pilot program will run the summer of 2001).
4. Serials policies and procedures, including turn around time
5. Dissertations and Theses processing and binding, including electronic versions Acquisitions procedures including: converting adds when they search/pre-sort as they do.
6. PromptCat (monographs), define what "rush" means; clarify the various meanings of this term and how to best communicate these definitions, workload impacts, the pilot program which tests an online MRF and ERRF form and decide whether to broaden the effort, the price ceiling on hand-delivered items to determine whether it should be raised.
7. Help desk procedures (reduce the number of Help Desk "by-passers"; study usefulness of: keeping the completed Help Desk reports; having departmental Help Desk contact log & track referrals to the departments)
8. Transfer/withdraw process (Improve interaction between Circulation and TSD, change forms to make them easier to use) [move to short term]
9. Preservation selection policies/prioritization for general collection materials. Policies regarding the treatment of prioritization of damaged materials transferred to off-site storage or to new collection locations.
10. End processing procedures and policies (emphasis on but not limited to free fly workflow). Review all documented procedures for end-processing focusing on all variations to determine the necessity of these variations. Collect and document the "why" behind procedural variations, re-negotiate variations with all interested parties to minimum number of variations needed, investigate pros and cons of centralized vs. decentralized packing and mailing of materials by TSD to other Library units and branches. Examine issues for materials exchange with special collections units now located at Hornbake (security, physical condition of fragile and oversized, unusual format items, etc.). Who should be included: TSD (including EPU and Preservation), branch staff and collections managers, Circulation staff.
11. C-Team recommended that the following be taken to CMT and CCC as soon as possible: Review current procedures/policies regarding barcoding, labeling, date due slips, addition of free flies and stamping [move to category 1].